PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
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Trial Instructions (TI 1 - TI 8)
TI
1 Preliminary And Explanatory Instructions To Innominate (Anonymous) Jury
TI 2.1
Preliminary Instructions Before Opening Statements (Short Form)
TI 2.2 Preliminary Instructions
Before Opening Statements (Long Form)
TI 3.1 Notetaking - Permitted
TI 3.2 Notetaking - Not
Permitted
TI 4
Cautionary Instruction Similar Acts Evidence (Rule 404(b), FRE)
TI 5
Explanatory Instruction Prior Statement Or Testimony Of A Witness
TI 6
Explanatory Instruction Transcript Of Tape Recorded Conversation
TI 7 Modified
"Allen" Charge
TI 8 Forfeiture Proceedings (To be given before supplemental
evidentiary proceedings and/or supplemental arguments of counsel)
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 1
Preliminary And Explanatory Instructions To
Innominate (Anonymous) Jury
Before we proceed to select several from among your number to serve as jurors in this case, I want to comment briefly on a matter that affects both the manner in which we will proceed to select a jury and the manner in which, thereafter, we conduct the trial.
Occasionally trials attract the attention of the media, the public, casual and interested onlookers, and others. The level of public and media interest is often unpredictable and, of course, not within the Court’s control. This criminal case, which involves several defendants and which will continue for some time, perhaps will attract more than the usual attention among the media and the public and may, therefore, cause some level of curiosity about the participants - - the lawyers, the witnesses, the defendants, perhaps even the judge and, to some extent, the jurors. Any outside interest in t his proceeding and its participants could come to your attention by, for example, comments, questions, and other attempts by interested persons to contact you and learn more about this case, both during and after the trial. These inquiries, even though well intended not to cause mischief, can nevertheless distract or divert your attention from your duties as a juror, place you in awkward circumstances, inconvenience you or your friends and family, and otherwise create opportunities for unwanted and improper approaches toward you from outside the courtroom.
Notwithstanding any media and public interest in this case, as I will explain in greater detail at a later time, during your service as a juror you must refrain from discussing this proceeding with anyone and, even after the case is concluded, you will never be required to explain your verdict or your jury service to anyone.
Therefore, after consideration of all the attendant circumstances, I have decided that during the selection of those who will serve as jurors and, thereafter, during the term of your service as a juror in this case, your name, your address, and your place of employment - - and any other bit of information that particularly identifies you - - will remain unstated and unavailable to anyone except court personnel. In other words, your names and other identifying information have not been and will not be disclosed. Of course, I know your names, but they will go no further.
In short, during and after these proceedings, we will refer to you only by your juror number. As I said, this will serve to discourage inquiries from those seeking information and otherwise preserve your privacy over against unwanted and unsolicited publicity, telephone calls, letters, questions, and the like.
ANNOTATIONS AND COMMENTS
The term “innominate” jury (in preference to anonymous jury) is taken from United States v. Ippolito, 10 F.Supp. 1305, 1307 n.1 (M.D. Fla. 1998), as approved in United States v. Carpa, 271 F.3d 962 (11th Cir. 2001) (reversing in part on other grounds).
The selection of an innominate jury is a “drastic measure” but is an approved
technique in this Circuit when circumstances warrant. United States v. Ross, 33
F.3d 1507, 1419-1522 (11th Cir. 1994). See also, United States v. Salvatore, 110
F.3d 1131, 1143-1144 (5th Cir. 1997).
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 2.1
Preliminary Instructions Before Opening Statements
(Short Form)
NCJIC Materials Related To This Instruction:
Chapter 12: Preliminary Instructions
Members of the Jury:
You have now been sworn as the jury to try this case. By your verdict(s) you will decide the disputed issues of fact. I will decide all questions of law that arise during the trial, and before you retire to deliberate together and decide the case at the end of the trial, I will instruct you on the rules of law that you must follow and apply in reaching your decision.
Because you will be called upon to decide the facts of the case, you should give careful attention to the testimony and evidence presented for your consideration during the trial, but you should keep an open mind and should not form or state any opinion about the case one way or the other until you have heard all of the evidence and have had the benefit of the closing arguments of the lawyers as well as my instructions to you on the applicable law.
During the trial you must not discuss the case in any manner among yourselves or with anyone else, and you must not permit anyone to attempt to discuss it with you or in your presence; and, insofar as the lawyers are concerned, as well as others whom you may come to recognize as having some connection with the case, you are instructed that, in order to avoid even the appearance of impropriety, you should have no conversation whatever with those persons while you are serving on the jury.
You must also avoid reading any newspaper articles that might be published about the case now that the trial has begun, and you must also avoid listening to or observing any broadcast news program on either television or radio because of the possibility that some mention might be made of the case during such a broadcast now that the trial is in progress.
The reason for these cautions, of course, lies in the fact that it will be your duty to decide this case only on the basis of the testimony and evidence presented during the trial without consideration of any other matters whatever.
From time to time during the trial I may be called upon to make rulings of law on motions or objections made by the lawyers. You should not infer or conclude from any ruling I may make that I have any opinions on the merits of the case favoring one side or the other. And if I sustain an objection to a question that goes unanswered by the witness, you should not speculate on what answer might have been given, nor should you draw any inferences or conclusions from the question itself.
During the trial it may be necessary for me to confer with the lawyers from time to time out of your hearing concerning questions of law or procedure that require consideration by the Court alone. On some occasions you may be excused from the courtroom as a convenience to you and to us while I discuss such matters with the lawyers. I will try to limit such interruptions as much as possible, but you should remember at all times the importance of the matter you are here to determine and should be patient even though the case may seem to go slowly.
In that regard, as you were told during the process of your selection, we expect the case to last _____ , but I will make every effort to expedite the trial whenever possible.
Now, we will begin by affording the lawyers for each side an opportunity to make opening statements to you in which they may explain the issues in the case and summarize the facts they expect the evidence will show. After all the testimony and evidence has been presented, the lawyers will then be given another opportunity to address you at the end of the trial and make their summations or final arguments in the case. The statements that the lawyers make now, as well as the arguments they present at the end of the trial, are not to be considered by you either as evidence in the case (which comes only from the witnesses and exhibits) or as your instruction on the law (which will come only from me). Nevertheless, these statements and arguments are intended to help you understand the issues and the evidence as it comes in, as well as the positions taken by both sides. So I ask that you now give the lawyers your close attention as I recognize them for the purpose of making an opening statement.
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
You have now been sworn as the jury to try this case. By your verdict(s) you will decide the disputed issues of fact. I will decide all questions of law that arise during the trial, and before you retire to deliberate together and decide the case at the end of the trial, I will instruct you on the rules of law that you must follow and apply in reaching your decision.
Because you will be called upon to decide the facts of the case, you should give careful attention to the testimony and evidence presented for your consideration during the trial, but you should keep an open mind and should not form or state any opinion about the case one way or the other until you have heard all of the evidence and have had the benefit of the closing arguments of the lawyers as well as my instructions to you on the applicable law.
During the trial you must not discuss the case in any manner among yourselves or with anyone else, and you must not permit anyone to attempt to discuss it with you or in your presence; and, insofar as the lawyers are concerned, as well as others whom you may come to recognize as having some connection with the case, you are instructed that, in order to avoid even the appearance of impropriety, you should have no conversation whatever with those persons while you are serving on the jury.
You must also avoid reading any newspaper articles that might be published about the case now that the trial has begun, and you must also avoid listening to or observing any broadcast news program on either television or radio because of the possibility that some mention might be made of the case during such a broadcast now that the trial is in progress.
The reason for these cautions, of course, lies in the fact that it will be your duty to decide this case only on the basis of the testimony and evidence presented during the trial without consideration of any other matters whatever.
From time to time during the trial I may be called upon to make rulings of law on motions or objections made by the lawyers. You should not infer or conclude from any ruling I may make that I have any opinions on the merits of the case favoring one side or the other. And if I sustain an objection to a question that goes unanswered by the witness, you should not speculate on what answer might have been given, nor should you draw any inferences or conclusions from the question itself.
During the trial it may be necessary for me to confer with the lawyers from time to time out of your hearing concerning questions of law or procedure that require consideration by the Court alone. On some occasions you may be excused from the courtroom as a convenience to you and to us while I discuss such matters with the lawyers. I will try to limit such interruptions as much as possible, but you should remember at all times the importance of the matter you are here to determine and should be patient even though the case may seem to go slowly.
In that regard, as you were told during the process of your selection, we expect the case to last ________ , but I will make every effort to expedite the trial whenever possible.
Now, we will begin by affording the lawyers for each side an opportunity to make opening statements to you in which they may explain the issues in the case and summarize the facts they expect the evidence will show. After all the testimony and evidence has been presented, the lawyers will then be given another opportunity to address you at the end of the trial and make their summations or final arguments in the case. The statements that the lawyers make now, as well as the arguments they present at the end of the trial, are not to be considered by you either as evidence in the case (which comes only from the witnesses and exhibits) or as your instruction on the law (which will come only from me). Nevertheless, these statements and arguments are intended to help you understand the issues and the evidence as it comes in, as well as the positions taken by both sides. So I ask that you now give the lawyers your close attention as I recognize them for the purpose of making an opening statement.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 2.2
Preliminary Instructions Before Opening Statements
(Long Form)
NCJIC Materials Related To This Instruction:
Chapter 12: Preliminary Instructions
Instructions On The Law Governing Substantive Offenses. In addition to the alleged conspiracy offense, the indictment also charges certain so-called "substantive offenses," namely [here describe the alleged substantive offenses charged in the indictment]. In order to establish that offense the Government must prove beyond a reasonable doubt each of the following essential elements:Members of the Jury:
You have now been sworn as the jury to try this case and I would like to give you some preliminary instructions at this time.
By your verdict(s) you will decide the disputed issues of fact. I will decide all questions of law that arise during the trial, and before you retire to deliberate together and decide the case at the end of the trial, I will then instruct you again on the rules of law that you must follow and apply in reaching your decision.
Because you will be called upon to decide the facts of the case you should give careful attention to the testimony and evidence presented for your consideration during the trial, but you should keep an open mind and should not form or state any opinion about the case one way or the other until you have heard all of the evidence and have had the benefit of the closing arguments of the lawyers as well as my instructions to you on the applicable law.
During the trial you must not discuss the case in any manner among yourselves or with anyone else, and you must not permit anyone to attempt to discuss it with you or in your presence; and, insofar as the lawyers are concerned, as well as others whom you may come to recognize as having some connection with the case, you are instructed that, in order to avoid even the appearance of impropriety, you should have no conversation whatever with those persons while you are serving on the jury.
You must also avoid reading any newspaper articles that might be published about the case now that the trial has begun, and you must also avoid listening to or observing any broadcast news program on either television or radio because of the possibility that some mention might be made of the case during such a broadcast now that the trial is in progress.
The reason for these cautions, of course, lies in the fact that it will be your duty to decide this case only on the basis of the testimony and evidence presented during the trial without consideration of any other matters whatever.
From time to time during the trial I may be called upon to make rulings of law on motions or objections made by the lawyers. You should not infer or conclude from any ruling I may make that I have any opinions on the merits of the case favoring one side or the other. And if I sustain an objection to a question that goes unanswered by the witness, you should not speculate on what answer might have been given, nor should you draw any inferences or conclusions from the question itself.
During the trial it may be necessary for me to confer with the lawyers from time to time out of your hearing concerning questions of law or procedure that require consideration by the Court alone. On some occasions you may be excused from the courtroom as a convenience to you and to us while I discuss such matters with the lawyers. I will try to limit such interruptions as much as possible, but you should remember at all times the importance of the matter you are here to determine and should be patient even though the case may seem to go slowly.
In that regard, as you were told during the process of your selection, we expect the case to last _____ , but I will make every effort to expedite the trial whenever possible.
Now, in order that you might better understand at the beginning of the case the nature of the decisions you will be asked to make and how you should go about making them, I would like to give you some preliminary instructions at this time concerning some of the rules of law that will apply.
Of course, the preliminary instructions I will give you now will not cover all of the rules of law applicable to this case. As stated before, I will instruct you fully at the end of the trial just before you retire to deliberate upon your verdict(s), and will probably restate at that time some of the rules I want to tell you about now. In any event, you should not single out any one instruction alone as stating the law, but should consider all of my instructions as a whole.
Presumption of Innocence. As you were told during the process of your selection, an indictment in a criminal case is merely the accusatory paper which states the charge or charges to be determined at the trial, but it is not evidence against the Defendant or anyone else. Indeed, the Defendant has entered a plea of Not Guilty and is presumed by the law to be innocent. The Government has the burden of proving a Defendant guilty beyond a reasonable doubt, and if it fails to do so you must find that Defendant not guilty.
Burden of Proof. Proof beyond a reasonable doubt is proof of such a convincing character that you would be willing to rely and act upon it without hesitation in the most important of your own affairs.
Order of Proof - Defendant's Right Not To Testify. Because the Government has the burden of proof it will go forward and present its testimony and evidence first. After the Government finishes or "rests" what we call its "case in chief," the Defendant may call witnesses and present evidence if [he] [she] wishes to do so. However, you will remember that the law does not require a Defendant to prove [his] [her] innocence or produce any evidence at all, and no inference whatever may be drawn from the election of a Defendant not to testify in the event [he] [she] should so elect.
Credibility Of The Witnesses. As you listen to the testimony you should remember that you will be the sole judges of the credibility or "believability" of each witness and the weight to be given to his or her testimony. In deciding whether you believe or disbelieve any witness you should consider his or her relationship to the Government or to the Defendant; the interest, if any, of the witness in the outcome of the case; his or her manner of testifying; the opportunity of the witness to observe or acquire knowledge concerning the facts about which he or she testified; the candor, fairness and intelligence of the witness; and the extent to which the witness has been supported or contradicted by other credible evidence. You may, in short, accept or reject the testimony of any witness in whole or in part.
Trial Transcripts Not Available. You will notice that the Court Reporter is making a complete stenographic record of all that is said during the trial, including the testimony of the witnesses, in case it should become necessary at a future date to prepare printed transcripts of any portion of the trial proceedings. Such transcripts, however, if prepared at all, will not be printed in sufficient time or appropriate form for your review during your deliberations, and you should not expect to receive any transcripts. You will be required to rely upon your own individual and collective memory concerning what the testimony was.Exhibits Will Be Available. On the other hand, any papers and other tangible exhibits received in evidence during the trial will be available to you for study during your deliberations. On some occasions, during the trial, exhibits may be handed to you for brief inspection there in the Jury box; others will not be shown to you. But do not be concerned because, as I said, you will get to see and inspect at the end of the case all of the exhibits that are received in evidence.
Notetaking - Permitted. Because transcripts will not be available, you will be permitted to take notes during the trial if you want to do so, and the Clerk will provide notebooks and pens or pencils for each of you. On the other hand, of course, you are not required to take notes if you do not want to. That will be left up to you, individually.
If you do decide to take notes, be careful not to get so involved in notetaking that you become distracted from the ongoing proceedings. Don't try to summarize all of the testimony. Instead, limit your notetaking to specific items of information that might be difficult to remember later such as dates, times, amounts, measurements or identities and relationships. But remember that you must decide upon the credibility or believability of each witness, and you must therefore observe the demeanor and appearance of each witness while testifying. Notetaking must not distract you from that task.
Also your notes should be used only as aids to your memory; and, whether you take notes or not, you should rely upon your own independent recollection or memory of what the testimony was and should not be unduly influenced by the notes of other Jurors. Notes are not entitled to any greater weight than the recollection or impression of each Juror as to what the testimony was.
Notetaking - Not Permitted. A question sometimes arises as to whether individual members of the Jury will be permitted to take notes during the trial.
The desire to take notes is perfectly natural, especially for those of you who are accustomed to making notes because of your schooling or the nature of your work or the like. It is requested, however, that Jurors not take notes during the trial. One of the reasons for having a number of persons on the Jury is to gain the advantage of your several, individual memories concerning the testimony presented before you; and, while some of you might feel comfortable taking notes, other members of the Jury may not have skill or experience in notetaking and may not wish to do so.
Instructions On The Law Of Conspiracy. As you know from the explanation I gave during the course of your selection, it is charged in this case (among other things) that the Defendant(s) engaged in an unlawful "conspiracy" to commit certain offenses.
Under the law a "conspiracy" is a combination or agreement of two or more persons to join together to attempt to accomplish some unlawful purpose. It is a kind of "partnership in criminal purposes," and willful participation in such a scheme or agreement, [followed by the commission of an overt act by one of the conspirators] N1 is sufficient to complete the offense of "conspiracy" itself even though the ultimate criminal object of the conspiracy is not accomplished or carried out. In order to establish the offense of "conspiracy" the Government must prove beyond a reasonable doubt each of the following specific facts:
(1) That two or more persons in some way or manner, came to a mutual understanding to try to accomplish a common and unlawful plan, as charged in the indictment;
(2) That the Defendant, knowing the unlawful purpose of the plan, willfully joined in it;
[(3) That one of the conspirators during the existence of the conspiracy knowingly committed at least one of the methods (or "overt acts") described in the indictment; and (4) That such "overt act" was knowingly committed at or about the time alleged in an effort to carry out or accomplish some object of the conspiracy.]N1
[Quote essential elements of the offense as set forth in the appropriate Offense Instruction.]
The word "knowingly," as that term has been used in these instructions, means that the act was done voluntarily and intentionally and not because of mistake or accident.
The word "willfully, " as that term has been used in these instructions, means that the act was committed voluntarily and purposely with the specific intent to do something the law forbids; that is to say, with bad purpose either to disobey or disregard the law.
Conclusion. Now, we will begin the trial at this time by affording the lawyers for each side an opportunity to make opening statements to you in which they may explain the issues in the case and summarize the facts they expect the evidence will show. After all the testimony and evidence has been presented, the lawyers will then be given another opportunity to address you at the end of the trial and make their summations or final arguments in the case.
The statements that the lawyers make now, as well as the arguments they present to you at the end of the trial, are not to be considered by you either as evidence in the case (which comes only from the witnesses and exhibits), or as your instruction on the law (which will come only from me). Nevertheless, these statements or arguments are intended to help you understand the evidence as it comes in, the issues or disputes you will be called upon to decide, as well as the positions taken by both sides. So I ask that you now give the lawyers your close attention as I recognize them in turn for the purpose of making an opening statement.
n1 The bracketed material on this page should be omitted with respect to conspiracy offenses not requiring proof of overt acts (such as 21 USC 846 and 963).
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
You have now been sworn as the jury to try this case and I would like to give you some preliminary instructions at this time.
By your verdict(s) you will decide the disputed issues of fact. I will decide all questions of law that arise during the trial, and before you retire to deliberate together and decide the case at the end of the trial, I will then instruct you again on the rules of law that you must follow and apply in reaching your decision.
Because you will be called upon to decide the facts of the case you should give careful attention to the testimony and evidence presented for your consideration during the trial, but you should keep an open mind and should not form or state any opinion about the case one way or the other until you have heard all of the evidence and have had the benefit of the closing arguments of the lawyers as well as my instructions to you on the applicable law.
During the trial you must not discuss the case in any manner among yourselves or with anyone else, and you must not permit anyone to attempt to discuss it with you or in your presence; and, insofar as the lawyers are concerned, as well as others whom you may come to recognize as having some connection with the case, you are instructed that, in order to avoid even the appearance of impropriety, you should have no conversation whatever with those persons while you are serving on the jury.
You must also avoid reading any newspaper articles that might be published about the case now that the trial has begun, and you must also avoid listening to or observing any broadcast news program on either television or radio because of the possibility that some mention might be made of the case during such a broadcast now that the trial is in progress.
The reason for these cautions, of course, lies in the fact that it will be your duty to decide this case only on the basis of the testimony and evidence presented during the trial without consideration of any other matters whatever.
From time to time during the trial I may be called upon to make rulings of law on motions or objections made by the lawyers. You should not infer or conclude from any ruling I may make that I have any opinions on the merits of the case favoring one side or the other. And if I sustain an objection to a question that goes unanswered by the witness, you should not speculate on what answer might have been given, nor should you draw any inferences or conclusions from the question itself.
During the trial it may be necessary for me to confer with the lawyers from time to time out of your hearing concerning questions of law or procedure that require consideration by the Court alone. On some occasions you may be excused from the courtroom as a convenience to you and to us while I discuss such matters with the lawyers. I will try to limit such interruptions as much as possible, but you should remember at all times the importance of the matter you are here to determine and should be patient even though the case may seem to go slowly.
In that regard, as you were told during the process of your selection, we expect the case to last , but I will make every effort to expedite the trial whenever possible.
Now, in order that you might better understand at the beginning of the case the nature of the decisions you will be asked to make and how you should go about making them, I would like to give you some preliminary instructions at this time concerning some of the rules of law that will apply.
Of course, the preliminary instructions I will give you now will not cover all of the rules of law applicable to this case. As stated before, I will instruct you fully at the end of the trial just before you retire to deliberate upon your verdict(s), and will probably restate at that time some of the rules I want to tell you about now. In any event, you should not single out any one instruction alone as stating the law, but should consider all of my instructions as a whole.
Presumption of Innocence. As you were told during the process of your selection, an indictment in a criminal case is merely the accusatory paper which states the charge or charges to be determined at the trial, but it is not evidence against the Defendant or anyone else. Indeed, the Defendant has entered a plea of Not Guilty and is presumed by the law to be innocent. The Government has the burden of proving a Defendant guilty beyond a reasonable doubt, and if it fails to do so you must find that Defendant not guilty.
Burden of Proof. Proof beyond a reasonable doubt is proof of such a convincing character that you would be willing to rely and act upon it without hesitation in the most important of your own affairs.
Order of Proof - Defendant's Right Not To Testify. Because the Government has the burden of proof it will go forward and present its testimony and evidence first. After the Government finishes or "rests" what we call its "case in chief," the Defendant may call witnesses and present evidence if [he] [she] wishes to do so. However, you will remember that the law does not require a Defendant to prove [his] [her] innocence or produce any evidence at all, and no inference whatever may be drawn from the election of a Defendant not to testify in the event [he] [she] should so elect.
Credibility Of The Witnesses. As you listen to the testimony you should remember that you will be the sole judges of the credibility or "believability" of each witness and the weight to be given to his or her testimony. In deciding whether you believe or disbelieve any witness you should consider his or her relationship to the Government or to the Defendant; the interest, if any, of the witness in the outcome of the case; his or her manner of testifying; the opportunity of the witness to observe or acquire knowledge concerning the facts about which he or she testified; the candor, fairness and intelligence of the witness; and the extent to which the witness has been supported or contradicted by other credible evidence. You may, in short, accept or reject the testimony of any witness in whole or in part.
Trial Transcripts Not Available. You will notice that the Court Reporter is making a complete stenographic record of all that is said during the trial, including the testimony of the witnesses, in case it should become necessary at a future date to prepare printed transcripts of any portion of the trial proceedings. Such transcripts, however, if prepared at all, will not be printed in sufficient time or appropriate form for your review during your deliberations, and you should not expect to receive any transcripts. You will be required to rely upon your own individual and collective memory concerning what the testimony was.
Exhibits Will Be Available. On the other hand, any papers and other tangible exhibits received in evidence during the trial will be available to you for study during your deliberations. On some occasions, during the trial, exhibits may be handed to you for brief inspection there in the Jury box; others will not be shown to you. But do not be concerned because, as I said, you will get to see and inspect at the end of the case all of the exhibits that are received in evidence.
Note Taking - Permitted. Because transcripts will not be available, you will be permitted to take notes during the trial if you want to do so, and the Clerk will provide notebooks and pens or pencils for each of you. On the other hand, of course, you are not required to take notes if you do not want to. That will be left up to you, individually.
If you do decide to take notes, be careful not to get so involved in notetaking that you become distracted from the ongoing proceedings. Don't try to summarize all of the testimony. Instead, limit your notetaking to specific items of information that might be difficult to remember later such as dates, times, amounts, measurements or identities and relationships. But remember that you must decide upon the credibility or believability of each witness, and you must therefore observe the demeanor and appearance of each witness while testifying. Notetaking must not distract you from that task.
Also your notes should be used only as aids to your memory; and, whether you take notes or not, you should rely upon your own independent recollection or memory of what the testimony was and should not be unduly influenced by the notes of other Jurors. Notes are not entitled to any greater weight than the recollection or impression of each Juror as to what the testimony was.
Note Taking - Not Permitted. A question sometimes arises as to whether individual members of the Jury will be permitted to take notes during the trial.
The desire to take notes is perfectly natural, especially for those of you who are accustomed to making notes because of your schooling or the nature of your work or the like. It is requested, however, that Jurors not take notes during the trial. One of the reasons for having a number of persons on the Jury is to gain the advantage of your several, individual memories concerning the testimony presented before you; and, while some of you might feel comfortable taking notes, other members of the Jury may not have skill or experience in notetaking and may not wish to do so.
Instructions On The Law Of Conspiracy. As you know from the explanation I gave during the course of your selection, it is charged in this case (among other things) that the Defendant(s) engaged in an unlawful "conspiracy" to commit certain offenses.
Under the law a "conspiracy" is a combination or agreement of two or more persons to join together to attempt to accomplish some unlawful purpose. It is a kind of "partnership in criminal purposes," and willful participation in such a scheme or agreement, [followed by the commission of an overt act by one of the conspirators] is sufficient to complete the offense of "conspiracy" itself even though the ultimate criminal object of the conspiracy is not accomplished or carried out. In order to establish the offense of "conspiracy" the Government must prove beyond a reasonable doubt each of the following specific facts:
(1) That two or more persons in some way or manner, came to a mutual understanding to try to accomplish a common and unlawful plan, as charged in the indictment;
(2) That the Defendant, knowing the unlawful purpose of the plan, willfully joined in it;
[(3) That one of the conspirators during the existence of the conspiracy knowingly committed at least one of the methods (or "overt acts") described in the indictment; and
(4) That such "overt act" was knowingly committed at or about the time alleged in an effort to carry out or accomplish some object of the conspiracy.]
Instructions On The Law Governing Substantive Offenses. In addition to the alleged conspiracy offense, the indictment also charges certain so-called "substantive offenses," namely [here describe the alleged substantive offenses charged in the indictment]. In order to establish that offense the Government must prove beyond a reasonable doubt each of the following essential elements:
[Quote essential elements of the offense as set forth in the appropriate Offense Instruction.]
The word "knowingly," as that term has been used in these instructions, means that the act was done voluntarily and intentionally and not because of mistake or accident.
The word "willfully, " as that term has been used in these instructions, means that the act was committed voluntarily and purposely with the specific intent to do something the law forbids; that is to say, with bad purpose either to disobey or disregard the law.
Conclusion. Now, we will begin the trial at this time by affording the lawyers for each side an opportunity to make opening statements to you in which they may explain the issues in the case and summarize the facts they expect the evidence will show. After all the testimony and evidence has been presented, the lawyers will then be given another opportunity to address you at the end of the trial and make their summations or final arguments in the case.
The statements that the lawyers make now, as well as the arguments they present to you at the end of the trial, are not to be considered by you either as evidence in the case (which comes only from the witnesses and exhibits), or as your instruction on the law (which will come only from me). Nevertheless, these statements or arguments are intended to help you understand the evidence as it comes in, the issues or disputes you will be called upon to decide, as well as the positions taken by both sides. So I ask that you now give the lawyers your close attention as I recognize them in turn for the purpose of making an opening statement.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 3.1
Note Taking - Permitted
NCJIC Materials Related To This Instruction:
16.8 Juror Notetaking
Members of the Jury:
[I see that some of you, from time-to-time, have been taking notes during the proceedings up to this point.]
[or]
[I understand that someone on the Jury has asked the Clerk or the Marshal about the taking of notes by members of the Jury during the course of the trial.]
If you would like to take notes during the trial you may do so, and the Clerk will provide notebooks and pens or pencils for each of you. On the other hand, of course, you are not required to take notes if you would prefer not to do so. That will be left up to you individually.
If you do decide to take notes, however, be careful not to get so involved in note taking that you become distracted from the ongoing proceedings. Don't try to summarize all of the testimony. Instead, limit your notetaking to specific items of information that might be difficult to remember later such as dates, times, amounts or measurements, and identities or relationships. But remember that you must decide upon the credibility or believability of each witness, and you must therefore observe the demeanor and appearance of each witness while testifying. Notetaking must not distract you from that task.
Also, your notes should be used only as memory aids. You should not give your notes precedence over your independent recollection of the evidence; and, whether you take notes or not, you should rely upon your own independent recollection of the proceedings and you should not be unduly influenced by the notes of other jurors.
I emphasize that notes are not entitled to any greater weight than the memory or impression of each juror as to what the testimony was.
ANNOTATIONS AND COMMENTS
United States v. Rhodes, 631 F.2d 43, 45 (5th Cir. 1980) held that: "Trial courts
often allow jurors to take notes in simple as well as complex cases, and it is within
their discretion to do so." The court suggested a jury instruction in substantially this
form. Id., at 46, n.3.
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
[I see that some of you, from time-to-time, have been taking notes during the proceedings up to this point.]
[or]
[I understand that someone on the Jury has asked the Clerk or the Marshal about the taking of notes by members of the Jury during the course of the trial.]
If you would like to take notes during the trial you may do so, and the Clerk will provide notebooks and pens or pencils for each of you. On the other hand, of course, you are not required to take notes if you would prefer not to do so. That will be left up to you individually.
If you do decide to take notes, however, be careful not to get so involved in note taking that you become distracted from the ongoing proceedings. Don't try to summarize all of the testimony. Instead, limit your notetaking to specific items of information that might be difficult to remember later such as dates, times, amounts or measurements, and identities or relationships. But remember that you must decide upon the credibility or believability of each witness, and you must therefore observe the demeanor and appearance of each witness while testifying.
Note taking must not distract you from that task.
Also, your notes should be used only as memory aids. You should not give your notes precedence over your independent recollection of the evidence; and, whether you take notes or not, you should rely upon your own independent recollection of the proceedings and you should not be unduly influenced by the notes of other jurors.
I emphasize that notes are not entitled to any greater weight than the memory or impression of each juror as to what the testimony was.
Annotations and Comments
United States v. Rhodes, 631 F.2d 43, 45 (5th Cir. 1980) held that: "Trial courts often allow jurors to take notes in simple as well as complex cases, and it is within their discretion to do so." The court suggested a jury instruction in substantially this form. Id., at 46, n.3.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 3.2
Note Taking - Not Permitted
NCJIC Materials Related To This Instruction:
16.8 Juror Notetaking
Members of the Jury:
[I see that some of you, from time-to-time, have been taking notes during the proceedings up to this point.]
[or]
[I understand that someone on the Jury has asked the Clerk or the Marshal about the taking of notes by members of the Jury during the course of the trial.]
The desire to take notes, of course, is a perfectly natural and understandable desire, particularly for those of you who are
accustomed to making notes because of your schooling or the nature of your work or the like.Ordinarily, however, it is requested that Jurors not take notes during the trial.
One of the reasons for having a number of persons on the Jury in the first place is to gain the advantage of your several, individual memories concerning the testimony so that you can then deliberate together at the end of the trial to reach agreement concerning the facts; and while some of you might feel comfortable taking notes, other members of the Jury may not have skill or experience in notetaking and may not wish to do so.
[Also, insofar as tangible exhibits are concerned, remember that all exhibits received in evidence during the trial will be available to you for study during your deliberations, and notes concerning those items would be of little or no value anyway.]
So, for those reasons, I ask that you not take notes during the trial.
ANNOTATIONS AND COMMENTS
United States v. Rhodes, 631 F.2d 43, 45 (5th Cir. 1980). Permitting notetaking by jurors, or not permitting notetaking, lies within the discretion of the District Court.
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
[I see that some of you, from time-to-time, have been taking notes during the proceedings up to this point.]
[or]
[I understand that someone on the Jury has asked the Clerk or the Marshal about the taking of notes by members of the Jury during the course of the trial.]
The desire to take notes, of course, is a perfectly natural and understandable desire, particularly for those of you who are accustomed to making notes because of your schooling or the nature of your work or the like.
Ordinarily, however, it is requested that Jurors not take notes during the trial.
One of the reasons for having a number of persons on the Jury in the first place is to gain the advantage of your several, individual memories concerning the testimony so that you can then deliberate together at the end of the trial to reach agreement concerning the facts; and while some of you might feel comfortable taking notes, other members of the Jury may not have skill or experience in notetaking and may not wish to do so.
[Also, insofar as tangible exhibits are concerned, remember that all exhibits received in evidence during the trial will be available to you for study during your deliberations, and notes concerning those items would be of little or no value anyway.]
So, for those reasons, I ask that you not take notes during the trial.
Annotations and Comments
United States v. Rhodes, 631 F.2d 43, 45 (5th Cir. 1980). Permitting notetaking by jurors, or not permitting notetaking, lies within the discretion of the District Court.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 4
Cautionary Instruction
Similar Acts Evidence
(Rule 404(b), FRE)
NCJIC Materials Related To This Instruction:
26.5 Uncharged Acts To Prove Issues Other Than Propensity
You have just heard evidence of acts of the Defendant which may be similar to those charged in the indictment, but which were committed on other occasions. You must not consider any of this evidence in deciding if the Defendant committed the acts charged in the indictment. However, you may consider this evidence for other, very limited, purposes.
If you find beyond a reasonable doubt from other evidence in this case that the Defendant did commit the acts charged in the indictment, then you may consider evidence of the similar acts allegedly committed on other occasions to determine
[whether the Defendant had the state of mind or intent necessary to commit the crime charged in the indictment]
or
[whether the Defendant had a motive or the opportunity to commit the acts charged in the indictment]
or
[whether the Defendant acted according to a plan or in preparation for commission of a crime]
or
[whether the identity of the Defendant as the perpetrator of the crime charged here has been established]
or
[whether the Defendant committed the acts for which the Defendant is on trial by accident or mistake.]
ANNOTATIONS AND COMMENTS
Rule 404. [FRE] Character Evidence Not Admissible To Prove Conduct; Exceptions; Other Crimes
* * * * *
(b) Other crimes, wrongs, or acts. - - Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show action in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident, provided that upon request by the accused, the prosecution in a criminal case shall provide reasonable notice in advance of trial, or during trial if the court excuses pretrial notice on good cause shown, of the general nature of any such evidence it intends to introduce at trial.
United States v. Beechum, 582 F.2d 898 (5th Cir. 1978) en banc, cert. denied, 440 U.S. 920, 99 S.Ct. 1244, 59 L.Ed.2d 472 (1979), discusses at length the tests to be applied in admitting or excluding evidence under Rule 404(b); and, more specifically, the different standards that apply depending upon the purpose of the evidence, i.e., to show intent versus identity, for example. See note 15 at pages 911-912. Beechum also approves a limiting instruction similar to this one. See note 23 at pages 917-918.
[For 1997 Version of this instruction, see below]
1997 Version:
You have just heard evidence of acts of the Defendant which may be similar to those charged in the indictment, but which were committed on other occasions. You must not consider any of this evidence in deciding if the Defendant committed the acts charged in the indictment. However, you may consider this evidence for other, very limited, purposes.
If you find beyond a reasonable doubt from other evidence in this case that the Defendant did commit the acts charged in the indictment, then you may consider evidence of the similar acts allegedly committed on other occasions to determine [whether the Defendant had the state of mind or intent necessary to commit the crime charged in the indictment]
or
[whether the Defendant had a motive or the opportunity to commit the acts charged in the indictment]
or
[whether the Defendant acted according to a plan or in preparation for commission of a crime]
or
[whether the identity of the Defendant as the perpetrator of the crime charged here has been established]
or
[whether the Defendant committed the acts for which the Defendant is on trial by accident or mistake.]
Annotations and Comments
Rule 404. [F.R.E.] Character Evidence Not Admissible To Prove Conduct; Exceptions; Other Crimes
* * * * *
(b) Other crimes, wrongs, or acts. - - Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show action in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident, provided that upon request by the accused, the prosecution in a criminal case shall provide reasonable notice in advance of trial, or during trial if the court excuses pretrial notice on good cause shown, of the general nature of any such evidence it intends to introduce at trial.
United States v. Beechum, 582 F.2d 898 (5th Cir. 1978) en banc, cert. denied, 440 U.S. 920, 99 S.Ct. 1244, 59 L.Ed.2d 472 (1979), discusses at length the tests to be applied in admitting or excluding evidence under Rule 404(b); and, more specifically, the different standards that apply depending upon the purpose of the evidence, i.e., to show intent versus identity, for example. See note 15 at pages 911-912. Beechum also approves a limiting instruction similar to this one. See note 23 at pages 917-918.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 5
Explanatory Instruction
Prior Statement or Testimony of a Witness
NCJIC Materials Related To This Instruction:
26.3 Prior Inconsistent Statements
Members of the Jury:
When a witness is questioned about an earlier statement he/she may have made [or earlier testimony he/she may have given] such questioning is permitted in order to aid you in evaluating the truth or accuracy of the witness' testimony here at the trial.
Earlier statements made by a witness [or earlier testimony given by a witness] are not ordinarily offered or received as evidence of the truth or accuracy of those statements, but are referred to for the purpose of giving you a comparison and aiding you in making your decision as to whether you believe or disbelieve the witness' testimony which you hear at trial.
Whether or not such prior statements of a witness are, in fact, consistent or inconsistent with his [or her] trial testimony is entirely for you to determine.
I will, of course, give you additional instructions at the end of the trial concerning a number of matters you may consider in determining the credibility or "believability" of the witnesses and the weight to be given to their testimony.
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
When a witness is questioned about an earlier statement he/she may have made [or earlier testimony he/she may have given] such questioning is permitted in order to aid you in evaluating the truth or accuracy of the witness' testimony here at the trial.
Earlier statements made by a witness [or earlier testimony given by a witness] are not ordinarily offered or received as evidence of the truth or accuracy of those statements, but are referred to for the purpose of giving you a comparison and aiding you in making your decision as to whether you believe or disbelieve the witness' testimony which you hear at trial.
Whether or not such prior statements of a witness are, in fact, consistent or inconsistent with his [or her] trial testimony is entirely for you to determine.
I will, of course, give you additional instructions at the end of the trial concerning a number of matters you may consider in determining the credibility or "believability" of the witnesses and the weight to be given to their testimony.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 6
Explanatory Instruction
Transcript of Tape Recorded Conversation
NCJIC Materials Related To This Instruction:
25.9 Electronic Recordings
Members of the Jury:
As you have heard, Exhibit ___ has been identified as a typewritten transcript [and partial translation from Spanish into English] of the oral conversation that can be heard on the tape recording received in evidence as Exhibit ___ . [The transcript also purports to identify the speakers engaged in such conversation.]
I have admitted the transcript for the limited and secondary purpose of aiding you in following the content of the conversation as you listen to the tape recording, [particularly those portions spoken in Spanish,] [and also to aid you in identifying the speakers.]
However, you are specifically instructed that whether the transcript correctly or incorrectly reflects the content of the conversation [or the identity of the speakers] is entirely for you to determine based upon [your own evaluation of the testimony you have heard concerning the preparation of the transcript, and from] your own examination of the transcript in relation to your hearing of the tape recording itself as the primary evidence of its own contents; and, if you should determine that the transcript is in any respect incorrect or unreliable, you should disregard it to that extent.
ANNOTATIONS AND COMMENTS
United States v. Nixon, 918 F.2d 895 (11th Cir. 1990), held that transcripts are
admissible in evidence, including transcripts that purport to identify the speakers,
and specifically approved the text of this instruction as given at the time the
transcripts were offered and received.
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
As you have heard, Exhibit has been identified as a typewritten transcript [and partial translation from Spanish into English] of the oral conversation that can be heard on the tape recording received in evidence as Exhibit . [The transcript also purports to identify the speakers engaged in such conversation.]
I have admitted the transcript for the limited and secondary purpose of aiding you in following the content of the conversation as you listen to the tape recording, [particularly those portions spoken in Spanish,] [and also to aid you in identifying the speakers.]
However, you are specifically instructed that whether the transcript correctly or incorrectly reflects the content of the conversation [or the identity of the speakers] is entirely for you to determine based upon [your own evaluation of the testimony you have heard concerning the preparation of the transcript, and from] your own examination of the transcript in relation to your hearing of the tape recording itself as the primary evidence of its own contents; and, if you should determine that the transcript is in any respect incorrect or unreliable, you should disregard it to that extent.
Annotations and Comments
United States v. Nixon, 918 F.2d 895 (11th Cir. 1990), held that transcripts are admissible in evidence, including transcripts that purport to identify the speakers, and specifically approved the text of this instruction as given at the time the transcripts were offered and received.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 7
Modified "Allen" Charge
Members of the Jury:
I'm going to ask that you continue your deliberations in an effort to reach agreement upon a verdict and dispose of this case; and I have a few additional comments I would like for you to consider as you do so.
This is an important case. The trial has been expensive in time, effort, money and emotional strain to both the defense and the prosecution. If you should fail to agree upon a verdict, the case will be left open and may have to be tried again. Obviously, another trial would only serve to increase the cost to both sides, and there is no reason to believe that the case can be tried again by either side any better or more exhaustively than it has been tried before you.
Any future jury must be selected in the same manner and from the same source as you were chosen, and there is no reason to believe that the case could ever be submitted to twelve men and women more conscientious, more impartial, or more competent to decide it, or that more or clearer evidence could be produced.
If a substantial majority of your number are in favor of a conviction, those of you who disagree should reconsider whether your doubt is a reasonable one since it appears to make no effective impression upon the minds of the others. On the other hand, if a majority or even a lesser number of you are in favor of an acquittal, the rest of you should ask yourselves again, and most thoughtfully, whether you should accept the weight and sufficiency of evidence which fails to convince your fellow jurors beyond a reasonable doubt.
Remember at all times that no juror is expected to give up an honest belief he or she may have as to the weight or effect of the evidence; but, after full deliberation and consideration of the evidence in the case, it is your duty to agree upon a verdict if you can do so.
You must also remember that if the evidence in the case fails to establish guilt beyond a reasonable doubt the Defendant should have your unanimous verdict of Not Guilty.
You may be as leisurely in your deliberations as the occasion may require and should take all the time which you may feel is necessary.
I will ask now that you retire once again and continue your deliberations with these additional comments in mind to be applied, of course, in conjunction with all of the other instructions I have previously given to you.
ANNOTATIONS AND COMMENTS
United States v. Elkins, 885 F.2d 775, 783 (11th Cir. 1989), cert. denied, 494 U.S. 1005, 110 S.Ct. 1300, 108 L.Ed.2d 477 (1990). "This circuit allows the use of Allen charges."
United States v. Chigbo, 38 F.3d 543, 544-545 (11th Cir. 1994),cert. denied, ____ U.S.____ , 116 S.Ct. 92, 133 L.Ed.2d 48 (1995) approves the text of this instruction verbatim.
[For 1997 Version of this instruction, see below]
1997 Version:
Members of the Jury:
I'm going to ask that you continue your deliberations in an effort to reach agreement upon a verdict and dispose of this case; and I have a few additional comments I would like for you to consider as you do so.
This is an important case. The trial has been expensive in time, effort, money and emotional strain to both the defense and the prosecution. If you should fail to agree upon a verdict, the case will be left open and may have to be tried again. Obviously, another trial would only serve to increase the cost to both sides, and there is no reason to believe that the case can be tried again by either side any better or more exhaustively than it has been tried before you.
Any future jury must be selected in the same manner and from the same source as you were chosen, and there is no reason to believe that the case could ever be submitted to twelve men and women more conscientious, more impartial, or more competent to decide it, or that more or clearer evidence could be produced.
If a substantial majority of your number are in favor of a conviction, those of you who disagree should reconsider whether your doubt is a reasonable one since it appears to make no effective impression upon the minds of the others. On the other hand, if a majority or even a lesser number of you are in favor of an acquittal, the rest of you should ask yourselves again, and most thoughtfully, whether you should accept the weight and sufficiency of evidence which fails to convince your fellow jurors beyond a reasonable doubt.
Remember at all times that no juror is expected to give up an honest belief he or she may have as to the weight or effect of the evidence; but, after full deliberation and consideration of the evidence in the case, it is your duty to agree upon a verdict if you can do so.
You must also remember that if the evidence in the case fails to establish guilt beyond a reasonable doubt the Defendant should have your unanimous verdict of Not Guilty.
You may be as leisurely in your deliberations as the occasion may require and should take all the time which you may feel is necessary.
I will ask now that you retire once again and continue your deliberations with these additional comments in mind to be applied, of course, in conjunction with all of the other instructions I have previously given to you.
Annotations and Comments
United States v. Elkins, 885 F.2d 775, 783 (11th Cir. 1989), cert. denied, 494 U.S. 1005, 110 S.Ct. 1300, 108 L.Ed.2d 477 (1990). "This circuit allows the use of Allen charges."
United States v. Chigbo, 38 F.3d 543, 544-545 (11th Cir. 1994),cert. denied, U.S. , 116 S.Ct. 92, 133 L.Ed.2d 48 (1995) approves the text of this instruction verbatim.
PATTERN JURY INSTRUCTIONS – ELEVENTH CIRCUIT – 2003
TI 8
Forfeiture Proceedings
(To be given before supplemental evidentiary proceedings
and/or supplemental arguments of counsel)
Members Of The Jury:
Your verdict in this case does not complete your jury service, as it would in most cases, because there is another matter you must now consider and decide, namely, whether the Defendant[s] ________ should forfeit certain [money or] property to the United States as a part of the penalty for the crime charged in Count _____ of the indictment.
In a portion of the indictment not previously discussed or disclosed to you, it is alleged that the Defendant[s] [obtained] [maintained] or [derived] certain [money or] property from the commission of the offense charged in Count _____ ; and, in view of your verdict finding the Defendant[s] guilty of that offense, you must also decide, under the law I will now explain to you, whether such [money or] property should be forfeited to the United States.
The term “forfeited” simply means for someone to be divested or deprived of the ownership of something as a part of the punishment allowed by the law for the commission of certain criminal offenses.
In deciding these forfeiture issues you should consider all of the evidence you have already heard during the trial [plus the additional evidence that will be presented to you when I finish giving you these instructions].
The forfeiture allegations of the indictment - - a copy of which will be provided to you for your consideration during your supplemental deliberations - - describes in particular the [money or proceeds] [and] [property] allegedly subject to forfeiture to the United States.
[Read or summarize the money or property described in the indictment as subject to forfeiture]
In order to be entitled to the forfeiture of [any of those items of] [that] property, the Government must have proved [beyond a reasonable doubt] [by a preponderance of the evidence]:
Option No. 1
(Forfeitures under 18 USC 982)First: That the [money or] property to be forfeited constitutes the proceeds the Defendant obtained directly or indirectly as the result of the crime charged in Count _____ of the indictment;
OR
Second: That the [money or] property to be forfeited [was derived from] [traceable to] the proceeds the Defendant obtained directly or indirectly as the result of the crime charged in Count _____ of the indictment.
Option No. 2
(RICO - 18 USC 1963(a))First: That the [sum of money or proceeds] [property] sought to be forfeited constituted an interest acquired by the Defendant, as charged;
Second: That such interest [was acquired by the Defendant as a result of the conduct of the enterprise’s affairs through the pattern of racketeering activity] [constituted or was derived from proceeds which the Defendant obtained, directly or indirectly, from racketeering activity] committed by the Defendants as charged in Count _____ in violation of Title 18, United States Code, 1962(c).
Option No. 3
(Child Pornography - 18 USC 2253)First: That the property to be forfeited is a visual depiction, or other matter which contains a visual depiction, which was [produced] [transported] [received] in violation of [cite statutory offense of conviction].
OR
Second: That the property to be forfeited constituted, or is traceable to, gross profits or other proceeds obtained from the offense of conviction.
OR
Third: That the property to be forfeited was used or intended to e used to commit or to promote the commission of the offense of conviction.
Option No. 4
(Drug Offenses - 21 USC 853)First: That the property to be forfeited constitutes, or was derived from, the proceeds the Defendant obtained, directly or indirectly, as the result of the commission of the offense charged in Count _____ of the indictment,
OR
Second: That the property to be forfeited was used, or was intended to be used, in any manner or part, to commit or to facilitate the commission of, the offense charged in Count _____ of the indictment.
[Before you can find that the Defendant must forfeit any property under either of those standards, however, you must unanimously agree upon which of the two standards should be applied in forfeiting a particular asset.]
[Proof “beyond a reasonable doubt” has the same meaning that I explained to you in my instructions at the end of the trial.]
OR
[A “preponderance of the evidence” simply means an amount of evidence which is enough to persuade you that a claim or contention is more likely true than not true.]
[To be “derived” from something means that the [money or] property under consideration must have been formed or developed out of the original source so as to be directly descended from that source.]
[To be “traceable” to something means that the [money or] property under consideration must have followed an ascertainable course or trail in successive stages of development or progress from the original source.]
[To “facilitate” the commission of an offense means to aid, promote, advance, or make easier, the commission of the act or acts constituting the offense. There must be more than an incidental connection between the property and the offense for you to find that the property facilitated, or was intended to facilitate, the commission of the offense. However, the property need not be indispensable to the commission of the offense, nor does the property have to have been used exclusively for the commission of the offense or as the exclusive means of committing the offense. Property used to facilitate an offense can be in virtually any form.]
While deliberating concerning the issue of forfeiture you must not reexamine your previous determination regarding the Defendant’s guilt. However, all of the instructions previously given to you concerning your consideration of the evidence, the credibility of the witnesses, your duty to deliberate together, your duty to base your verdict solely on the evidence without prejudice, bias or sympathy, and the necessity of a unanimous verdict, will continue to apply during these supplemental deliberations. [The specific instructions I gave you earlier concerning Count _____ and the definitions of the terms “enterprise” and “pattern of racketeering activity” also continue to apply.]
ANNOTATIONS AND COMMENTS
Federal Rule of Criminal Procedure 32.2 provides
(a) Notice To The Defendant. A court shall not enter a judgment of forfeiture in a criminal proceeding unless the indictment or information contains notice to the defendant that the government will seek the forfeiture of property as part of any sentence in accordance with the applicable statute.
* * * *
(b)(4) Upon a party’s request in a case in which a jury returns a verdict of guilty, the jury shall determine whether the government has established the requisite nexus between the property and the offense committed by the defendant.
18 USC 982, entitled “Criminal Forfeiture,” is a general statute that provides for the forfeiture of property interests as a part of the sentence for a variety of offenses enumerated in the several subsections of the statute. The definition of the nexus that must be shown to exist between the offense and the property as a prerequisite to forfeiture differs slightly from one subsection to the next:
982(a)(1) “involved in such offense”
“traceable to such property”982(a)(2) “constituting or derived from proceeds. . .
obtained directly or indirectly as the result”982(a)(3) “which represents or is traceable to the gross receipts
obtained directly or indirectly as a result”982(a)(4) “obtained directly or indirectly, as a result”
982(a)(5) “which represents or is traceable to the
gross receipts obtained directly or
indirectly as a result”982(a)(6) “any conveyance . . . vessel, vehicle or
aircraft used” or “constitutes or is derived
from or is traceable to proceeds obtained
directly or indirectly from” or “is used to
facilitate”982(a)(7) “constitutes or is derived directly or
indirectly from gross proceeds traceable to”982(a)(8) “used to facilitate” or “constituting, derived
from or traceable to”
Extreme care must be taken, therefore, in adapting and tailoring elements of proof
as stated in this instruction to the standards stated in the specific subsection of
982 applicable to the case.
18 USC 1963 (a)(RICO) provides:
Whoever violates any provision of section 1962 of this chapter . . . shall forfeit to the United States (1) any interest the person has acquired or maintained in violation of section 1962; (2) any interest in; security of; claim against; or property or contractual right of any kind affording a source of influence over any enterprise which the person has established, operated, controlled, conducted, or participated in the conduct of, in violation of section 1962; and (3) any property constituting, or derived from, any proceeds which the person obtained, directly or indirectly, from racketeering activity . . . in violation of section 1962.
18 USC 2253 (Child Pornography) provides:
(a) Property subject to criminal forfeiture. - - A person who is convicted of an offense under this chapter [18 U.S.C.A. 2251 et seq.] involving a visual depiction described in section 2251, 2251A, 2252, 2252A, or 2260 of this chapter, or who is convicted of an offense under section 2421, 2422, or 2423 of chapter 117 [18 U.S.C.A. 2421 et seq.], shall forfeit to the United States such person’s interest in - -
(1) any visual depiction described in section 2251, 2251A, or 2252 of this chapter, or any book, magazine, periodical, film, videotape, or other matter which contains any such visual depiction, which was produced, transported, mailed, shipped or received in violation of this chapter;
(2) any property, real or personal, constituting or traceable to gross profits or other proceeds obtained from such offense; and
(3) any property, real or personal, used or intended to be used to commit or to promote the commission of such offense.
21 USC 853(a) (Drug Offenses) provides:
Any person convicted of a violation of this subchapter of subchapter II of this chapter [21 USC 951 et seq.] punishable by imprisonment for more than one year shall forfeit to the United States, irrespective of any provision of State law - -
(1) any property constituting, or derived from, any proceeds the person obtained, directly or indirectly, as the result of such violation;
(2) any of the person's property used, or intended to be used, in any manner or part, to commit, or to facilitate the commission of, such violation; and
(3) in the case of a person convicted of engaging in a continuing criminal enterprise [the defendant forfeits any interest in the enterprise itself]
With respect to forfeitures under 18 USC 982, the preponderance of the evidence standard applies. United States v. Cabeza, 258 F.3d 1256 (11th Cir. 2001) (holding also that the principle of Apprendi does not apply to forfeiture proceedings.)
With respect to the Government’s burden of proof under 18 USC 1963 (RICO), the Eleventh Circuit has not squarely decided the issue. See United States v. Goldin Industries, Inc., 219 F.3d 1271, 1278 at note 10 (11th Cir. 2000) (“The government contends for the first time on appeal that the correct burden of proof is preponderance of the evidence rather than beyond a reasonable doubt. We have never decided this issue with respect to RICO’s forfeiture provision. We need not decide the issue here. . .”)
Other Circuits, however, have held that the beyond a reasonable doubt standard applies. See United States v. Pelullo, 14 F.3d 881, 906 (3d Cir. 1994) (holding that government, in a criminal forfeiture proceeding under 18 USC 1963(a), must prove beyond a reasonable doubt that the targeted property was derived from the defendant’s racketeering activity); United States v. Horak, 833 F.2d 1235, 1243 (7th Cir. 1987). See also United States v. Houlihan, 92 F.3d 1271, 1299 at note 33 (1st Cir. 1996) (affirming district court’s instruction that the government had the burden of proving entitlement to forfeiture pursuant to 18 USC 1963(a) beyond a reasonable doubt, but noting that “the government may have conceded too much,” and that the question was open).
With respect to forfeitures sought under 21 USC §853, the Eleventh Circuit has held that the preponderance of the evidence standard applies. United States v. Elgersma, 971 F.2d 690, 697 (11th Cir. 1992) (en banc) (holding that the preponderance standard applies in 853(a)(1) forfeitures); United States v. Dicter, 198 F.3d 1284, 1289 (11th Cir. 1999) (the preponderance of the evidence standard governs forfeitures under 853(a)(2)).
21 USC 853(d) creates a rebuttable presumption that property is subject to forfeiture if the Government proves by a preponderance of the evidence that the drug offender (1) acquired the property during the period of time the offense of conviction was committed, or within a reasonable time thereafter, and (2) there was no likely source for such property other than the offense.
With respect to forfeiture proceedings under 18 USC 2253, the statute (subsection (e)) requires proof beyond a reasonable doubt.