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12.3 Preliminary Instructions: Miscellaneous Instructions

    12.3.1 Preliminary Instructions: Introductory Paragraph
    12.3.2 Preliminary Instructions: Defendant Need Not Present Evidence
    12.3.3 Preliminary Instructions: Order Of Trial
    12.3.4 Preliminary Instructions: Conclusion And Key Principles
    12.3.5 Preliminary Instructions: Juror Notetaking
    12.3.6 Preliminary Instructions: The Defendant's Right Not To Testify
    12.3.7 Preliminary Instruction: Possibility Of Lesser Offenses
    12.3.8 Preliminary Instructions: Explanation of Delay
    12.3.9 Preliminary Instructions: Questioning Of Witnesses By Jurors
    12.3.10 Preliminary Instructions: Admonition That Final Instructions Control
    12.3.11 Preliminary Instructions In Capital Case: Jury Must Not Consider Penalty During Guilt Phase
    12.3.12 Preliminary Instructions: Reference To The Possibility Of Sequestration


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    12.3.1    Preliminary Instructions: Introductory Paragraph

RATIONAL: An introductory paragraph which is appropriate in tone and content prepares jurors to listen more carefully and completely to the instructions which are to follow.

POINTS AND AUTHORITIES: Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 1 [Standard Preliminary Instruction Before Trial] (1988).

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 7.2].

RESEARCH NOTES:

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION # 1:

    Before we begin the trial, I would like to tell you about what will be happening. I want to describe how the trial will be conducted and explain what we will be doing -- you, the lawyers for both sides, and I. At the end of the trial I will give you more detailed guidance on how you are to go about reaching your decision. But now I simply want to explain how the trial will proceed..."

[Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 1 [Standard Preliminary Instruction Before Trial] p. 1, ¶ 1 (1988).]

SAMPLE INSTRUCTION # 2:

    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.

[11TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL TI 2.1 [Preliminary Instructions Before Opening Statements (Short Form).] (1997).]

SAMPLE INSTRUCTION # 3:

    Ladies and gentlemen: I shall take a few moments now to give you some initial instructions about this case and about your duties as jurors. At the end of the trial I shall give you further instructions. I may also give you instructions during the trial. Unless I specifically tell you otherwise, all such instructions - both those I give you now and those I give you later - are equally binding on you and must be followed.

[8TH CIRCUIT MODEL JURY INSTRUCTIONS - CRIMINAL 1.01 [General: Nature Of Case; Nature Of Indictment; Burden Of Proof; Presumption Of Innocence; Duty Of Jury; Cautionary] (2000).]

SAMPLE INSTRUCTION # 4:

    You are now the jury in this case. I want to take a few minutes to tell you something about your duties as jurors and to give you some instructions. At the end of the trial I will give you more detailed instructions. You must follow all of my instructions in doing your job as jurors.

[5TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL 1.01 [Preliminary Instruction] (2001).]


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    12.3.2    Preliminary Instructions: Defendant Need Not Present Evidence

RATIONALE: Because the presumption of innocence is such a fundamental principle, if it is not included in the preliminary instructions the jury may not fully understand that the defendant need not present evidence. If the jurors do not understand this crucial principle, they may prematurely form opinions about the defendant’s guilt based on his [her] failure to present evidence.

POINTS AND AUTHORITIES: (Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 1 [Standard Preliminary Instruction Before Trial] ¶ 8, p. 3 (1988).)

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 2.2].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION:

    After the government’s evidence, the defendant’s lawyer may (make an opening statement and) present evidence in the defendant’s behalf, but he is not required to do so. I remind you that the defendant is presumed innocent and the government must prove the guilt of the defendant beyond a reasonable doubt. The defendant does not have to prove his innocence.

[Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 1 [Standard Preliminary Instruction Before Trial] ¶ 8, p. 3. (1988).]


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    12.3.3    Preliminary Instructions: Order Of Trial

RATIONALE: Instruction on the order of the trial not only alerts jurors to the various stages of the trial, but also enables jurors to see the logical and legal processes implicit in the course of the trial as it proceeds. This allows jurors to focus more fully on their task.

POINTS AND AUTHORITIES: The need for preliminary instruction on the order or course of the trial has been recognized. (See 9TH CIRCUIT MODEL JURY INSTRUCTIONS - CRIMINAL (2000) 1.12 [Outline Of Trial]; 8TH CIRCUIT MODEL JURY INSTRUCTIONS - CRIMINAL (2000) 1.09 [Outline Of Trial]; see also O’Malley, Grenig & Lee, FEDERAL JURY PRACTICE AND INSTRUCTIONS 10.01 [Opening Instruction] (West, 5th ed. 2000).)  Instruction on the course of the trial is a natural counterpart to instruction on legal issues, since legal issues and the presentation of evidence occur along a course of events within the trial. (See 5TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL 1.01 [Preliminary Instruction] (2001); see also Herr, Annotated Manual for Complex Litigation (West, 3rd ed, 1999) § 22.432, p. 161.)

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 7.1].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION # 1:

    The trial will proceed in the following manner:

    First, the Government attorney will make an opening statement. [Next the defendant's attorney may, but does not have to, make an opening statement.] An opening statement is not [1] evidence but is simply a summary of what the attorney expects the evidence to be.

    The Government will then present its evidence and counsel for defendant may cross-examine. [Following the Government's case, the defendant may, but does not have to, present evidence, testify or call other witnesses. If the defendant calls witnesses, the Government counsel may cross-examine them.] [2]

    After presentation of evidence is completed, the attorneys will make their closing arguments to summarize and interpret the evidence for you. As with opening statements, closing arguments are not evidence. The court will instruct you further on the law. After that you will retire to deliberate on your verdict.

[1] This sentence may be omitted if defendant so requests

[2] These sentences may be omitted if defendant so requests.

[8TH CIRCUIT MODEL JURY INSTRUCTIONS - CRIMINAL 1.09 [Outline Of Trial] (2000).]

SAMPLE INSTRUCTION # 2:

    The next phase of trial will now begin. First, each side may make an opening statement. An opening statement is not evidence. It is simply an outline to help you understand what that party expects the evidence will show. A party is not required to make an opening statement.

    The government will then present evidence, and counsel for the defendant may cross-examine. Then the defendant may present evidence, and counsel for the plaintiff may cross-examine.

    After the evidence has been presented, [I will instruct you on the law that applies to the case and the attorneys will make closing arguments] [the attorneys will make closing arguments and I will instruct you on the law that applies to the case].

    After that you will go to the juryroom to deliberate on your verdict.

[9TH CIRCUIT MODEL JURY INSTRUCTIONS - CRIMINAL 1.12 [Outline Of Trial] (2000).]


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    12.3.4    Preliminary Instructions: Conclusion And Key Principles

RATIONALE: Principles of sound pedagogy suggest that, after lengthy preliminary instructions to the newly empaneled jurors on many matters relating to the trial, the court would be wise to summarize key principles. In this way, the court refocuses the jury’s attention on its basic duties, while reserving the right to instruct, or reinstruct, on other matters later.

POINTS AND AUTHORITIES: See 5TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL (2001) 1.01 [Preliminary Instruction]; see also O’Malley, Grenig & Lee, FEDERAL JURY PRACTICE AND INSTRUCTIONS 10.01, [Opening Instruction] (West, 5th ed. 2000); Herr, Annotated Manual for Complex Litigation (West, 3rd ed, 1999) § 22.432, p. 161.

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 7.1; 7.2].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION # 1:

    Finally, there are three basic rules about a criminal case which you should keep in mind.

    First, the defendant is presumed innocent until proven guilty. The indictment against the defendant brought by the government is only an accusation, nothing more. It is not proof of guilt or anything else. The defendant therefore starts out with a clean slate.

    Second, the burden of proof is on the government until the very end of the case. The defendant has no burden to prove his innocence, or to present any evidence, or to testify. Since the defendant has the right to remain silent, the law prohibits you in arriving at your verdict from considering that the defendant may not have testified.

    Third, the government must prove the defendant's guilt beyond a reasonable doubt. I will give you further instructions on this point later, but bear in mind that in this respect a criminal case is different from a civil case.

    Thank you for your attention.

[5TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL 1.01 [Preliminary Instruction] (2001).]

SAMPLE INSTRUCTION # 2:

    You should keep several important principles in mind as we begin this trial.

    Your job is to consider the evidence. I will decide all of the legal questions in this case -- like what testimony or exhibits are received into evidence and which are not received. Please do not concern yourselves with the legal questions.

    The defendant[s] has [have] plead not guilty and is [are] presumed to be innocent of the crime[s] charged. As such, the defendant[s] is [are] not required to produce any evidence whatsoever. By bringing the charges, moreover, the prosecution has accepted the responsibility to proving the guilt of the defendant[s] to each of you -- unanimously -- beyond a reasonable doubt.

    Don't discuss this case with anyone and keep an open mind regarding each issue in the case until all of the evidence has been received. At that time I will be able to give you your complete and final instructions which will be much more detailed than these preliminary instructions and which you must use to guide you in reaching your decisions. Only then will you be permitted to begin your deliberation and reach your verdict[s].


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    12.3.5    Preliminary Instructions: Juror Note Taking

PRACTICE NOTE: One subject which is essential to address by preliminary instructions is juror note taking. (See e.g., Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 1 [Standard Preliminary Instruction Before Trial] (1988); HORN’S FEDERAL JURY INSTRUCTIONS, FOURTH CIRCUIT EDITION 1.04 [Notetaking By Jurors] (TRCC 1999); 9TH CIRCUIT MODEL JURY INSTRUCTIONS - CRIMINAL 1.11 [Taking Notes ] (2000).) Without preliminary instruction, the jurors will not understand the role, if any, of their notetaking, and the potential for prejudice from the recognized dangers of juror note taking will be greater. (See NCJIC 16.8 [Juror Notetaking] for comprehensive collection of juror notetaking issues.)

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 1st Circuit Pattern Jury Instructions - Criminal 1.08.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.02.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 9th Circuit Model Jury Instructions - Criminal 1.11.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

See also Federal Judicial Center, Pattern Criminal Jury Instructions 3.


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    12.3.6    Preliminary Instructions: The Defendant’s Right Not To Testify

RATIONALE: Without special preliminary instruction the jury may not understand that no inference may be drawn from the defendant’s choice not to testify.

POINTS AND AUTHORITIES: It is fundamental that the prosecution has the burden to prove the defendant’s guilt beyond a reasonable doubt. (In re Winship (1970) 397 US 358 [90 SCt 1068; 25 LEd2d 368].) The law never requires a defendant to prove his/her innocence, or to produce any evidence or testimony at all, including the defendant’s own testimony. (See 11TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL Trial Inst. 2.2. [Preliminary Instructions Before Opening Statements (Long Form] (1997).)

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 309.1.1].

CAVEAT: Under some circumstances, counsel may wish to consider whether to waive this instruction for strategic reasons. (See NCJIC 18.3.4 [Waiver Of Instruction Regarding The Defendant's Failure To Testify To Avoid Prejudicially Highlighting The Matter].)

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 1st Circuit Pattern Jury Instructions - Criminal 3.03.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION:

    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.

[11TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL Trial Inst. 2.2 [Preliminary Instructions Before Opening Statements (Long Form) (1997).]


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    12.3.7    Preliminary Instruction: Possibility Of Lesser Offenses

RATIONALE: Ordinarily lesser offenses should not be given in introductory instructions because, at that point, it is uncertain whether the evidence will support the giving of a lesser included offense. However, where it is known in advance that lesser offense instructions will be given it may be desirable to alert the jury to this possibility in preliminary instructions. This is so because the judge’s instructions to the jury "should be consistent from the start to the finish of the trial" and because it may impair the jury's ability to follow the evidence during trial if they first learn at the end of trial about other crimes to consider in addition to the charged offense.

POINTS AND AUTHORITIES: See NCJIC 300.7 [Failure To Instruct On Lesser Included Offenses In Noncapital Case].

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 7.1; 8.1; 8.2; 8.3].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION:

    You may also be required to consider one or more other crimes which are included in the charged crime depending on what the evidence shows.  I will instruct you at the end of the case if this becomes necessary.


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    12.3.8    Preliminary Instructions: Explanation Of Delay

RATIONALE: It is not unusual for the court to take up legal matters relating to the case out of the presence of the jury prior to the commencement of a given session of trial. If the proceedings are delayed or interrupted, the jury may engage in speculation or build up resentment regarding what could appear to be a "waste of their time." An instruction on this matter may be appropriate to help the jury maintain a proper attitude toward the proceedings and their duty.

POINTS AND AUTHORITIES: Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. 1 [Standard Preliminary Instruction Before Trial] (1988).

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION # 1:

    Please don't feel that your time is being wasted if the trial is recessed or adjourned for further hearing, and the trial does not begin promptly at the designated time.  Usually such delays are caused by the court's administrative duties or a need to address other matters. 

SAMPLE INSTRUCTION # 2:

    Let me clarify something you may wonder about later. During the course of the trial I may have to interrupt the proceedings to confer with the attorneys about the rules of law which should apply here. Sometimes we will talk here, at the bench. But some of these conferences may take time. So, as a convenience to you, I will excuse you from the courtroom. I will try to avoid such interruptions as much as possible, but please be patient even if the trial seems to be moving slowly because conferences often save time for all of us.

[Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. 1 [Standard Preliminary Instruction Before Trial] (1988).]


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    12.3.9    Preliminary Instructions: Questioning Of Witnesses By Jurors

RATIONALE: The preliminary instructions are the only logical place to include an explanation, if any is to be given, of how the court will deal with questions which the jury may have regarding the evidence.

POINTS AND AUTHORITIES: A judge can take one of three alternatives regarding questions by jurors: say nothing about questions, give an instruction forbidding such questions, or give an instruction allowing them. (See NCJIC 16.9 [Questions To Witnesses By Jurors] for a comprehensive collection of issues regarding juror questions to witnesses.)

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 2.2; 7.1; 7.5].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTIONS:

    Alternative A

    The only persons who may ask questions of witnesses are the lawyers and myself. You are not permitted to ask questions of witnesses.

    Alternative B

    Generally only the lawyers and I ask questions of witnesses. If you feel that an important question has not been asked, you may put the question in writing and have it handed to me. I will then decide if the question is a proper one. If it is, I will ask the question of the witness.

[Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 2 [Questions Of Witnesses By Jurors] (1988).]

CAVEAT: There are a number of important issues which should be considered with respect to juror questions about the evidence. (See NCJIC 16.9.1.1 [Propriety Of Permitting Jurors To Submit Questions For Witnesses; Instructional Safeguards To Consider If Juror-Authored Questions Are Allowed].)


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    12.3.10    Preliminary Instructions: Admonition That Final Instructions Control

RATIONALE: Because preliminary and mid-trial instructions are intended to orient the jury and provide cautionary and limiting instructions as to certain limited aspects of the trial, they are not an adequate substitute for the final instructions given to the jury at the conclusion of the case. Without a specific admonition that the final instructions control, there is a danger that the jury will misunderstand the role of the preliminary and mid-trial instructions.

POINTS AND AUTHORITIES: 11th Circuit PATTERN JURY INSTRUCTIONS - CRIMINAL Trial Instr. 2.2 [Preliminary Instructions Before Opening Statements (Long Form] (1997); see also Herr, Annotated Manual for Complex Litigation (West, 3rd ed, 1999) § 22.432, p. 161 ["The court should emphasize that these instructions are preliminary -- that no effort is made to cover all of the issues or principles -- and that deliberations will be governed by the final instructions to be given at the conclusion of the case"].

    See NCJIC 2.3.1.3 [Failure To Repeat Preliminary Instructions At End Of Trial].

    See NCJIC 12.1.3 [Preliminary Instructions Not A Substitute For Final Instruction].

    See NCJIC 10.2.3 [Pretrial Instruction During Voir Dire: Impact On Jury Instruction Errors At Trial].

FEDERALIZATION: To federalize this request, click here. [Constitutional Macro 7.2].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.

SAMPLE INSTRUCTION # 1:

    These preliminary instructions are limited to certain specific matters for the purpose of guiding your understanding of the trial. I emphasize that these instructions are not intended to cover all of the issues or principles and that your deliberations will be governed by the final instructions to be given at the conclusion of the case.

SAMPLE INSTRUCTION # 2:

    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.

[11TH CIRCUIT PATTERN JURY INSTRUCTIONS - CRIMINAL 2.2 [Preliminary Instructions Before Opening Statements (Long Form).] (1997).]


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    12.3.11    Preliminary Instructions In Capital Case: Jury Must Not Consider Penalty During Guilt Phase

    See NCJIC 303.2.1 [Death Penalty: Admonition To Refrain From Considering Penalty During Guilt Phase].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.


THE NATIONAL CRIMINAL JURY INSTRUCTION COMPENDIUM
Instructions And Issues Omitted By The Pattern Instructions
Copyright & Publication Information

VOLUME 2 - CHAPTER 12

    12.3.12    Preliminary Instructions: Reference To The Possibility Of Sequestration

PRACTICE NOTE: In cases in which sequestration is likely, "reference to this problem should be made to the entire jury panel when other standard matters (length of the trial, courtroom hours, and so on) are discussed." (Federal Judicial Center, PATTERN CRIMINAL JURY INSTRUCTIONS Inst. No. 1 [Standard Preliminary Instruction Before Trial] (1988).)

    See also NCJIC 17.5.2 [Sequestering Jury: Cautionary Instruction].

RESEARCH NOTES:

See also Benchbook For U.S. District Court Judges [2.07.1 Preliminary Jury Instructions In Criminal Case: Sample Instructions].

See also Benchbook For U.S. District Court Judges [2.08 General Instructions To Jury At End Of Criminal Case].

See also A Manual On Jury Trial Procedures [3.3.1 Preliminary Instructions And Orientation Of The Jury: General Principles].

See also A Manual On Jury Trial Procedures [4.3A. Preliminary Charge And Final Instructions: Preliminary Charge To Jurors].

See also generally, NCJIC 305.16.8 [Preliminary And Introductory Instructions].

RELATED FEDERAL MODEL INSTRUCTIONS:

See 1st Circuit Pattern Jury Instructions - Criminal 1.01.

See also 5th Circuit Pattern Jury Instructions - Criminal 1.01.

See also 8th Circuit Model Jury Instructions - Criminal 1.01.

See also 11th Circuit Pattern Jury Instructions - Criminal TI 2.1.