Also known as: plain-error rule · plain error
Written by attorneys · grounded in primary & secondary sources — see below
A doctrine that permits an appellate court to consider a plain error affecting substantial rights even though the error was not brought to the trial court's attention.
Paul Peterson stood trial for mail fraud. The judge instructed the jury that it could treat Peterson's decision not to testify as evidence of guilt. Defense counsel raised no objection. On appeal the court examined the instruction under the plain error rule because the error was obvious, affected Peterson's substantial rights by undermining the presumption of innocence, and warranted correction to preserve the integrity of the proceedings.
Pablo Perez was convicted after an alternate juror joined deliberations without objection at trial. On appeal Perez argued the substitution violated his rights. The court applied the plain error rule, found the error plain and prejudicial to substantial rights, and exercised discretion to reverse because the defect undermined the fairness of the jury process.
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Priya Prasad lost a contract suit after the trial court admitted disputed documents without objection. On appeal Prasad sought reversal under the plain error rule. The court declined to apply the doctrine because the error did not affect substantial rights.
Philip Powell was tried without a jury after the court accepted a waiver without proper colloquy. Defense counsel did not object. On appeal Powell invoked the plain error rule. The court found the error plain and affecting substantial rights but declined reversal.
Pamela Phillips was convicted under a firearms statute and raised a constitutional challenge for the first time on appeal. The court reviewed for plain error. It held the error was not plain under then-existing law and therefore did not reach the question of substantial rights.
Pilar Pena was convicted after the prosecutor commented on her failure to testify. No objection was made at trial. On appeal the court applied the plain error rule, found the comment plain and prejudicial to substantial rights, and reversed because the error seriously affected the fairness of the trial.
A defendant must show an error that is plain, affects substantial rights, and seriously affects the fairness, integrity, or public reputation of judicial proceedings. The rule balances the need for timely objections against the imperative to correct serious miscarriages of justice.
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The doctrine is most commonly applied in criminal cases because courts have a special duty to assure defendants are not convicted unfairly. In civil cases the rule is invoked sparingly and only when the error is clear and affects substantial rights.
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The rule encourages timely objections so errors can be corrected at trial without appellate intervention. This policy is especially important for jury instructions where the trial judge can correct mistakes before deliberations begin.
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Strong independent evidence of guilt can show that an unpreserved error did not affect substantial rights because there is no reasonable probability the error contributed to the conviction. The error must still be plain and seriously affect fairness before reversal is warranted.
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…. . in its legitimacy, a product of substance and perception," ante , at 865, the "substance" part of the equation demands that plain error be acknowledged and eliminated. Roe was plainly wrong—even on the Court's methodology of "reasoned judgment," and even more so (of course) if the proper criteria of text and tradition are…