Fed Judges Bench Book

Foreword
TheFederalJudicialCenterreleaseditsfirstBenchbookforU.S.District CourtJudgesin1969.Secondandthirdeditions,in1979and1986,con sistedofmaterialspreparedbyexperiencedjudgesandreviewedbythe Centers Benchbook Committee, which also approved staffprepared revisionsandexpansionsnecessarytokeepthebookcurrentandre sponsive. Because many bankruptcy and magistrate judges reported thattheyfoundtheBenchbookuseful,theCenterexpandedthebooks audiencetoincludethem. In 1995, at the suggestion of my predecessor, Judge William W Schwarzer,theCommitteedecidedtotakeafreshlookatthebook,not onlytoupdatematerialbutalsotoconsolidateinformationlocatedin differentsections,todeletematerialthatwasnolongertimelyorwas availablefromothersources,toorganizethecontentsintoamoreac cessibleformat,andtoexpandcrossreferencestootherCenterrefer encemanualsandpublications.ThisfourtheditionoftheBenchbookis theproductofthateffort. TheCenterisindebtedtothemembersofitsBenchbookCommit tee,whoareappointedbytheChiefJustice.TheCommitteeischaired by Judge A. David Mazzone (D. Mass.) and consists of Chief Judge WilliamO.Bertelsman(E.D.Ky.),JudgeWilliamB.Enright(S.D.Cal.), Judge Aubrey E. Robinson, Jr. (D.D.C.), and Judge Louis L. Stanton (S.D.N.Y.). Chief Judge Richard P. Matsch (D. Colo.) is the Center BoardsliaisontotheCommittee. I am pleased to express the Centers appreciation also to other judgeswhocontributedsuggestions,includingmembersoftheJudicial ConferencesCriminalLawCommittee,andtostaffsoftheAdministra tive Office of the U.S. Courts and the U.S. Sentencing Commission, withwhomwehaveconsultedaboutparticularpartsofthisrevision. WehopethiseditionoftheBenchbookservesyouwellandweinvite yourcontinuedcommentsandsuggestionsformakingitbetter.
RyaW.Zobel Director,FederalJudicialCenter
iii
Preface
WhenwebegantopreparethisneweditionoftheBenchbook,ourrst taskwastoagreeonthebookspurpose.Wereachedconsensusquick ly.The Benchbook is,andalwayshasbeen,aquick,practicalguideto helptrialjudgesdealwithsituationstheyarelikelytoencounteronthe bench.Itisintended tobeahowtomanualthatis,asourcefrom which judges can obtain immediate guidance on how to proceed ratherthananexhaustivetreatiseorauthority.Whilenewjudgesare theprimaryaudienceforthebook,experiencedjudgesmayalsofindit usefulasarefresherandasastartingpointwhentheyfaceparticular situationsforthersttime. WehavetriedtoadheretothisvisionoftheBenchbookinpreparing thefourthedition;therefore,muchofitwillbefamiliartousersofear liereditions.Itstillconsistslargelyofmaterialpreparedoradaptedby experiencedjudges.Mostofthematerialispresentedinoutlineform, sojudgescanrefertoiteasilywhileonthebench.Anditisstillpub lishedinlooseleafform(thoughnowinastandardsizebinder),toac commodaterevisionsandtopermitjudgestocustomizeitwiththeir ownoutlines,annotations,andothermaterials.(TheCenterisalsodis tributing the Benchbook in electronic form so that judges can have computeraccesstothebook.)PreviousBenchbookreaderswill,howev er,observe many changes, themostobvious ofwhich isthat itnow consistsofonevolumeinsteadoftwo.AttheadviceoftheCommittee, thebookhasbeensubstantiallystreamlined.Forexample,inreviewing thematerialsectionbysection,weconcludedthatreferencestosen tencing under the law that predated guideline sentencing were no longer necessary and shouldbedeleted. Judges whoreceive oldlaw casesmaywishtoconsultanotherCenterpublication,SentencingFed eralOffendersforCrimesCommittedBeforeNovember1,1987 (1991). WealsodeterminedthattheJudgmentinaCriminalCaseformdevel opedbytheCriminalLawCommitteeoftheJudicialConferenceofthe UnitedStateshadobviatedtheneedfortheModelSentencingForms thathadappearedinpreviouseditionsoftheBenchbook;therefore,the sentencingformshavebeendeleted. Thebookcontainssomenewmaterial.Forexample,atthesugges tion of several judges, we have expanded the discussion in sections 2.05and6.03ofproceduresforhandlingBatsonmotions.Section3.01 ondeathpenaltycaseshasbeensupplementedwithinformationthe Centerobtainedfromtherstjudgestohandlecapitalcasesunderre centlyenacteddeathpenaltystatutes.Thebookalsocontainsnewsec
iv
tionsondealingwithdisruptivedefendantsandonmotionsformistri albycriminaldefendants,bothincludedinanewsection5onspecial trialproblems. Thebookhasalsobeenreorganizedandredesignedtoincreaseits utility.Forexample,themorethanthirtysectionsthathadpreviously beencontainedinonelargesectiononcriminalproceedingsarenow distributed among three sections on criminal pretrial, criminal trial, and sentencing. In addition, we have expanded crossreferences to other Center manuals, such as the Manual for Complex Litigation, Third (1995), the Manual on Recurring Problems in Criminal Trials (1996),andtheManualforLitigationManagementandCostandDelay Reduction (1992).Wehavealsoaddedalistofotherpublicationsand resourcematerialavailablefromtheCenter.Inresponsetoasugges tion madebyseveral judges,thetextdisplaysadifferenttypefaceto highlightscriptedlanguageforvariousproceedings. Itisimportanttoemphasizethatthescriptsmentionedaboveand indeedmostofthematerialinthebookrepresentonlytheCommit teessuggestedapproachesfordealingwithspecicsituations.While theinformationinthebookisresponsibleandvaluable,itisnotin tendedtoserveasauthority.Andofcourse,judgesshouldalwayscheck therequirementsoftheircircuitslawandcourtrulesandprocedures. TheBenchbookCommittee JudgeA.DavidMazzone(D.Mass.),Chair ChiefJudgeWilliamO.Bertelsman(E.D.Ky.) JudgeWilliamB.Enright(S.D.Cal.) JudgeAubreyE.Robinson,Jr.(D.D.C.) JudgeLouisL.Stanton(S.D.N.Y.) ChiefJudgeRichardP.Matsch(D.Colo.), CenterBoardliaisontotheCommittee July1996
Contents
Forewordiii Prefacev
Section 1Criminal pretrial

1.01Initialappearance1 1.02Assignmentofcounselorproserepresentation3 1.03Releaseordetentionpendingtrial7 1.04Offensecommittedinanotherdistrict13 1.05Commitmenttoanotherdistrict(removalproceedings)15 1.06Waiverofindictment19 1.07Arraignmentandplea23 1.08Jointrepresentationofcodefendants25 1.09Waiverofjurytrial(suggestedprocedures,questions,and statements)31 1.10SpeedyTrialAct37 1.11Delinquencyproceedings41 1.12Mentalcompetencyincriminalmatters53 1.13Referralstomagistratejudges(criminalmatters)63
Section 2Plea taking/criminal trial

2.01Takingpleasofguiltyornolocontendere67 2.02Takingpleasofguiltyornolocontendere(organization)77 2.03Trialoutline(criminalcase)81 2.04Findings of fact and conclusions of law in criminal cases and motions85 2.05Juryselectioncriminal87 2.06Standardvoirdirequestionscriminal91 2.07Preliminaryjuryinstructionsincriminalcase95 2.08Generalinstructionstojuryatendofcriminalcase99 2.09Verdictcriminal103 2.10Trialandposttrialmotions107 2.11Releaseordetentionpendingsentenceorappeal111
benchbook for u.s. district court judges
(March2000rev.)
1.01:Initialappearance
Section 3Capital cases

3.01Deathpenaltyprocedures115
Section 4Sentencing
4.01Sentencingprocedure129 4.02Revocationofprobationorsupervisedrelease137
Section 5 Special trial problems

5.01Handlingadisruptivedefendant143 5.02Grantsofimmunity145 5.03InvokingtheFifthAmendment147 5.04Handlingtherecalcitrantwitness149 5.05Criminaldefendantsmotionformistrial155
Section 6Civil Proceedings

6.01Trialoutline(civilcase)159 6.02Findingsoffactandconclusions oflawincivilcasesand mo tions161 6.03Juryselectioncivil165 6.04Standardvoirdirequestionscivil167 6.05Preliminaryjuryinstructionsincivilcase171 6.06Generalinstructionstojuryatendofcivilcase175 6.07Verdictcivil179 6.08Referralstomagistratejudges(civilmatters)183
Section 7Miscellaneous proceedings

7.01Contemptcriminal185 7.02Contemptcivil193 7.03Temporaryrestrainingorder197 7.04Grandjuryselectionandinstructions201 7.05Foreignextraditionproceedings213 7.06Naturalizationproceedings215 7.07Excludingthepublicfromcourtproceedings217 7.08Oaths221
Appendix: FJC publications Index

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229
1.01 Initial appearance

Fed.R.Crim.P.5
Therstappearanceofdefendantafterarrestisusuallybeforea magistratejudgebutmaybeinthedistrictcourt. A. If the arrest was made without a warrant, require that a complaintbepreparedandledpursuanttoFed.R.Crim.P. 3and4. [Note:Ifyouhaveanydoubtsaboutdefendantsabilityto speakandunderstandEnglish,considerappointingacerti fiedinterpreterinaccordancewith28U.S.C.1827.] B. Informdefendant: 1. ofthenatureofthecomplaintagainsthimorherandof anyafdavitledtherewith; 2. ofdefendantsrighttoemploycounselortorequestthe assignmentofcounselifheor sheisunabletoemploy counsel(see1.02:Assignmentofcounselorproserepre sentation); 3. of defendants right to have a preliminary examination (Fed.R.Crim.P.5(c)and5.1;18U.S.C.3060); 4. thatdefendantisnotrequiredtomakeanystatement; 5. thatifdefendanthasmadeastatement,heorsheneed saynomore; 6. thatif defendant startstomakeastatement,heor she maystopatanytime(Mirandav.Arizona, 384U.S.436 (1966));and 7. that any statement made by defendant may be used againsthimorher. C. Allow defendant a reasonable opportunity to consult with counsel(Fed.R.Crim.P.5(c)). D. Setbail(see1.03:Releaseordetentionpendingtrial). E. Foramaterialwitness,see18U.S.C.3144.
NOTE Iftheallegedoffense wascommittedinan otherdistrict,see1.05: Commitmenttoan otherdistrict(removal proceedings)
F. Ifthepersonisbeforethecourtforviolatingprobationorsu pervisedrelease,seeFed.R.Crim.P.32.1.Morrisseyv.Brever, 408U.S.471(1972);Gagnonv.Scarpelli,411U.S.778(1973).

Other FJC sources
TheBailReformActof1984at1415(2ded.1993)
10
1.02 Assignment of counsel or pro se representation

18U.S.C.3006A;CJAForms20,23
Ifcounselhasnotbeenassignedbythemagistratejudgebefore defendants rst court appearance, assignment of counsel shouldbetherstitemofbusinessbeforethejudge. [Note:Ifyouhaveanydoubtsaboutdefendantsabilitytospeak and understand English, consider appointing a certified inter preterinaccordancewith28U.S.C.1827.] A. Ifdefendanthasnoattorney: 1. Informdefendant: (a) ofhisorherconstitutionalrighttoberepresentedby anattorneyateverystageoftheproceedings; (b) thatifheorsheisunabletoaffordanattorney,the courtwillappointonewithoutcosttohimorher(18 U.S.C.3006A,Fed.R.Crim.P.44); (c) oftheoffensewithwhichheorsheischarged. 2. Askdefendant: (a) if he or she understands his or her right to an at torney; (b) ifheorshewishesandisabletoobtaincounsel; (c) ifheorshewantsthecourttoappointcounsel. B. Ifdefendantrequestsappointedcounsel: 1. RequirethecompletionofaFinancialAfdavitbydefen dantandsigntheAppointmentofCounselorder,bothon theappropriateCriminalJusticeActforms. 2. Inform defendant thatheorsheisswearingtothean swerstothequestionsontheafdavitandthatheorshe maybepenalizedforperjuryifheorshegivesfalseinfor mation. C. Ifdefendantdoesnotwishcounsel:
(March2000rev.)
11
NOTE: $25ifaClassAmisde meanor,$10ifClassB, $5ifClassCorinfrac tion.
Section1.02:Assignmentofcounselorproserepresentation
Theaccusedhasaconstitutionalrighttoselfrepresentation. Waiverofcounselmust,however,beknowingandvoluntary. Thismeansthatyoumustmakeclearontherecordthatde fendant is fully aware of the hazards and disadvantages of selfrepresentation. If defendant states that he or she wishes to represent himselforherself,youshouldaskquestionssimilartothe following:
1. Have you ever studied law? 2. Have you ever represented yourself in a criminal action? 3. Do you understand that you are charged with these crimes: [statethecrimeswithwhichthedefendantis charged]? 4. Do you understand that if you are found guilty of the crime charged in Count I the court must impose an assessment of $50 and could sentence you to as many as ___ years in prison and ne you as much as $____?
[Askdefendantasimilarquestionforeachcrimewith whichheorshemaybechargedintheindictmentor information.]

5. Do you understand that if you are found guilty of more than one of these crimes this court can order that the sentences be served consecutively, that is, one after another? 6. Do you understand that the U.S. Sentencing Commission has issued sentencing guidelines that will affect your sentence if you are found guilty? 7. Do you understand that if you represent yourself you are on your own? I cannot tell you or even advise you how you should try your case. 8. Are you familiar with the Federal Rules of Evidence?
(March2000rev.)
12
Section1.02:Assignmentofcounselorproserepresentation 9. Do you understand that the Federal Rules of Evidence govern what evidence may or may not be introduced at trial and that, in representing yourself, you must abide by those rules? 10. Are you familiar with the Federal Rules of Criminal Procedure? 11. Do you understand that those rules govern the way a criminal action is tried in federal court?
[Thensaytodefendantsomethingtothiseffect:]
12. I must advise you that in my opinion a trained lawyer would defend you far better than you could defend yourself. I think it is unwise of you to try to represent yourself. You are not familiar with the law. You are not familiar with court procedure. You are not familiar with the rules of evidence. I strongly urge you not to try to represent yourself. 13. Now, in light of the penalty that you might suffer if you are found guilty, and in light of all of the difculties of representing yourself, do you still desire to represent yourself and to give up your right to be represented by a lawyer? 14. Is your decision entirely voluntary?
[Iftheanswerstothetwoprecedingquestionsareyes, saysomethingtothefollowingeffect:]
15. I nd that the defendant has knowingly and voluntarily waived the right to counsel. I will therefore permit the defendant to represent himself [herself].
Itisprobablyadvisabletoappointstandbycounsel,who canassistdefendantorcanreplacedefendantifthecourt determinesduringtrialthatdefendantcannolongerbe permittedtoproceedprose.

Other FJC sources
DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials16(4thed.1996)
(March2000rev.)
13
Section1.02:Assignmentofcounselorproserepresentation
ManualforComplexLitigation,Third26570(1995)
(March2000rev.)
14
1.03 Release or detention pending trial

18U.S.C.31413142 Fed.R.Crim.P.46
A. Preliminary 1. Askdefendant: (a) fullname; (b) age; (c) whether defendant has an attorney. If defendant is unrepresentedbycounsel,informdefendantofhisor herrighttocounsel,andappointcounselifdefendant isqualied(see1.02:Assignmentofcounselorprose representation). 2. If you are not sure defendant understands English, ask defendant:
Are you able to speak and understand English? [Ifdefendanthasanattorney,askcounselifheorshehas been able to communicate with defendant in English. If youdoubtdefendantscapacitytounderstandEnglish,use acertifiedinterpreter.See28U.S.C.1827.]
3. AsktheU.S.attorneywhetherthegovernmentwishesto movefordetentionunder18U.S.C.3142(d)or(e).Ifthe motionismade,holdtheappropriatehearing.Thismay requireacontinuance(nottoexceedfivedaysondefen dantsmotion, threedays ongovernments motion, ex ceptforgoodcause).18U.S.C.3142(f).Ifnot,proceed tothebailinquiry. B. Bailinquiry 1. Hear information relevant to considerations for xing bail:
(March2000rev.)
15
Section1.03:Releaseordetentionpendingtrial
(a) thenatureandcircumstancesoftheoffensecharged, includingwhethertheoffenseisacrimeofviolenceor involvesnarcotics; (b) theweightoftheevidenceagainsttheaccused; (c) thehistoryandcharacteristicsoftheaccused,includ ing

(1) character, physical and mental condition, family ties, employment, nancial resources, length of residence incommunity,communityties,pastconduct,history ofdrugoralcoholabuse,criminalhistory,andrecord concerningappearancesatcourtproceedings; (2) whether, at the time of the current offense or arrest, defendant was on probation or parole or on release pending trial, sentencing, appeal, or completion of sentenceunderfederal,state,orlocallaw;
(d) thenatureandseriousnessofdangertoanypersonor thecommunity,iftheaccusedisreleased. (e) Inacaseinvolvingdomesticviolence,givethealleged victimanopportunitytobeheardregardingthedan ger posed by defendant. 18 U.S.C. 2263 (effective Sept.13,1994). 2. Ifasecuredbondorsuretybondisbeingconsidered,in quireaboutdefendantsnancialresourcesand,ifappro priate,thesourcesofanypropertytobedesignatedfor potentialforfeitureorofferedascollateral.See18U.S.C. 3142(c)(1)(B)(xii),(c)(2),and(g)(4). C. Ifthereisapretrialservicesagencyinyourdistrict(18U.S.C. 3154),usethereportoftheinterviewbythepretrialservices ofcerasanaidtoxingbail.Ifyoudonothaveapretrial servicesagency,consulttheprobationofce. D. Indevelopinginformationfrom defendant relevant tobail, thefollowingquestionsaretypical:
1. Are you married? 2. Do you have any children? 3. Are you living with your spouse or children? Do you support your spouse or children?
(March2000rev.)
16
Section1.03:Releaseordetentionpendingtrial 4. Do you support or live with anyone else? Who? 5. Are you employed? 6. How long have you worked for your current employer? 7. What is your average weekly or monthly take-home pay? 8. Do you own an automobile? 9. Do you have a savings account, bonds, stocks, or similar liquid assets? 10. Do you own or rent your home? 11. Do you own any other real property? 12. How long have you lived at your current address? 13. How long have you lived in this city (state) or the surrounding area? 14. Do you have a telephone? Where can you be reached by telephone? 15. Do you possess a passport?
[Note:Thedefendantmightbeaskedtodeposithisorher passportwiththemarshal(bailiff)asaconditionofbail.]
16. Do you owe anyone money? Do you have to make mortgage payments, time payments, or other periodic payments? 17. Are you regularly receiving medical treatment? 18. Have you ever been treated or hospitalized for mental illness?
E. AsktheU.S.attorneyfordefendantsrapsheet(ngerprint ingrecord)todeterminepastconvictionsandtheissuanceof bondforfeiturewarrantsindicatingpriorfailuretoappearfor scheduledcourthearings. F. Setbailwithappropriateconditions,18U.S.C.3142(b)or (c),orholdadetentionhearingunder3142(f).Ifyoudonot holdadetentionhearing:
(March2000rev.)
17
1. Insettingbail,determinewhetherappearanceandcom munity safety can reasonably be assured by release on personal recognizance or on an unsecured appearance bondwithonlytheconditionthattheaccusednotcom mitacrimewhileonrelease. 2. If you determine that further conditions are necessary, setthem.Donotsetanancialconditionthatdefendant cannotmeet. 3. Explaintheconditionstodefendant. 4. Executeabailformandobtaindefendantsacknowledg mentontheform. 5. Telldefendantwhentoappearincourtagain,orexplain how he or she will be advised when next to appear in court. 6. Explaintodefendant,as18U.S.C.3142(h)(2)requires: (a) thatfailingtoappearincourtasrequiredisacrime for which he or she can be sentenced to imprison ment(18U.S.C.3146); (b) thatifdefendantviolatesanyconditionofrelease,a warrantforarrestmaybeissued,andheorshemay be jailed until trial and may also be prosecuted for contemptofcourt(18U.S.C.3148); (c) thatcommittingacrimewhileonreleasemayleadto moreseverepunishmentthanheorshewouldreceive forcommittingthesamecrimeatanyothertime(18 U.S.C.3147);and (d) thatitisacrimetotrytoinuenceajuror,tothreaten or attempt to bribe a witness or other person who may have information about this case, to retaliate against anyone for providing information about the case, or to otherwise obstruct the administration of justice(18U.S.C.1503,1510,1512,1513). G. Iftemporarydetentionforuptotendaysissoughtunder18 U.S.C.3142(d): 1. AsktheU.S.attorneytostatethefactualbasisforthemo tion.
(March2000rev.)
18
2. Givedefendantscounselanopportunitytorespond. 3. Determinewhetherdefendanttswithinoneormoreof thecategoriessetforthin18U.S.C.3142(d)(1). 4. Ifdefendanttswithinoneormoreofthesecategories, determinewhetherheorshemayeeorposeadanger to any other person or the community. 18 U.S.C. 3142(d)(2).Ifso,detentionismandatory. 5. Ifdetentionforuptotendaysisnotordered,proceedto thebailinquiry.Ifdetentionforuptotendaysisordered: (a) DirecttheU.S.attorneytonotifytheappropriateof cialsimmediatelyandtonotifythecourtanddefen dants counsel immediately if any such ofcial ex pressly declines or fails to take defendant into cus tody. (b) Fixadateandtimeforbailhearingtobeheldinthe eventthatthedefendantisnottakenintocustodyby anysuchofcial. (c) Executeatemporarydetentionform. H. If pretrial detention has been sought under 18 U.S.C. 3142(e),conducttherequiredhearingunder3142(f): 1. Makendingsoffactandstatethereasonsforthedeci sion. If detention is ordered, these must be written. 18 U.S.C.3142(i)(1).SeealsoFed.R.App.P.9. 2. Ifdetentionisnotordered,setbail. 3. Ifdetentionisordered,executeapretrialdetentionform thatmeetstherequirementsof18U.S.C.3142(i).
Other FJC sources
TheBailReformActof1984(2ded.1993)
(March2000rev.)
19
1.04 Offense committed in another district

Fed.R.Crim.P.20
A. Preliminary Haveoathadministeredandaskdefendant:
1. What is your full name? 2. How old are you? 3. How far did you go in school? What is your employment experience?
[If you are not sure defendant understands English, ask defendant:]
4. Are you able to speak and understand English?
[Ifdefendanthasanattorney,askcounselifheorshehas beenabletocommunicatewithdefendantinEnglish.If you doubt defendants capacity to understand English, useacertifiedinterpreter.See28U.S.C.1827.]

5. Are you currently or have you recently been under the care of a physician or a psychiatrist, or been hospitalized or treated for narcotics addiction? Have you taken any drugs, medicine, or pills or drunk any alcoholic beverage in the past twenty-four hours?
[Iftheanswertoeitherquestionisyes,pursuethesubject withdefendantandwith counseltodeterminethatde fendantiscurrentlycompetenttowaiveproceedingsin thedistrictwheretheoffensewascommitted.]

6. Do you have an attorney?
[Ifheorshedoesnothaveanattorney,informdefendant oftherighttocounselandappointcounselifdefendant qualies.See 1.02:Assignmentofcounselorproserep resentation.]
(March2000rev.)
20
B. Obtain a waiver of indictment if one is required (see 1.06: Waiverofindictment). C. Explainthatdefendantscasecannotbehandledinthiscourt unlessheorshewishestopleadguiltyornolocontendere. (Note:Forjuveniles,see18U.S.C.5031andFed.R.Crim.P. 20(d).) D. Question defendant to ascertain on the record that defen dantunderstandsheorsheisagreeingto: 1. pleadguiltyornolocontendere; 2. waiveproceedingsinthedistrictinwhichthecrimewas allegedlycommitted; 3. beproceededagainstinthiscourt. E. Explaintodefendantandaskifdefendantunderstandsthat: 1. heorshehasarighttobetriedinthedistrictwherethe crimeisallegedtohavebeencommitted; 2. heorshecannotbeconvictedorsentencedinthiscourt unlessheorsheconsentsfreely; 3. ifheorshedoesnotconsenttobeproceededagainstin thiscourt,heorshemaybeproceededagainstinthedis trictinwhichthecrimewasallegedlycommitted. F. Obtaindefendantswrittenstatementincorporatingtheun derstandingdescribedabove. G. ObtainwrittenconsentsoftheU.S.attorneys. H. Takedefendantsplea.(Note:Allpointsshouldbecoveredin takingpleaasinordinaryarraignment.Seerelevantportions of1.07:Arraignmentandpleaand2.01:Takingpleasofguilty ornolocontendere.)
(March2000rev.)
21
1.05 Commitment to another district (removal proceedings)

Fed.R.Crim.P.40
A. Appearancebeforeamagistratejudgebyadefendantarrest edinthisdistrictforanallegedoffensecommittedinanother district(U.S.attorneywillhaveledaPetitionforRemoval). 1. AscertainfromU.S.attorneyorarrestingofcer: (a) wheretheallegedoffensewascommitted; (b) whendefendantwasarrestedandwhetherthearrest waswithorwithoutawarrant; (c) whetheranindictmenthasbeenreturnedoraninfor mationorcomplaintled; (d) whetherawarranthasbeenissued. 2. Ifyouareunsure,askdefendantifheorshecanspeak andunderstandEnglish.Ifdefendanthasanattorney,ask ifcounselhasbeenabletocommunicatewithdefendant in English.Ifyou doubt defendantscapacity to under stand English, use a certified interpreter. See 28 U.S.C. 1827. 3. Advisethedefendantofhisorher: (a) general rights under Fed. R. Crim. P. 5 (nature of charge, right to counsel, right to remain silentsee 1.01:Initialappearance); (b) righttowaiveremoval andvoluntarilyreturntothe districtwherechargesarepending; (c) right,ifchargesarebasedoncomplaintandwarrant, to:
(1) haveapreliminaryexaminationinthisdistrict, (2) have a preliminary examination in the district where thechargesarepending,or (3) waivepreliminaryexamination;
(d) righttoanidentityhearingifchargesarebasedonin dictmentorinformation;
(March2000rev.)
22
Section1.05:Commitmenttoanotherdistrict
(e) rightunderFed.R.Crim.P.20topleadguiltyornolo contendereinthisdistrictifbothU.S.attorneyscon sent. 4. Ifdefendantappearswithoutcounsel,appointcounselor allowtimefordefendanttoretaincounsel;setanappro priatehearingorexaminationdatetoallowcounseltime toconferandelectoptions. 5. If defendant appears with counsel or after counsel has beenappointedorretained,ascertainwhichoftheabove options(3(b)3(d)ofthissection)heorshedesires,then sign an Order of Removal (whereby defendant returns voluntarily)orsetanappropriateexaminationorhearing date. (a) Set the date of the hearing or examination to allow time for inquiry into possible Fed. R. Crim. P. 20 transfer. (b) KeepinmindSpeedyTrialActrequirements(see1.10: SpeedyTrialAct). 6. Setbail.Theamountofbailpreviouslyxedinthedistrict wherechargesarependingmustbetakenintoaccount butisnotbinding.Adifferentbail,however,requiresrea sonsinwriting. 7. Ifthearrestinthisdistrictwaswithoutawarrant(rarely occurs): (a) Defendantcannotbeorderedremoveduntilacom plaintandwarrantareissuedinthedistrictofoffense. (b) Mustobtainacomplaintforthwith.SeeFed.R.Crim. P.5(a). 8. Conducthearings: (a) Preliminaryexamination(Fed.R.Crim.P.5.1). (b) Identityhearing(Fed.R.Crim.P.40(a)):
(1) comparename(s)givenbydefendantwithnameinin dictmentorinformation, (2) takeevidenceastophysicaldescriptions,ngerprints, handwriting, hearsay statements, telephone checks
(March2000rev.)
23
Section1.05:Commitmenttoanotherdistrict withchargingdistrict,photographs,probationofcers testimony,etc.
(c) Fed. R. Crim. P. 20 transfer plea (see 1.04: Offense committedinanotherdistrict). 9. Order defendant held and transferred (Order of Removal),ordischarged;transmitpapersandanybailto theclerkofthedistrictcourtwherechargesarepending. B. Arrestofprobationerorsupervisedreleaseeinadistrictother thanthedistrictofsupervision(Fed.R.Crim.P.40(d)). 1. Ascertainarrest,informdefendantofcharges,andadvise defendant of general rights (nature of charge, right to counsel,righttoremainsilent). 2. Ascertainifjurisdictionhasbeenorwillbetransferredto thisdistrictpursuantto18U.S.C.3605(madeapplica bletosupervisedreleaseesby18U.S.C.3586).Ifso,pro ceed under Fed. R. Crim. P. 32.1 as normal revocation caseinthisdistrict. 3. Iftheallegedviolationoccurredinthisdistrictandifju risdictionisnottransferred,scheduleandholdaprompt preliminaryhearingaftercounselhasbeensecured. (a) Ifprobablecauseisfound,holddefendanttoanswer inthesupervisingdistrict,andorderhimorhertrans ferredthere. (b) If no probable cause is found, dismiss proceedings andnotifythesupervisingcourt. 4. Iftheallegedviolationoccurredinadistrictotherthan this one, schedule and hold a prompt identity hearing (unlesswaived)aftercounselhasbeensecured. (a) If,uponproductionofcertiedcopiesoftheproba tionorder,warrant,andapplicationforwarrant,de fendantisfoundtobethepersonnamedinthewar rant,holddefendanttoanswerinthesupervisingdis trictandorderhimorhertransferredthere. Or
(March2000rev.)
24
Section1.05:Commitmenttoanotherdistrict
(b) Dismiss the proceedings and notify the supervising court if you find defendant is not the person so named. C. Arrestforfailuretoappear(BenchWarrant)(Fed.R.Crim.P. 40(e)). Whenthepersonhasbeenarrestedinthisdistrictonawar rantissuedinanotherdistrictforfailuretoappear,pursuant toasubpoenaorthetermsofhisorherrelease: 1. Ascertainarrest,informdefendantofcharges,andadvise defendant of general rights (nature of charges, right to counsel,righttoremainsilent). 2. Scheduleandholdanidentityhearing(unlesswaived)af tercounselhasbeensecured. (a) If,uponproductionofthewarrantoracertifiedcopy youfindthatthepersonbeforethecourtistheperson namedinthewarrant,hold defendanttoanswer in thedistrictwherethewarrantwas issuedandorder himorhertransferredthere. Or (b) Dismisstheproceedingsandnotifythedistrictwhere thewarrantwasissuedifyounddefendantisnotthe personsonamed.
Other FJC sources
TheBailReformActof1984at15(2ded.1993)
(March2000rev.)
25
1.06 Waiver of indictment

Fed.R.Crim.P.6&7
NOTE Anoffensethatmaybe punishablebydeath mustbeprosecutedby indictmentandthere foreprecludeswaiver ofindictmentunder Fed.R.Crim.P.7(a).
[If you are not sure defendant can understand English, ask:]
[Ifdefendanthasanattorney,askcounselifheorshehas beenabletocommunicatewithdefendant.Ifyoudoubt defendantscapacitytounderstandEnglish,useacerti fiedinterpreter.See28U.S.C.1827.]

5. Are you currently or have you recently been under the care of a physician or a psychiatrist or been hospitalized or treated for narcotics addiction? Have you taken any drugs, medicine, or pills or drunk any alcoholic beverage in the past twenty-four hours?
[Iftheanswertoeitherquestionisyes,pursuethesubject withdefendantandwith counseltodeterminethatde fendantiscurrentlycompetenttowaiveindictment.]

[If defendant does not have anattorney, inform defen dantoftherighttocounselandappointcounselifdefen dantqualies(see 1.02:Assignmentofcounselorprose representation).] B. Askdefendant:
Have you been furnished with a copy of the charge(s) against you?
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Section1.06:Waiverofindictment
C. Explainindetailthecharge(s)againstdefendantandmake clearthatheorsheischargedwithcommittingafelony. D. Askdefendant:

Do you understand the charge(s) against you?
E. Informdefendant:
1. You have a constitutional right to be charged by an indictment of a grand jury, but you can waive that right and consent to being charged by information of the U.S. attorney. 2. Instead of an indictment, these felony charges against you have been brought by the U.S. attorney by the ling of an information. 3. Unless you waive indictment you may not be charged with a felony unless a grand jury nds by return of an indictment that there is probable cause to believe that a crime has been committed and that you committed it. 4. If you do not waive indictment, the government may present the case to the grand jury and ask it to indict you. 5. A grand jury is composed of at least sixteen and not more than twenty-three persons, and at least twelve grand jurors must nd that there is probable cause to believe you committed the crime with which you are charged before you may be indicted. [Fed.R.Crim.P.
6(a)and6(f).]
6. The grand jury might or might not indict you. 7. If you waive indictment by the grand jury, the case will proceed against you on the U.S. attorneys information just as though you had been indicted.
F. Askdefendant:
1. Have you discussed waiving your right to indictment by the grand jury with your attorney?
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Section1.06:Waiverofindictment 2. Do you understand your right to indictment by a grand jury? 3. Have any threats or promises been made to induce you to waive indictment? 4. Do you wish to waive your right to indictment by a grand jury? [Fed.R.Crim.P.7(b).]
G. Askdefensecounselifthereisanyreasondefendantshould notwaiveindictment. H. Ifdefendantwaivesindictment: 1. havedefendantsignwaiverofindictmentforminopen court,andenteranorderandndingthatthewaiveris knowinglyandvoluntarilymadeandisaccepted;and 2. proceed to arraignment on information (see 1.07: Ar raignmentandplea). I. Ifdefendantdoesnotwaiveindictment: 1. AsktheU.S.attorneywhetherthegovernmentintendsto presentthemattertothegrandjury. a. Ifso,continueorresetbail(see1.03:Releaseordeten tionpendingtrial). b. Ifnot,dischargedefendant.
(March2000rev.)
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1.07 Arraignment and plea

Fed.R.Crim.P.10
[If you are not sure defendant can understand English, ask:]
[Ifdefendanthasanattorney,askcounselifheorshehas beenabletocommunicatewithdefendant.Ifyoudoubt defendantscapacitytounderstandEnglish,useacerti fiedinterpreter.See28U.S.C.1827.]

5. Are you currently or have you recently been under the care of a physician or a psychiatrist or been hospitalized or treated for narcotics addiction? Have you taken any drugs, medicine, or pills or drunk any alcoholic beverage in the past twenty-four hours?
[Iftheanswertoeitherquestionisyes,pursuethesubject withdefendantandwith counseltodeterminethatde fendantiscurrentlycompetenttoenteraplea.]

[If not, see 1.02: Assignment of counsel or pro se rep resentation).] B. Askdefendant:
1. Have you received a copy of the indictment (information)? 2. Have you had time to consult with your attorney?
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Section1.06:Waiverofindictment 3. Do you want the indictment (information) read, or will you waive the reading of the indictment (information)?
[Havetheindictment(information)readifdefendantde sires.]
4. How do you plead to the charges?
C. Ifdefendantspleaisnotguilty: 1. Set motion and/or trial dates according to your local speedytrialplan. 2. Continue or reset bail (see 1.03: Release or detention pendingtrial). D. Ifdefendantindicatesadesiretopleadguiltyornoloconten dere,see2.01:Takingpleasofguiltyornolocontendere.
Other FJC sources
(March2000rev.)
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1.08 Joint representation of codefendants
Introductory note
Fed.R.Crim.P.44(c)providesasfollowsincasesofjointrep resentation:
Whenevertwoormoredefendantshavebeenjointlychargedpur suanttoRule8(b)orhavebeenjoinedfortrialpursuanttoRule13, andarerepresentedbythesameretainedorassignedcounselorby retainedorassignedcounselwhoareassociatedinthepracticeof law,thecourtshallpromptlyinquirewithrespecttosuchjointrep resentationandshallpersonallyadviseeachdefendantoftheright totheeffectiveassistanceofcounsel,includingseparaterepresen tation. Unless it appears that there is good cause to believe no conictofinterestislikelytoarise,thecourtshalltakesuchmea suresasmaybeappropriatetoprotecteachdefendant'srightto counsel.(Emphasisadded.)
Whenatrialcourtbecomesawareofapotentialconictofin terest, it must pursue the matter, even if counsel does not. Judgesshouldstronglyrecommendtocodefendantsagainstdual representationandshouldmakeclearthatacourtappointedat torneyisavailabletorepresentdefendantortoconsultwiththe defendantconcerningdualrepresentation.Followingisahear ing procedure for so advising defendants and for obtaining a waiveroftherighttoseparatecounsel.Note,however,thatin certainsituations,adistrictcourtmaydisqualifyanattorney,de spiteadefendantsvoluntary,knowing,andintelligentwaiverof therighttoconictfreecounsel.SeeWheatv.UnitedStates,486 U.S.153,163(1988)(districtcourtmustbeallowedsubstantial latitude in refusing waivers of conicts of interest not only in thoserarecaseswhereanactualconictmaybedemonstrated beforetrial,butinthemorecommoncaseswhereapotentialfor conict exists which may or may not burgeon into an actual conictasthetrialprogresses).
(March2000rev.)
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Section1.08:Jointrepresentationofcodefendants Procedure
A. Determineifdefendantiscompetent. 1. Askdefendant:
(a) Mr., Ms., Mrs., Miss _________, how old are you? (b) How far did you go in school?
[IfyouarenotsuredefendantcanunderstandEng lish,ask:]
(c) Are you able to speak and understand English?
[Ask defense counsel if he or she has been able to communicatewithdefendantinEnglish.Ifyoudoubt defendantscapacitytounderstandEnglish,useacer tifiedinterpreter.See28U.S.C.1827.]
(d) Have you taken any drugs, medicine, or pills or drunk any alcoholic beverage in the past twenty-four hours? Do you understand what is happening today?
2. Thenaskdefensecounselandprosecutor:
Do either of you have any doubt as to the defendants competence at this time?
3. Statendingonrecordofdefendantscompetence. B. Emphasizetheseriousnessofthecharges.Telldefendantthe maximumpunishmentforeachcount. C. Telldefendant:

1. If at any time you do not understand something or have a question, consult your lawyer or ask me any questions. 2. This proceeding can be continued to another day if you wish to consult another lawyer.
D. Advisedefendantabouttheapparentconictofinterestin hisorherlawyersrepresentation.Forexample,state:
The United States Constitution gives every defendant the right to effective assistance of counsel. When one lawyer represents two or more defendants in a case, the lawyer
(March2000rev.)
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Section1.08:Jointrepresentationofcodefendants may have trouble representing all of the defendants with the same fairness. This is a conict of interest that denies the defendant the right to effective assistance of counsel. Such conicts are always a potential problem because different defendants may have different degrees of involvement. Each defendant has the right to a lawyer who represents only him or her.
E. Point out the various ways in which dual representation mightworktodefendantsdisadvantage.Thismaybedone bygivingdefendantaformtoreadorbyadvisingdefendant inthefollowingway:
1. Dual representation may inhibit or prevent counsel from conducting an independent investigation in support of each defendants case. For example, the attorney-client privilege may prevent your lawyer from communicating information gathered from another defendant to you. 2. The government may offer immunity or offer to recommend a lesser sentence to one defendant for cooperating with the government. Should you receive such an offer, your lawyer ought to advise you whether or not to accept it. But if your lawyer advises you to accept the offer, it may harm the cases of the other defendants represented by that lawyer. 3. The government may let a defendant who is not as involved as other defendants plead guilty to lesser charges than the other defendants. After the guilty plea, however, the government may require the defendant to testify. A lawyer who represents more than one defendant might recommend that the rst defendant not plead guilty to protect the other defendants that the lawyer represents. On the other hand, the lawyer might recommend that the rst defendant plead guilty, which might harm the cases of the other defendants. 4. Dual representation may affect how your lawyer exercises peremptory challenges or challenges for cause during jury selection. Potential jurors who may be perceived as favorable to you may be perceived as harmful to another defendant, or jurors who may be perceived
(March2000rev.)
33
Section1.08:Jointrepresentationofcodefendants as favorable to other defendants may be harmful to you. 5. Sometimes one of the defendants represented by a lawyer will take the stand to testify in his or her own behalf. In order to represent the other defendants fairly, the lawyer should question the defendant on the stand as completely as possible. However, the lawyer may not be able to do that because he or she cannot ask the defendant as a witness about anything that the defendant has told the lawyer in condence. 6. The best defense for a single defendant often is the argument that while the other defendants may be guilty, he or she is not. A lawyer representing two or more defendants cannot effectively make such an argument. 7. Evidence that helps one defendant might harm another defendants case. When one lawyer represents two or more defendants, the lawyer might offer or object to evidence that could help one defendant but harm another. 8. Regarding sentencing, dual representation would prohibit the lawyer from engaging in post-trial negotiations with the government as to full disclosure by one defendant against the other. It would also prohibit the lawyer from arguing the relative culpability of the defendants to the sentencing judge.
F. Anattorneyproposingtorepresentcodefendantsshouldbe requiredtoassurethecourtthattherewillbenoconictthat couldresultinalackofeffectiveassistanceofcounseloroth erprejudicetoanydefendant. G. Considerrecommendingthatdefendantconsultwithother, independent counsel about thewisdom ofwaiver.Offerto make CJA counsel available (if appropriate) and allow ad journmentforthatpurpose. H. Ifdefendantwantstowaivetherighttoseparatecounsel,get aclear,ontherecordoralwaiverbyhimorheroftherightto separate counsel. In addition, you may want defendant to signawrittenwaiver.
(March2000rev.)
34
Section1.08:Jointrepresentationofcodefendants
Other FJC sources
DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials67(4thed.1996) ManualforComplexLitigation,Third26768(1995)
(March2000rev.)
35
1.09 Waiver of jury trial (suggested procedures, questions, and statements)

Introductory note
Trialbyjuryisafundamentalconstitutionalright,andwaiverof therighttoajurytrialshouldbeacceptedbyatrialjudgeonly whenthreerequirementsaresatised: 1. theprocedures ofFed.R.Crim.P.23(a)havebeenfol lowed; 2. thewaiverisknowingandvoluntary;and 3. the defendant is competent to waive a constitutional right. Fed.R.Crim.P.23(a)requiresthattheaccusedswaiverofthe righttotrialbyjurybe: 1. madeinwriting; 2. approvedbythecourt;and 3. consentedtobythegovernment. Followingthisrulealonedoesnotsatisfytherequirementthat thewaiverbeknowingandvoluntary,however. Thetrialjudgeshouldascertainontherecord: 1. whether the accused understands that he or she has a righttobetriedbyjury; 2. whethertheaccusedunderstandsthedifferencebetween ajurytrialandanonjurytrial;and 3. whethertheaccusedhasbeenmadetounderstandthe advantagesanddisadvantagesofajurytrial. A defendants mental capacity to waive a jury trial must be consideredinapprovingthewaiver.Adefendantisnotcompe tenttowaiveaconstitutionalrightifmentalincapacityorillness substantiallyimpairshisorherabilitytomakeareasonedchoice amongthealternativespresentedandtounderstandthenature andconsequencesofthewaiver.
(March2000rev.)
36
Section1.09:Waiverofjurytrial
Wheninformationavailablefromanysourcepresentsaques tion as to defendants competence to waive a jury trial, sua sponteinquiryintothatcompetencemustbemade. In any psychiatric examination ordered under the inherent powerofthecourtorunder18U.S.C.4241,theexaminingpsy chiatristshouldbedirectedtogiveanopinionondefendants competencetomakeanintelligentwaiver.Wheneveranyques tionas to defendants competencearises, a specic nding of competenceorincompetenceshouldbemade. Finally,ifanydoubtofcompetenceexists,orderajurytrial.
Suggested Procedures and Questions
A. Preliminaryquestionsfordefendant
1. The court is informed that you desire to waive your right to a jury trial. Is that correct? 2. Before accepting your waiver to a jury trial, there are a number of questions I will ask you to ensure that it is a valid waiver. If you do not understand any of the questions or at any time wish to interrupt the proceeding to consult further with your attorney, please say so, since it is essential to a valid waiver that you understand each question before you answer. Do you understand? 3. What is your full true name? 4. How old are you? 5. How far did you go in school?
[IfyouarenotsuredefendantunderstandsEnglish,ask:]
[Askdefensecounselifcounselhasbeenabletocommu nicate with defendant in English. If you doubt defen dantscapacitytounderstandEnglish,useacertifiedin terpreter.See28U.S.C.1827.]
7. What is your employment background?
(March2000rev.)
37
Section1.09:Waiverofjurytrial 8. Have you taken any drugs, medicine, or pills, or drunk any alcoholic beverage in the past twenty-four hours? 9. Do you understand that you are entitled to a trial by jury on the charges led against you? 10. Do you understand that a jury trial means that you will be tried by a jury consisting of twelve people and that all of the jurors must agree to the verdict? 11. Do you understand that you have the right to participate in the selection of the jury? 12. Do you understand that if I approve your waiver of a jury trial, the court will try the case and determine your innocence or guilt? 13. Have you discussed with your attorney your right to a jury trial? 14. Have you discussed with your attorney the advantages and disadvantages of a jury trial? Do you want to discuss this issue further with your attorney?
B. Questionsforcounsel Indeterminingwhethertheaccusedhasmadeaknowing andvoluntarywaiverandiscompetenttowaive,thejudge shouldquestionbothdefensecounselandtheprosecutor. 1. Askdefensecounsel

1. Have you discussed with the defendant the advantages and disadvantages of a jury trial? 2. Do you have any doubt that the defendant is making a knowing and voluntary waiver of the right to a jury trial? 3. Has anything come to your attention suggesting that the defendant may not be competent to waive a jury trial?
2. Asktheprosecutor:
Has anything come to your attention suggesting that the defendant may not be competent to waive a jury trial?
(March2000rev.)
38
C. Formofwaiverandoralfinding 1. Awrittenwaiverofajurytrialmustbesignedbydefen dant,approvedbydefendantsattorney,consentedtoby thegovernment,andapprovedbythecourt. 2. Itissuggestedthatthejudgestateorally:

This court finds that the defendant has knowingly and voluntarily waived his [her] right to a jury trial, and I approve that waiver.
3. Anappropriatewrittenwaiverofjurytrialmaytakethe formshownonthenextpage.
Other FJC sources
(March2000rev.)
39
IntheU.S.DistrictCourt fortheDistrictof[ ] UnitedStatesofAmerica v. [Defendant] ) ) ) ) )
No.Cr_________ Waiveroftrialbyjury
IacknowledgethatIwasfullyinformedofmyrighttotrialby juryinthiscause.Iherebywaivethatright,requestthecourtto tryallissuesoffactandlawwithoutajury,andwaivemyrightto specialfindings. Datedat_______,this____dayof______,19__.
_______________________________ Defendant
APPROVED: __________________________ AttorneyforDefendant TheUnitedStatesofAmericaconsentstothedefendantswaiver ofajurytrialandwaivesitsrighttorequestspecialndings. _______________________________ AssistantU.S.Attorney Indthatthedefendanthasknowinglyandvoluntarilywaived therighttoajurytrial,andIapprovethewaiver. ________________________________
(March2000rev.)
40
Judge
(March2000rev.)
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1.10 Speedy Trial Act

TitleIoftheSpeedyTrialActof1974(18U.S.C.3161)imposes timelimitswithinwhichcriminaldefendantsmustbebroughtto trial.Thetimelimitsareexpressedasnumbersofdaysfromcer tainevents,butthestatuteprovidesthatcertainperiodsoftime beexcludedincomputingtheselimits,therebyextendingthe deadlines. The statute applies to offenses other than petty of fenses.1Thissectionisofferedasageneralguidetothetimelim its and exceptions in the Speedy Trial Act. Judges should be awarethatcircuitlawmaydifferonspecicissues.
Dismissal
Failuretocomplywiththetimelimitsgenerallyrequiresthata causebedismissed,althoughnotnecessarilywithprejudice.In decidingwhethertodismisswithorwithoutprejudice,thecourt shouldconsidertheseriousnessoftheoffense,thefactsandcir cumstancesthatledtothedismissal,andtheimpactofarepros ecutionontheadministrationoftheSpeedyTrialActandthead ministrationofjustice.See18U.S.C.3162(a)(1)and(2).

Waiver by defendant Althoughadefendantsfailuretomakeatimelymotionfordismissal onspeedytrialgroundsisdeemedawaiveroftherighttodismissal, see18U.S.C.3162(a)(2),itiswidelyunderstoodthatrelyingondefen dantsagreementstodelaytheirtrialsbeyondthestatutorytimelimits isinappropriate. Basic time limits
Indictment or information Anindictmentorinformationmustbeledwithinthirtydaysaf terarrestorserviceofasummons.However,ifadefendantis chargedwithafelonyinadistrictinwhich nograndjuryhas

1
.Pettyoffensemeansanoffensethatispunishablebyimprisonmentofsix monthsorlessandforwhichthemaximumne(includinganyalternative ne under 18 U.S.C. 3571(d)) is no more than $5,000 for individuals or $10,000fororganizations.18U.S.C.19and3581.
(March2000rev.)
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Section1.10:SpeedyTrialAct
beeninsessionduringthethirtydayperiod,thetimeforling anindictmentshallbeextendedanadditionalthirtydays.See18 U.S.C.3161(b).Ifanindictmentorinformationisdismissedor otherwisedroppedandifchargesbasedonorarisingfromthe sameconductarelaterreled,theprovisionsofsubsections(b) and(c)ofthissectionshallbeapplicablewithrespecttosuch subsequent complaint, indictment, or information. 18 U.S.C. 3161(d)(1). Trial Atrialmustcommencewithinseventydaysafterthelaterof(a) thedateoftheindictmentorinformationor(b)thedateofde fendantsinitialappearancebeforeajudicialofcerinthedis trict in which charges are brought. See 18 U.S.C. 3161(c). In somecircumstances,thedeadlinefortrialonasupersedingin dictmentrelatesbacktotheoriginalindictment. Trial, defendant in custody Atrialofadefendantheldinpretrialdetentionmustalsocom mencewithinninetydaysofthebeginningofcontinuouscus tody.Thisdeadlinemayinsomecasesbeearlierthantheseven tydaydeadlinereferredtoabove.See18U.S.C.3164(b).The sanction is release from custody rather than dismissal of the case.See18U.S.C.3164(c). Retrial Aretrialfollowingamistrialororderforanewtrialmustcom mencewithinseventydaysafterthedatetheactionoccasioning theretrialbecomesnal.18U.S.C.3161(e).Retrialfollowinga dismissalbythetrialcourtandreinstatementafterappeal,orfol lowinganappealorcollateralattack,mustalsocommencewith inseventydays,butanextensionofupto180daysmaybeal lowed if trial within seventy days is impractical. 18 U.S.C. 3161(d)and(e).
Trial commencement limitations
TheActrequiresthatthetrialdatebedeterminedattheearliest practicabletime,afterconsultationwithcounsel.See18U.S.C. 3161(a).Atrialmaynotcommencelessthanthirtydaysafter defendant rst appears through counsel or expressly waives
(March2000rev.)
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counselandelectstoproceedprose,unlessdefendantconsents inwriting.See18U.S.C.3161(c)(2).
Excludable periods
Thereareseveralperiodsofdelaythatshallbeexcludedfrom the time limits for ling an indictment or information or for commencingtrial.See18U.S.C.3161(h)(1)(9).Amongthese areperiodsofdelayresultingfromotherproceedingsconcern ing the defendant, from the absence or unavailabilityof the defendantoranessentialwitness,andfromthefactthatthe defendantismentallyincompetentorphysicallyunabletostand trial. Aperiodofdelayresultingfromthegrantingofacontinuance mayalsobeexcludedifthecontinuancewasgrantedontheba sisofandingthattheendsofjusticeservedbytakingsuchac tionoutweighthebestinterestofthepublicandthedefendantin aspeedytrial.Thecourtmustputontherecord,eitherorally or in writing, its reasons for [that] nding.2 See 18 U.S.C. 3161(h)(8)(A).Notethatacontinuanceunderthissectionmay notbegrantedbecauseofgeneralcongestionofthecourtscal endar,orlackofdiligentpreparationorfailuretoobtainavail ablewitnessesonthepartoftheattorneyfortheGovernment. 18U.S.C.3161(h)(8)(C).
Other aids to interpretation
Thespeedytrialplanadoptedbyeachdistrictcourtpursuantto 18U.S.C.3165,3166 AdministrativeOfceoftheU.S.Courts,ClerksManual:United StatesDistrictCourts(1993):Vol.1at8.08 Judicial Conference Committee on the Administration of the CriminalLaw,GuidelinestotheAdministrationoftheSpeedy TrialActof1974(rev.ed.October1984)
2 .ConsideraskingtheU.S.attorneytopreparetheformoftheorder. 2
(March2000rev.)
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Other FJC sources
ManualforComplexLitigation,Third258,273,306(1995) AnthonyPartridge,LegislativeHistoryofTitleIoftheSpeedyTri alActof1974(FederalJudicialCenter1980)
(March2000rev.)
45
1.11 Delinquency proceedings

18U.S.C.5031etseq.
A. Proceedingasanadultorajuvenile 1. Jurisdiction (a) Thedistrictcourthasjurisdictionoverajuvenilewho isallegedtohavecommittedaviolationoflawinthe courtsspecialmaritimeandterritorialjurisdictionfor which the maximum authorized term of imprison mentissixmonthsorless. (b) Inothercases,thedistrictcourthasjurisdictiononly if the Attorney General, after investigation, certies oneofthefollowing:
(1) thatajuvenile courtor other appropriate state court doesnothavejurisdictionorrefusestoassumejuris dictionoverajuvenilewithrespecttotheallegedactof juveniledelinquency; (2) that the state does not have available programs and servicesadequatefortheneedsofjuveniles;or (3) thattheoffensechargedisacrimeofviolencethatisa felony,orisanoffensedescribedincertainsectionsof title21, and thatthereisasubstantialfederalinterest inthecaseortheoffense.
Ifjurisdictionisnotestablishedunderparagraph(a)or (b)above,thejuvenilemustbesurrenderedtoappropri ate state authorities. If jurisdiction is established, the prosecutionproceedsbyinformationorbyviolationno ticeorcomplaintunder18U.S.C.3401(g).See18U.S.C. 5032.SeealsotheCalendarofEventsattheendofthis section. 2. Preliminaryprocedures (a) Clearthecourtroomofallpersonsexceptthoseasso ciated with the case. Close the outside and inside doorsandinstructthemarshalnottoopenthemdur ingtheproceedings. (b) Taketheappearancesofcounsel.
(March2000rev.)
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Section1.11:Delinquencyproceedings
(c) Explaintothepartiesthatthehearingwillbedivided intotwopartsasfollows:

(1) todetermineifthejuvenileshouldproceedasanadult orajuvenile; (2) toadmitordenythechargesagainstthejuvenile(see subsectionBofthissection).
(d) Ensure that the juvenile can speak and understand English and that defense counsel has been able to communicatewiththejuvenileinEnglish.Ifthereis anydoubtaboutthejuvenilesabilitytounderstand English,useacertifiedinterpreter. 3. Explainrightsofanadult: (a) toaninitialappearancebeforethemagistratejudge; (b) tocounsel; (c) toabailhearing; (d) toanindictment,ifapplicable; (e) toapreliminaryexaminationtodetermineprobable causeifdefendantisnotindicted; (f) to a trial by jury (explain composition of jury) in whichthegovernmentwillhavetoprovethatdefen dantisguiltybeyondareasonabledoubtandinwhich defendanthastheright:
(1) toconfrontandcrossexaminewitnesses; (2) toremainsilent,testify,orcallwitnesses.
4. Explainrightsofajuvenile: (a) toaninitialappearancebeforethemagistratejudge; (b) tocounsel; (c) toaninformation,violationnotice,orcomplaint,as opposedtoanindictmentbygrandjury;3 (d) toahearingbeforethecourttodeterminedelinquen cy,4duringwhichdefendanthastheright:
(1) toconfrontandcrossexaminewitnesses;5
3 .18U.S.C.5032;UnitedStatesv.Hill,538F.2d1072(4thCir.1976). 3 4 .McKeiver v.Pennsylvania, 403U.S. 528(1971); United Statesv. Hill, 538 4 F.2d1072(4thCir.1976). 5 .InreGault,387U.S.1(1967);UnitedStatesv.Costanzo,395F.2d441(4th 5
(March2000rev.)
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Section1.11:Delinquencyproceedings (2) toremainsilent,testify,orcallwitnesses;6 (3) tohavethegovernmentproveguiltbeyondareason abledoubt.7
(e) tohavehisorhernameandpicturewithheldfromthe media.8 5. Electiontoproceedasanadultorajuvenile: (a) Explainmaximumpenaltiesunderapplicablestatute ifjuvenileelectstoproceedasanadult. (b) Explain the disposition under the Federal Juvenile DelinquencyAct(FJDA),whichgivesthecourtthefol lowingoptions:
(1) tosuspendthendingsofdelinquency; (2)torequirethatthejuvenilemakerestitutiontothevic tim(s)ofthedelinquentconduct; (3) toplacethejuvenileonprobation;or (4) tocommitthejuveniletoofcialdetention. 18U.S.C.5037(a)
(c) Explain that if the juvenile elects to proceed as an adult:

(1) Therequestmustbeinwritingandupontheadviceof counsel.9 (2) Thejuvenilemaypleadnotguiltyandforcethegovern menttotrialbyjuryunderanindictment,ifapplicable. (3) Thejuvenilemaypleadguiltyandforgotrial.
(d) Explainthatifthejuvenileelectstoproceedasajuve nile:

(1) Therequestmaybeoral.
Cir.),cert.denied,393U.S.883(1968). 6 .InreGault,387U.S.1(1967);UnitedStatesv.Hill,538F.2d1072(4thCir. 6 1976);Westv.UnitedStates,399F.2d467(5thCir.1968)(factorsindecidingif juvenilehaswaivedprivilegeagainstselfincrimination),cert.denied,393U.S. 1102(1969). 7 .InreGault,387U.S.1(1967);UnitedStatesv.Hill,538F.2d1072(4thCir. 7 1976);UnitedStatesv.Costanzo,395F.2d441(4thCir.),cert.denied,393U.S. 883(1968). 8 .18U.S.C.5038(e). 8 9 .18U.S.C.5032. 9
(March2000rev.)
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Section1.11:Delinquencyproceedings (2) Thejuvenilemaydenychargesagainsthimorherand forcethegovernmenttotrialbeforethejudge. (3) Thejuvenilemayadmitthechargesledintheinfor mation,violationnotice,orcomplaint,forgoingtrial.
(e) Askcounsel:
(1) ifproceedingasajuvenileisintheindividualsbestin terests; (2) iffamilymemberspresentinthecourtroomhavedis cussedtheindividualselectionwithcounsel.
(f) Askthejuvenile:
Do you elect to proceed as an adult or as a juvenile? (1) Ifthejuvenileelectstoproceedasanadult,proceedto arraignmentasanadult(see2.01:Takingpleasofguilty ornolocontendere). (2) Ifthejuvenileelectstoproceedasajuvenile,proceed toarraignmentasajuvenile(seesubsectionBofthis section).
6. MotionbyAttorneyGeneraltoproceedasanadult: (a) TheAttorneyGeneralmaymakeamotiontotransfer thejuveniletoadultprosecutionifthejuvenile:

(1)committedanactthatifcommittedbyanadultwould be a felony that is a crime of violence or a specied drugoffensefromtitle21;and (2) committedtheactafterhisorherfteenthbirthday.
(b) Thecourtmaygrantthemotionif,afterahearingand afterconsideringandmakingndings intherecord on the factors listed in the statute, it finds that the transferwouldbeintheinterestofjustice. (c) Theagelimitforcommittingtheactisloweredtoaf terthethirteenthbirthdayforcertaincrimesofvio lenceorifthejuvenilepossessedarearmduringthe offense. (d) Reasonablenoticeofatransferhearingmustbegiven to the juvenile; the juveniles parents, guardian, or custodian;andcounsel.Thejuvenileshallbeassisted by counsel, and any statements the juvenile makes
(March2000rev.)
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beforeorduringthetransferhearingarenotadmissi bleatsubsequentcriminalprosecutions. See18U.S.C.5032. 7. Mandatoryproceedingasanadult: Thejuvenileshallbetransferredtodistrictcourtforpros ecutionasanadultifthejuvenile: (a) committedanactafterhisorhersixteenthbirthday thatifcommittedbyanadultwouldbeafelonyof fensethatisacrimeofviolence,oradrugoffenseor otherseriouscrimeasdescribedinthestatute;and (b) hasbeenpreviouslyfoundguiltyofanactthatifcom mittedbyanadultwouldhavebeenoneoftheoffens esdescribedaboveorinparagraph6above,orfound guiltyofaviolationofastatefelonystatutethatwould havebeensuchanoffenseifcommittedunderfederal jurisdiction. See18U.S.C.5032. B. ArraignmentofaJuvenile: 1. Giveoathandmakesurethejuvenileunderstandsthatto lieunderoathistocommitthecrimeofperjury. 2. DirecttheU.S.attorneytoreadthechargeagainstjuve nile. (a) Thechargemust:
(1) reectthattheindividualcommittedanactofjuvenile delinquency; (2) citethestatuteallegedlyviolated; (3) cite18U.S.C.5032.
(b) Thecourtshoulddirectthefollowingquestionstothe juvenile:

(1) Have you been given a copy of the charge? (2) Have you talked to counsel about the charge led against you? [Explainthechargeandinquire:] (3) Do you understand the charges against you?
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[Explainthepenaltyandinquire:]
(4) Do you understand the maximum penalty that could be assessed against you if you are found guilty of these charges? (5) Do you understand that you are entitled to have counsel present with you at all times during these proceedings? (6) Are you satised with your representation (counsel)? (7) Do you understand that you have a right to deny the charges that have just been read? (8) Do you understand that if you deny the charges, the government will have to bring witnesses that your counsel can cross-examine, and the government will have to convince the court beyond a reasonable doubt: (i) that you committed the crime with which you have been charged; (ii) that you committed this crime before you reached the age of eighteen?
3. Readtheelementsoftheoffensethatthegovernmentwill havetoprove. 4. Determinecompetenceofthejuveniletounderstandthe proceedingsandtoenteranadmissionordenial. (a) Thecourtshouldaskthefollowingquestions:

(1) Have you taken any drugs, medicines, or pills or drunk any alcoholic beverages in the past twenty-four hours? (2) Do you understand what is happening today?
(b) Thecourtshouldalsoaskthejuvenilescounseland theprosecutorthisquestion:
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Section1.11:Delinquencyproceedings Do either of you have any doubt as to the juveniles competence to admit or deny the charges against him [her] at this time?
(c) If,afterfurtherinterrogationofjuvenileandcounsel, thereisanyquestionofthejuvenilesunderstanding oftheproceedingsandofhisorhercompetenceto plead,continuethetakingoftheadmissionordenial toalaterdate. 5. Determinethejuvenilesawarenessoftheconsequences ofanadmission.Ask:

(a) Are you aware that, if you admit the charges against you, you are giving up your right: (1) to trial by the court? (2) to confront and cross-examine witnesses? (3) to remain silent, testify, and call witnesses? (4) to require the government to prove guilt beyond a reasonable doubt? (b) Are you aware that if you admit the charges against you, you will lose the right to elect to proceed as an adult with the following rights:10 (1) to an indictment, if applicable? (2) to a trial by jury? [SeesubsectionA.3(f)ofthis
section.] 6. Explain to the juvenile that if he or she admits the act withwhichheorshehasbeencharged,thegovernment willthentellthecourtwhatitbelievesthefactstobeand whatitcouldproveifthecaseweretogototrial.Further, explainthatthecourtwouldthenaskthejuvenile: (a) ifwhatthegovernmentsaysistrueasfarasheorshe knows; (b) ifanypartofwhatthegovernmentsaysisnottrue;
1 .Cf.UnitedStatesv.Doe,627F.2d181(9thCir.1980)(discussingtimingre 10 quirementformakingrequesttoproceedasanadult).
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(c) ifso,whatisnottrue? (d) ifheorshebelievesthatthegovernment canprove whatitsaysitcanprove; (e) ifheorshecommitted[heregothroughtheelements oftheoffense]. 7. Determinethevoluntarinessoftheadmission: Thecourtmustbesatisedthatifthejuvenileadmitsthe charges against him or her,this admission is voluntary andnottheresultofanyforceorthreatorinducement. Suggestedquestionstoaskthejuvenileinclude:
(a) Has anyone threatened you or anyone else or forced you in any way to admit these charges? [Ifthean
swerisyes,ascertainthefactsandrecessifnecessary topermitthejuvenileandhisorhercounseltocon fer,orpostponetakingtheadmission.]

(b) Do you understand that nobody can compel you to admit anything?
8. Taketheadmissionordenial.Askthejuvenile:
Do you admit or deny that you are a juvenile delinquent as charged in the information?
(a) Ifthejuveniledenies,setfortrial. (b) Ifthejuvenileadmits:

(1) AsktheU.S.attorneytostatewhatheorshecanprove attrial. (2) Askthejuvenilethefollowingquestions: (i) So far as you know, is what the government says true? (ii) Is any part of what the government says not true? (iii) If so, what is not true? (iv) Do you believe that the government can prove what it says it can prove? (v) Did you [heregothroughelementsoftheof
fense]?
NOTE Consideraskingthe juveniletotell,inhis orherownwords, whatheorshedid.
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Section1.11:Delinquencyproceedings (3) Askcounselforthejuvenileifcounselissatised the governmentcanprovewhatitsaysitcanprove.
9. Findingsfortherecord: (a) Findthatalllaws(18U.S.C.5031etseq.)havebeen compliedwithandthatabasisforfederaljurisdiction exists(seesubsectionA.1ofthissection). (b) Findthatthejuvenileiscompetent. (c) Find that the juvenile understands his or her rights andhaselectedtogivethemup,excepttherightto counsel. (d) Find that the juvenile has voluntarily admitted the chargesagainsthimorherafterfullyknowingandun derstandinghisorherconstitutionalrightsasajuve nile. (e) Findthatthejuvenileisawareofthemaximumpenal tythatcouldbeimposedagainsthimorher. (f) Findthatthejuvenileisawarethatthegovernment hassufcientfactstosupportanadjudicationofjuve niledelinquency. (g) Askthejuvenileifheorshewantstochangehisorher mindandnotproceedasajuvenileornotadmitthe chargesagainsthimorher. (h) Adjudgethatthejuvenileisajuveniledelinquent. 10. Informthejuvenileandhisorherparentsorguardian,in writing,ofthejuvenilesrightsrelatingtotheconden tialityofjuvenilerecords.11 C. Disposition(18U.S.C.5037)12 1. Detentionpriortodisposition(18U.S.C.5035) (a) Ajuvenileallegedtobedelinquentmaybedetained onlyinajuvenilefacilityorothersuitableplacedesig natedbytheAttorneyGeneral.
1 .18U.S.C.5038(b).See18U.S.C.5038(a),(c),(d),and(f)forauthorityto 11 releasejuvenilerecords. 1 .Thefollowingoutlineisnotintendedasaprocedureforconductingadis 12 positionalhearingbutassupplementalmaterialtobeusedinsettingthedis positionalhearing.
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(b) Detention shall be ina foster home or community basedfacilitylocatedinornearthejuvenileshome communitywheneverpossible. (c) Thejuvenileshallnotbedetainedorconnedinany institutioninwhichheorshewouldhaveregularcon tactwithadultsconvictedofcrimesorawaitingtrial oncriminalcharges.Also,insofaraspossible,alleged delinquentsshallbekeptseparatefrom adjudicated delinquents. (d) Everyjuvenileincustodyshouldbeprovidedwithad equate food, heat, light, sanitary facilities, bedding, clothing,recreation,education,andmedicalcare,in cludingnecessarypsychiatric,psychological,orother careandtreatment. 2. Timingofhearing(18U.S.C.5037(a)) Ifthejuvenileisadjudicatedtobedelinquent,thecourt musthaveahearingdisposingofthecasewithintwenty courtdaysaftersaidadjudicationunlessthecourthasor dered further studies in accordance with 18 U.S.C. 5037(d).(SeesubsectionC.5ofthissection.) 3. Judgmentfollowingdispositionhearing Afterthedispositionhearing,thecourtmay: (a) suspendthendingsofdelinquency; (b) requirethejuveniletomakerestitutionpursuantto18 U.S.C.3556; (c) placethejuvenileonprobation;or (d) committhejuveniletoofcialdetentioninthecus todyoftheAttorneyGeneral. 4. Sentence: Ajuvenilemaynotbeplacedonprobationorcommitted foratermlongerthanthemaximumprobationorprison termthatwouldhavebeenauthorizedhadthejuvenile beensentencedasanadultundertheSentencingGuide lines.UnitedStatesv.R.L.C.,112S.Ct.1329,1339(1992). Subjecttothatlimitation,themaximumtermsapplicable areasfollows:
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(a) Forajuvenileundereighteenatthetimeofdisposi tion, neither the probation nor the detention term mayextendbeyondthejuvenilestwentyrstbirth day.18U.S.C.5037(b)(1),(c)(1). (b) For a juvenile between eighteen and twentyone at thetimeofdisposition,theprobationtermmaynot exceedthreeyears.18U.S.C.5037(b)(2).Thedeten tiontermmaynotexceedveyearsiftheactofdelin quencywasaClassA,B,orCfelony;itmaynotexceed threeyearsinothercases.18U.S.C.5037(c)(2). 5. Observationandstudy(5037(d)): Anallegedoradjudicateddelinquentmaybecommitted, afternoticeandahearingatwhichthejuvenileisrepre sentedbycounsel,tothecustodyoftheAttorneyGeneral forobservationandstudybyanappropriateagency.This observationandstudyshallbeconductedonanoutpa tientbasisunlessthecourtdeterminesthatinpatientob servationandstudyarenecessarytoobtainthedesired information. If the juvenile is only an alleged juvenile delinquent,inpatientstudymaybeorderedonlywiththe consentofthejuvenileandhisorherattorney.Theagen cyshallmakeacompletestudyoftheallegedoradjudi cateddelinquenttoascertainhisorherpersonal traits, capabilities, background, any previous delinquency or criminalexperience,anymentalorphysicaldefects,and anyotherrelevantfactors. TheAttorneyGeneralmustsubmitareportontheob servationandstudytothecourtandtotheattorneysfor thejuvenileandthegovernmentwithinthirtydaysafter commitmentunlessthecourtgrantsadditionaltime.
Calendar of events Juvenile in custody
Thejuvenilemustbebroughttotrialwithinthirtydaysfromthe datedetentionwasbegun.18U.S.C.5036.
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Thedispositionalhearingmustoccurwithintwentycourtdays afterajuvenileisadjudicateddelinquent.18U.S.C.5037(a).
Juvenile not in custody
Thejuvenilemustbetriedwithinseventydaysfromthedateof lingofthecharginginformationorfromthedatethejuvenile appeared before a judicial ofcer of the court in which such chargeispending,whicheverdateoccurslast.18U.S.C.3161 etseq.13 Thedispositionalhearingmustoccurwithintwentycourtdays afterajuvenileisadjudicateddelinquent.18U.S.C.5037(a).
1 .ButseeModelStatementoftheTimeLimitsandProceduresforAchieving 13 Prompt Disposition ofCriminalCases (Committee ontheAdministration of theCriminalLawoftheJudicialConferenceoftheUnitedStates)(1979)(ex ceptasspecicallyprovided,thetimelimitsarenotapplicabletoproceedings undertheFJDA).
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1.12 Mental competency in criminal matters

The mental competency of a defendant may come before the courtinanumberofdifferentcontexts.Themostimportantare: competencytostandtrial; competencytopleadguilty; competencytocommitthecrimewithwhichdefendant ischarged(e.g.,abilitytoformtherequisiteintent); competencyafteracquittalbyreasonofinsanity; competencytobesentenced; mentalconditionasitbears onthesentencetobeim posed; civilcommitmentofaconvictedoffenderinneedofcare ortreatmentforamentalcondition;
TheInsanityDefenseReformActof1984,18U.S.C.4241 4247,isnowcontrollingwithrespecttomostsituationsinvolving thementalcompetencyofadefendant.Itisacomplexenact ment,theprovisionsofwhicharespelledoutingreatdetail.Its provisionsmustbereadwith careandcompliedwith meticu lously. A. Competencytostandtrial(18U.S.C.4241): 1. 18 U.S.C. 4241(a) provides that after the commence mentofaprosecutionandpriortosentencing,eitherthe U.S.attorneyordefensecounselmaymoveforahearing todeterminedefendantsmentalcompetency.Thecourt shallgrantthemotion,orshallorderahearingonitsown motion,ifthereisreasonablecausetobelievethatdefen dantisnotmentallycompetent: (a) to understand the nature and consequences of the proceedingsagainsthim;or (b) toassistproperlyinhisdefense. 2. Priortothehearingthecourtmay(andprobablyshould) orderthatapsychiatricorpsychologicalexaminationbe
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Section1.12:Mentalcompetencyincriminalmatters
conductedandthatareportbeledwith thecourt.18 U.S.C.4241(b). (a) Theexaminershouldbeaskedforhisorheropinion as to whether defendant is suffering from a mental disease or defect rendering defendant mentally in competent to understand the nature and conse quencesoftheproceedingsagainsthimorherorto assist properly in his or her defense. The examiner shouldberequestedtohavethereportincludeallof the information required by 18 U.S.C. 4247(c)(l) through(c)(4)(A). (b) Thepsychiatristorpsychologistshouldnotbeasked todeterminedefendantsmentalcompetencyatthe timetheallegedoffensewascommitted. (c) Tosecurea4241examinationthecourtmay,ifnec essary,orderdefendantcommittedtoasuitablehos pitalorfacilityforareasonableperiodnottoexceed thirty days, even if defendant is not otherwise conned.Forjustcausethiscommitmentmaybeex tendedbyfifteendays.18U.S.C.4247(b). 3. Thecourtshallthenholdanevidentiaryhearing,tobe conducted pursuant to the provisions of 18 U.S.C. 4247(d).Defendantshallberepresentedbycounsel. Id. 4. At the conclusion of the evidentiary hearing, the court shallmakeandingbyapreponderanceoftheevidence astotheaccusedsmentalcompetencytostandtrial.18 U.S.C.4241(d). (a) A nding of mental competency to stand trial does notprejudiceapleaofnotguiltybyreasonofinsani ty,becausethecourtsndingisnotadmissibleinevi dence on the issue of guilt or innocence. 18 U.S.C. 4241(f). (b) Ifdefendantisfoundtobeincompetenttostandtrial, thecourtshallcommitthedefendanttothecustody oftheAttorneyGeneral.18U.S.C.4241(d).Thetrial
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(c)
(d)
(e)
(f)
court should receive periodic reports as to defen dantsmentalcondition. TheAttorneyGeneralshallhospitalizedefendantfora reasonableperiodnottoexceedfourmonths,tode terminewhetherthereisasubstantialprobabilitythat defendantwillintheforeseeablefuturebecomecom petenttostandtrial.18U.S.C.4241(d)(l). TheAttorneyGeneralmayhospitalizedefendantfor anadditional reasonableperiod oftimeifthecourt ndsthatwithinthatadditionalperiodthereisasub stantialprobabilitythatdefendantwillbecomecom petenttostandtrial.18U.S.C.4241(d)(2). If, at the end of the time provided for by 18 U.S.C. 4241(d),defendantisstillnotcompetenttobetried, heorsheissubjecttofurthercommitmentunderthe provisions of 4246 if the court nds by clear and convincing evidence that releasing defendant would createasubstantialriskofbodilyinjurytoanotheror ofseriousdamagetoanothersproperty.Theprovi sionsof4246aredetailedandcomplex.Toavoider rorthecourtmustrefertothoseprovisionsandfollow themwithgreatcare.Thereportofany4246psychi atricorpsychologicalexaminationmustcomplywith the requirements of 4247(c). Any hearing must be heldpursuanttotheprovisionsof4247(d). Whenthedirectorofthefacilitycertiestothecourt thatdefendantiscompetenttostandtrial,thecourt mustholdahearing,conductedpursuanttothere quirementsof18U.S.C.4247(d).Ifthecourtdeter mines that defendant is competent to stand trial, it shallorderdefendantsdischargefromthefacilityand setthematterdownfortrial.18U.S.C.4241(e).
B. Competencytopleadguilty: Becauseadefendantisrequiredtomakeaknowingandvol untary waiver of certain constitutional rights in entering a guiltyplea,thecourtmust,inacceptingaFed.R.Crim.P.11 plea,besatisedthatdefendanthassufcientmentalcom
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petency to waive those rights, to make a reasoned choice amongthealternativespresentedtohimorher,andtoun derstandthenatureandconsequencesoftheguiltyplea(see thecolloquyinsection2.01). Ifthereisanyquestionastodefendantsmentalcompeten cy to enter a guilty plea, an 18 U.S.C. 4241 examination shouldbeorderedandahearingheldpriortoacceptanceof theplea.Inrequestingsuchanexamination,thecourtshould spelloutfortheexaminerthecriteriathattheexamineristo applyindeterminingwhetherdefendantiscompetenttoen teraguiltyplea.Theexaminershouldberequestedtofurnish theinformationrequiredby4247(c),alongwithanopinion astodefendantscompetencytoenteraguiltyplea. C. Competency to commit the crime with which the defendantischarged(Fed.R.Crim.P.12.2;18U.S.C.17): 1. Ifdefendantintendstorelyontheinsanitydefenseorto introduceexperttestimonyrelatingtohisorhermental condition,defendantmustnotifythegovernmentattor neyinwritingofthatintentionwithinthetimeprovided forlingpretrialmotionsoratalatertimeifsoordered bythecourt.Thecourtmayallowlatelingofthenotice ifgoodcauseisshown.Fed.R.Crim.P.12.2(a)and(b). 2. Onmotionofthegovernmentattorney,thecourtmayor der defendant to submit to a mental examination by a psychiatristorotherexpertdesignatedbythecourtpur suant to 18 U.S.C. 4241 and 4242. Fed. R. Crim. P. 12.2(c).Theexaminershouldbeaskedtogivehisorher opinionastowhether,atthetimeoftheactsconstituting theoffense,defendantwasunabletoappreciatethena tureandqualityorthewrongfulnessofhisorheractsasa resultofaseverementaldiseaseordefect.See18U.S.C. 17(a).Theexaminershouldberequestedtoincludein his or her report all of the information required by 4247(c). 3. Defendantbearstheburdenofprovingthedefenseofin sanity by clear and convincing evidence. 18 U.S.C. 17(b).
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NOTE Seriousdueprocess andcompulsory processissuesmay ariseifthecourtex cludesexperttestimo nyconcerninganin sanitydefensewhena continuanceofthetri alwouldbefeasible. SeeTaliaferrov.Mary land,456A.2d29,cert. denied,461U.S.948 (1983)(White,J.,dis senting).
4. Nostatementmadebydefendantduringacourtordered mentalexamination(whethertheexaminationwaswith orwithoutdefendantsconsent),notestimonybytheex pertbasedonthatstatement,andnofruitofthatstate mentmaybeadmittedagainstdefendantinanycriminal proceedingexceptonanissuerespectingmentalcondi tiononwhichdefendanthasintroducedtestimony.Fed. R.Crim.P.12.2(c). 5. Ifdefendantfailstoprovidetimelynoticetothegov ernmentattorneyofhisorherintenttointroduceex perttestimonyrelatingtoaninsanitydefense,orifhe or she fails to submit to an examination, the court mayexcludethetestimonyofanyexpertwitnessof fered by defendant upon the issue of defendants mentalconditionatthetimeoftheallegedcriminal offense.Fed.R.Crim.P.12.2(d). D. Competencyafteracquittalbyreasonofinsanity(18U.S.C. 4243): Ifadefendantisfoundnotguiltyonlybyreasonofinsanity, heorsheshallbecommittedtoasuitablefacilityuntilsuch time as he or she is eligible for release under 18 U.S.C. 4243(f).Theprovisionsof4243(e)relatingtotheconne mentandreleaseofadefendantacquittedbyreasonofin sanityaredetailedandcomplex.Thoseprovisions mustbe followed with meticulous care. Any hearing must comply withtheprovisionsof4247(d).Anyreportofapsychiatric orpsychologicalexaminationmustcomplywiththerequire mentsof4247(c). E. Competencytobesentenced: Becauseheorshehastherightofallocutionatsentencing andmustbeabletounderstandthenatureoftheproceed ings,defendantcannot besentencedifheorshedoes not havethementalcapacitytoexercisetherightofallocutionor tounderstandthenatureoftheproceedings. Ifthereisanyquestionastodefendantsmentalcompeten cytobesentenced,an18U.S.C.4241examinationshould beorderedandahearingheldbeforesentencing.Thecourt
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shouldprovidetheexaminerwiththecriteriatheexamineris toapplyindeterminingwhetherdefendantiscompetentto besentenced.Thecourtshouldrequesttheexaminertoin cludeinhisorherreportalloftheinformationrequiredby 4247(c).Anyhearingmustbeheldpursuanttotherequire mentsof4247(d). F. Mentalconditionasitbearsonsentenceimposed: l. Adultoffenders(18U.S.C.3552(b))14: (a) Ifthecourtdeterminesthatitneedsmoredetailedin formation about defendants mental condition as a basisfordeterminingthesentencetobeimposed,the courtmayorderastudyofdefendant. (b) Thestudyshouldbeconductedbyaqualiedconsul tant in the local community, unless the judge nds that there is a compelling reason to have the study donebytheBureauofPrisonsorthattherearenoad equateprofessionalresourcesinthelocalcommunity toperformthestudy.
(1) Ifthestudyistobedoneinthelocalcommunity,the courtshoulddesignateaconsultant,usuallyapsychia trist or psychologist, to conduct the study and order defendanttosubmittotheexamination.Theprobation ofcewillassistinidentifyingpeoplewhoarequalied and willing to perform such studies; the probation ofcealsocanprovidefundsforthispurpose. (2) IfthestudyistobedonebytheBureauofPrisons,de fendant should be committed under 18 U.S.C. 3552(b)tothecustodyoftheBureautobestudied. Imposingaprovisionalsentenceisnotnecessary.
(c) The courtorder should specifytheadditional infor mationthecourtneedsbeforedeterminingthesen tencetobeimposedandshouldinformtheexaminer of any guideline or policy statement that should be addressedbythestudy.
1 .Subsections(b)and(c)of3552bothauthorizestudiesinaidofsentenc 14 ing.Subsection(c)specicallyauthorizesapsychiatricorpsychologicalexam, but it appears preferable to rely on the more exible general authority of 3552(b).
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(d) Thecourtordershouldspecifyaperiodforthestudy, nottoexceedsixtydays.Theperiodmaybeextended, at the discretion of the court, for up to sixty more days. (e) Tominimizedelayifthestudyistobedonebythe Bureau of Prisons, consider directing the probation ofcertosecureimmediatedesignationoftheinstitu tionatwhichthestudywillbeperformed,anddirect ingthemarshaltotransportdefendanttothatinstitu tionbythemostexpeditiousmeansavailable. (f) After receiving the report of the study, the court shouldproceedtosentencing.Thereportmustbein cludedinthepresentencereport.SeeFed.R.Crim.P. 32(b)(4)(G). (g) SeealsoU.S.S.G.5H1.3and5K2.13,whichdelin eatetheextenttowhichadefendantsmentaloremo tionalconditionmaybetakenintoaccountunderthe SentencingGuidelines. 2. Juvenileoffenders(18U.S.C.5037(d)): (a) Ifthecourtdeterminesthatitneedsadditionalinfor mationconcerninganallegedoradjudicatedjuvenile delinquentsmentalcondition,thecourtmaycommit thejuveniletotheAttorneyGeneralscustodyforob servation and study after notice and a hearing at whichthejuvenileisrepresentedbycounsel. (b) The observation and study of the juvenile must be performed on an outpatient basis, unless the court determinesthatinpatientobservationisnecessaryto obtainthedesiredinformation.Ifthejuvenilehasnot beenadjudicateddelinquent,inpatientstudycanbe orderedonlywiththeconsentofthejuvenileandhis orherattorney. (c) The agency selected by the Attorney General shall make a complete study of the juveniles mental health. (d) TheAttorneyGeneralshallsubmittothecourtandto thejuvenilesattorneytheresultsofthestudy.That
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reportshallbesubmittedwithinthirtydaysoftheju venilescommitment,unlessthetimeforreportingis extendedbythecourt. G. Civil commitmentofconvicted offenderinneedofcareor treatmentformentalcondition(18U.S.C.4244): Uponmotionofdefendantorthegovernmentoronitsown motion, the court may, before sentencing, determine that thereisreasonablecausetobelievethatdefendantmaybe sufferingfromamentaldiseaseordefectforthetreatmentof whichheorsheisinneedofcustodyinasuitablefacility.In thateventthecourtshallorderahearing.18U.S.C.4244(a). Beforethehearingthecourtmayorderthatapsychiatricor psychological examination of defendant be conducted and thatareportbeledwith thecourt,pursuantto4247(b) and(c).Ifitistheopinionoftheexaminerthatdefendantis sufferingfromamentaldiseaseordefectbutthatthecondi tionisnotsuchastorequiredefendantscustodyforcareor treatment, the examiner shall give his or her opinion con cerning the sentencing alternatives that could best accord defendant the kind of treatment he or she does need. 18 U.S.C.4244(b). Thehearingshallbeconductedpursuanttotheprovisions of4247(d). If,afterthehearing,thecourtndsbyapreponderanceof theevidencethatdefendantissufferingfromamentaldis easeordefectandthat,inlieuofbeingsentencedtoimpris onment,heorsheshouldbecommittedtoasuitablefacility forcareortreatment,thecourtshallcommitdefendantto thecustodyoftheAttorneyGeneralforcareortreatmentina suitablefacility.Suchcommitmentshallconstituteaprovi sionalsentenceofimprisonmenttothemaximumtermau thorized by law for the offense for which defendant was foundguilty.18U.S.C.4244(d). Whenthedirectorofthefacilitytowhichdefendantissent certiesthatdefendantisnolongerinneedofcustodyfor careortreatment,thecourtshallproceedtosentencing,pro videdthattheprovisionalsentencehasnot yetexpired.18 U.S.C.4244(e).
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Other FJC sources
TheBailReformActof1984at27(2ded.1993) PatternCriminalJuryInstructions67(1987)
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1.13 Referrals to magistrate judges (criminal matters)

ListedbelowaredutiesincriminalmattersthatarecoveredinSections 1,2,and4ofthis Benchbook andthatmaybereferredtomagistrate judges.Mostdistrictshavelocalrulesorstandingordersgoverningre ferralstomagistratejudges. For amore comprehensive listing of the duties magistrate judges mayperform,see InventoryofUnitedStatesMagistrateJudgeDuties, preparedbythestaffoftheJudicialConferenceCommitteeontheAd ministrationoftheMagistrateJudgesSystem(February1995).Thisin ventoryisavailablefromtheAdministrativeOfceoftheU.S.Courts uponrequestandisalsofoundinChapter3,Jurisdiction,oftheLe galManualforU.S.MagistrateJudges,preparedbytheAdministrative Ofce.
Amagistratejudgemayconduct: 1. bail proceedings and detention hearings. 18 U.S.C. 3041,3141etseq.;28U.S.C.636(a)(2).(See1.03:Release ordetentionpendingtrial.) 2. arraignments,andmaytakenotguiltypleasinfelonycas es.1528U.S.C.636(b)(1)(A).(See1.07:Arraignmentand plea.) 3. trial,judgment,andsentencinginaClassBmisdemeanor motor offense, Class C misdemeanor, or infraction; for other misdemeanors, defendants express consent in writing or orally on the record is required. See Fed. R. Crim. P. 58(b)(2)(E) and (3)(A); 18 U.S.C. 3401(b); 28 U.S.C.636(a)(3)(5).Ajudgmentofconvictionorsen tencebyamagistratejudgemaybeappealedtothedis trictcourt.18U.S.C.3402.Fed.R.Crim.P.58governs trials and appeals of misdemeanors and petty offenses. (Seegenerally2.03:Trialoutline(criminalcase).) 4. pretrialmatters:
1 .Notethatyourcircuitmayallowamagistratejudgetotakeapleaofguilty 15 inafelonycaseifthedefendantconsents.
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Section2.01:Takingpleasofguiltyornolocontendere
(a) Amagistratejudgemayhearanddeterminenondis positive pretrial matters in felony cases,16 including discovery and appointment of counsel. A district courtmayreconsideramagistratejudgesrulingona nondispositive matter if it is clearly erroneous or contrarytolaw.28U.S.C.636(b)(1)(A). (b) Amagistratejudgemayhearandsubmittothedis trictcourtproposedndingsoffactandrecommend eddeterminationsofdispositivepretrialmatterssuch asamotiontosuppressevidenceortodismissanin dictment. 28 U.S.C. 636(b)(1)(B). A district court mustmakeadenovodeterminationofthoseportions ofproposedndingsandrecommendationstowhich thepartiesobject,28U.S.C.636(b)(1)(C),butneed notholdadenovohearingofalltheevidence,United Statesv.Raddatz,447U.S.667(1980). Seegenerally2.03:Trialoutline(criminalcase). 5. voirdireinafelonycase,ifthepartiesconsent.Peretzv. UnitedStates, 111S.Ct.2661(1991).Amagistratejudge maynot conductvoir direinafelonytrialifdefendant objects.Gomezv.UnitedStates,490U.S.858(1989).(See 2.06:Standardvoirdirequestionscriminal.) 6. probationandsupervisedreleasemodicationhearings: (a) Amagistratejudgemayrevoke, modify,or reinstate probation and modify, revoke, or terminate super visedreleaseifanymagistratejudgeimposedthepro bationorsupervisedreleaseinamisdemeanorcase. 18U.S.C.3401(d),(h). (b) Inothercases,adistrictcourtjudgemaydesignatea magistratejudgetoconduct hearings tomodify,re voke,orterminatesupervisedrelease,andtosubmit tothedistrictjudgeproposedndingsoffactandrec
1 .TheSupremeCourtheldthatdecisionstouchingthecoretrialfeaturesofa 16 felonycasemaybedelegatedtoamagistratejudgeonlyifexpresslyauthorized bystatute.Gomezv.UnitedStates,490U.S.858(1989).
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ommend disposition under 18 U.S.C. 3583(e). 18 U.S.C.3401(i).17 Seegenerally4.02:Revocationofprobationorsupervised release. 7. anomnibushearing,subjecttoanyrightofreviewbefore adistrictcourtofdispositivematters.28U.S.C.636(b) (1)(A)and(B). 8. extradition hearings. 18 U.S.C. 3184; Ward v. Ruther ford,921F.2d286(D.C.Cir.1990),cert.dismissed,111S. Ct. 2844 (1991). (See 7.05: Foreign extradition proceed ings.) 9. [A]dditional duties [that]are not inconsistent with the Constitution and laws of the United States. 28 U.S.C. 636(b)(3). For examples of additional duties and case lawon636(b)(3),see InventoryofUnitedStatesMagis trateJudgeDuties88109.
Other FJC sources
1 .TheNinthCircuitheldthatneither28U.S.C.636nor18U.S.C.3401au 17 thorize a magistrate judge to conduct probation revocation hearings in a felony casewithout defendantsconsent. See United Statesv. Colacurcio, 84 F.3d326,32934(9thCir.1996)(reversed).SeealsoUnitedStatesv.Curry,767 F.2d 328, 331 (7th Cir. 1985) (magistrate judge not authorized by 28 U.S.C. 636(b)(3) to conduct probation revocation hearings without defendants consent);Banksv.UnitedStates,614F.2d95,9798(6thCir.1980)(same).
(March2000rev.)
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2.01 Taking pleas of guilty or nolo contendere

Fed.R.Crim.P.11
Introductory note
This section is intended to serve as a guide to district judges whentheyconducttheformalpleataking,whetheritoccursbe foreorafterreviewofthepresentencereport.Itisimportantto emphasizethat,whilethepleaofguiltyisenteredattheRule11 proceeding,thecourtmaydeferdecidingwhethertoacceptthe termsofapleaagreementuntilafterreviewofthepresentence report.18Ifafterreviewofthereportthedistrictcourtrejectsan agreementmadepursuanttoRule11(e)(1)(A)or(C),thecourt shallgivedefendanttheoptiontowithdrawtheplea.Ineither event,thejudgesgoalintakingthepleamust betoestablish thatdefendantiscompetent,thatthepleaisfreeandvoluntary, thatthedefendantunderstandsthechargesandpenalties,and thatthereisafactualbasisfortheplea.Thissectionisnotin tendedtobeallinclusive.Circumstancesmayrequirethataddi tionalmattersbeestablishedofrecord.Insomecases,moreover, thecourtmaynditnecessarytoresolvedisputesaboutthepre sentencereportbeforedeterminingwhetherapleaagreementis acceptable.See4.01:Guidelinesentencing. TakingpleasfromdefendantswhodonotspeakEnglishraises problemsbeyondtheobviouslanguagebarrier.Judgesshouldbe mindfulnotonlyoftheneedtoavoidusinglegalismsandother termsthatinterpretersmayhavedifcultytranslating,butalso oftheneedtoexplainsuchconceptsastherightnottotestify andtherighttoquestionwitnesses,whichmaynotbefamiliarto personsfromdifferentcultures. SomecourtshavedevelopedApplicationforPermissiontoEn ter Plea of Guilty forms and Written Plea Agreement forms. If used,suchformsdonotobviatetheneedforcompleteoralpro ceedings in open court that meet the requirements of Fed. R. Crim.P.11.
1 .Fed.R.Crim.P.11(e)(2);U.S.S.G.6B1.1(c),p.s. 18
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Section2.01:Takingpleasofguiltyornolocontendere Outline
A. Determine, on the record, the purpose of defendants ap pearance,thatis,obtainastatementfromdefensecounsel 19 thatdefendantwishestoenterapleaofguilty(ornolocon tendere). B. Ifithasnotpreviouslybeenestablished,determinewhether thepleaisbeingmadepursuanttoapleaagreementofany kind.Ifso,requiredisclosureofthetermsoftheagreement (oriftheagreementisinwriting,requirethatacopybepro duced for your inspection and ling). See Fed. R. Crim. P. 11(e)(2). C. Havetheclerkadministeroathtodefendant.20 D. Askdefendant:
1. Do you understand that you are now under oath and if you answer any of my questions falsely, your answers may later be used against you in another prosecution for perjury or making a false statement? [See Fed. R.
Crim.P.11(c)(5).]
2. What is your full name? 3. How old are you? 4. How far did you go in school? 5. Have you been treated recently for any mental illness or addiction to narcotic drugs of any kind?
[Note: Iftheanswertothisquestionisyes,pursuethesubject withdefendantandwithcounselinordertodeterminethatde fendantiscurrentlycompetenttoplead.]

6. Are you currently under the inuence of any drug, medication, or alcoholic beverage of any kind?
1 .Ifdefendantlackscounsel,youmustadvisedefendantoftherighttoanat 19 torney.See1.02:Assignmentofcounselorproserepresentation;Fed.R.Crim. P.11(c)(2). 2 .AnoathisnotrequiredbyFed.R.Crim.P.11butisstronglyrecommended 20 toavoidanysubsequent contentioninaproceedingunder28U.S.C.2255 thatdefendantdidnotanswertruthfullyatthetakingofthepleabecauseheor shewasnotsworn.
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[Note:Again,iftheanswerisyes,pursuethesubjectwithdefen dantandwithcounseltodeterminethatdefendantiscurrently competenttoplead.]

7. Have you received a copy of the indictment (information) 21 pending against youthat is, the written charges made against you in this caseand have you fully discussed those charges, and the case in general, with Mr./Ms. __________ as your counsel? 8. Are you fully satised with the counsel, representation, and advice given to you in this case by your attorney, Mr./Ms. __________? 9. Is your willingness to plead guilty (nolo contendere) the result of discussions that you or your attorney have had with the attorney for the government? [SeeFed.R.Crim.
P.11(d).] E. Ifthereisapleaagreementofanykind,askdefendant: 1. [Iftheagreementiswritten:]

Did you have an opportunity to read and discuss the plea agreement with your lawyer before you signed it? 2. Does the plea agreement represent in its entirety any understanding you have with the government? 3. Do you understand the terms of the plea agreement? 4. Has anyone made any other or different promise or assurance of any kind to you in an effort to induce you plead guilty (nolo contendere) in this case? 5. [Ifthetermsofthepleaagreementarenonbindingrecom
mendationspursuanttoRule(11)(e)(1)(B):22]
2 .Ifthecaseinvolvesafelonyoffensebeingprosecutedbyinformationrather 21 than indictment, and ifawaiver of indictment hasnotpreviously been ob tainedinopencourt(seeFed.R.Crim.P.7(b)),referto1.06:Waiverofindict ment. 2 .Notethatapleaagreementmaycontainfactualstipulationswhich,unless 22 partofaRule11(e)(1)(C)agreement,arenotbindingundertheRulesorthe Guidelines.However,somecaseshaveheldthatafactualstipulationthatdi rectlyaffectedtheseverityofthesentenceshouldhavebeenconstruedasa Rule11(e)(1)(C)agreement,orthatthestipulationwasotherwisereliedonby thepartiessothatitshouldhavebeenfollowedordefendantallowedtowith
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Section2.01:Takingpleasofguiltyornolocontendere Do you understand that the terms of the plea agreement are merely recommendations to the courtthat I can reject the recommendations without permitting you to withdraw your plea of guilty and impose a sentence that is more severe than you may anticipate? 6. [Ifanyorallofthetermsofthepleaagreementarepur
suanttoRule11(e)(1)(A)or(C):]
Do you understand that if I choose not to follow the terms of the plea agreement [ifsome,butnotall,terms arebinding,identifythoseterms] I will give you the opportunity to withdraw your plea of guilty, and that if you choose not to withdraw your plea I may impose a more severe sentence, without being bound by the plea agreement [orthespecictermsrejectedbythecourt]?
F. Ifthereisnopleaagreementofanykind,askdefendant:
Has anyone made any promise or assurance to you of any kind in an effort to induce you to plead guilty (nolo contendere) in this case?[SeeFed.R.Crim.P.11(d).]
G. Askdefendant:
Has anyone attempted in any way to force you to plead guilty (nolo contendere) in this case? Are you pleading guilty of your own free will because you are guilty ?[See
Fed.R.Crim.P.11(d).] H. Iftheplearelatestoafelonyoffense, consideraskingdefen dant:

Do you understand that the offense(s) to which you are pleading guilty (nolo contendere) is a (are) felony offense(s), that if your plea is accepted you will be adjudged guilty of that offense, and that such adjudication may deprive you of valuable civil rights, such as the
drawtheplea.See,e.g.,UnitedStatesv.Bohn,959F.2d389(2dCir.1992);Unit edStatesv.Torres,926F.2d321(3dCir.1991);UnitedStatesv.Kemper,908 F.2d33(6thCir.1990);UnitedStatesv.Jeffries,908F.2d1520(11thCir.1990); UnitedStatesv.Mandell,905F.2d970(6thCir.1990).SeealsoGuidelineSen tencing:AnOutlineofAppellateCaseLaw,atsectionIX.A.4(FederalJudicial Center).Courtsareadvisedtodiscussanysuchstipulationsbeforeaccepting thepleaandtowarndefendantthatitmightnotfollowthemandthatdefen dantwillnotbeallowedtowithdrawtheplea.
(March2000rev.)
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Section2.01:Takingpleasofguiltyornolocontendere right to vote, the right to hold public ofce, the right to serve on a jury, and the right to possess any kind of rearm?
I.
Informdefendantofthefollowing: 1. Themaximumpossiblepenaltyprovidedbylaw,andany mandatoryminimumpenalty: (a) Fordrugoffenses:Determinewhetherthedrugquan tityinvolvedorotheraggravatingfactorswilltrigger application ofamandatory minimumsentence.Be causethismaynotbeknownatthetimethepleais taken,thecourtisadvisedtowarndefendantofany possible maximum and mandatory minimum sen tencesthatmaybeimposedafteranaldetermina tionofquantityandotherconduct. (b) Determine whether defendant faces a mandatory minimum sentence or an increase in the statutory maximum sentence because of one or more prior rearmsoffenses,violentfelonies,ordrugoffenses.If thisisnotknownatthetimeoftheplea,advisedefen dantofthepossiblemaximumsentence. (c) Includethedurationofanyauthorizedormandatory termofsupervisedrelease,andaskdefendant:
Do you understand that if you violate the conditions of supervised release, you can be given additional time in prison?
(d) Iftheoffensecarriesamaximumsentenceoftwenty veyearsormore,includeareferencetotheunavail ability of a probation sentence under 18 U.S.C. 3561(a)(1). 2. Ifapplicable,thatthecourtmayalsoorder,orberequired toorder,23defendanttomakerestitutiontoanyvictimof theoffense. 3. Ifapplicable,thatthecourtmayrequiredefendanttofor feitcertainpropertytothegovernment.
2 . See 18U.S.C.3663A,Mandatoryrestitutiontovictimsofcertaincrimes 23 (effectiveApril24,1996).
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4. Iftheoffenseinvolvedfraudorotherintentionallydecep tivepractices,thatthecourtmayorderdefendanttopro videnoticeoftheconvictiontovictimsoftheoffense.See 18U.S.C.3555. 5. Thatforeachoffense,defendantmustpayaspecialas sessmentof$50($25foraClassAmisdemeanor,$10for ClassB,$5forClassCorinfraction)requiredby18U.S.C. 3013. J. Askdefendant:

Do you understand those possible consequences of your plea?[SeeFed.R.Crim.P.11(c)(1).]
K. Informdefendantthat,undertheSentencingReformActof 1984,theUnitedStatesSentencingCommissionhasissued guidelinesforjudgestofollowindeterminingthesentencein acriminalcase. L. Askdefendant:

1. Have you and your attorney talked about how the sentencing guidelines might apply to your case?
[Note:Ifthereisapleaagreementthataspecicsentencewillbe imposed(Fed.R.Crim.P.11(e)(1)(C)),skiptoquestion4.]
2. Do you understand that the court will not be able to determine the guideline sentence for your case until after the presentence report has been completed and you and the government have had an opportunity to challenge the reported facts and the application of the guidelines recommended by the probation ofcer, and that the sentence imposed may be different from any estimate your attorney may have given you? 3. Do you also understand that, after your guideline range has been determined, the court has the authority in some circumstances to depart from the guidelines and impose a sentence that is more severe or less severe than the sentence called for by the guidelines? 4. Do you also understand that parole has been abolished and that if you are sentenced to prison you will not be released on parole?
(March2000rev.)
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M. Askdefendant:
1. Do you also understand that under some circumstances you or the government may have the right to appeal any sentence that I impose?
2. [Ifthepleaagreementinvolvesawaiveroftherighttoap
pealthesentence,askdefendant:]
Do you understand that by entering into this plea agreement and entering a plea of guilty you will have waived or given up your right to appeal or collaterally attack all or part of this sentence?
[Thecourtshoulddiscussthespecictermsofthewaiverwith defendanttoensurethatthewaiverisknowinglyandvoluntarily entered into and that defendant understands the conse quences.24] N. Askdefendant:
1. Do you understand that you have a right to plead not guilty to any offense charged against you and to persist in that plea; that you would then have the right to a trial by jury; that at trial you would be presumed to be innocent and the government would have to prove your guilt beyond a reasonable doubt; and that you would have the right to the assistance of counsel for your defense, the right to see and hear all the witnesses and have them cross-examined in your defense, the right on your own part to decline to testify unless you voluntarily elected to do so in your own defense, and the right to the issuance of subpoenas or compulsory process to compel the attendance of witnesses to testify in your defense? Do you understand that should you decide not to
2 .Mostcircuitshaveheldthatadefendantmaywaivetherighttoappeala 24 sentence if the waiver is knowing and voluntary. See, e.g., United States v. Ashe,47F.3d770(6thCir.1995);UnitedStatesv.Schmidt,47F.3d188(7thCir. 1995);UnitedStatesv.Bushert,997F.2d1343(11thCir.1993);UnitedStatesv. SalcidoContreras,990F.2d51(2dCir.1993);UnitedStatesv.Melancon,972 F.2d566(5thCir.1992);UnitedStatesv.Rutan,956F.2d827(8thCir.1992); UnitedStatesv.NavarroBotello,912F.2d318(9thCir.1990);UnitedStatesv. Wiggins,905F.2d51(4thCir.1990).SeealsoGuidelineSentencing:AnOutline ofAppellateCaseLaw,atsectionIX.A.5(FederalJudicialCenter).Notethatthe waivermaynotbeenforceableifthesentenceisnotinaccordancewiththe termsofthepleaagreement.
(March2000rev.)
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Section2.01:Takingpleasofguiltyornolocontendere testify or put on any evidence, these facts cannot be used against you? 2. Do you further understand that by entering a plea of guilty (nolo contendere), if that plea is accepted by the court, there will be no trial and you will have waived or given up your right to a trial as well as those other rights associated with a trial as I just described them?
[SeeFed.R.Crim.P.11(c)(3)and(4).] O. Inform defendant of the charge(s) to which he or she is pleadingguilty(nolocontendere)byreadingorsummarizing theindictment(information).Then: 1. furtherexplaintheessentialelementsoftheoffense,i.e., whatthegovernmentwouldberequiredtoproveattri al;25and/or(exceptinpleasofnolocontendere) 2. havedefendantexplainandassenttothefactsconstitut ingthecrime(s)charged.SeeFed.R.Crim.P.11(c)(1). P. Inthecaseofapleaofguilty(includinganAlfordplea 26),have government counselmakearepresentationconcerningthe factsthegovernmentwouldbepreparedtoproveattrial(to establishanindependentfactualbasisfortheplea).SeeFed. R.Crim.P.11(f). Ifdefendantspleaisnolocontendere,heorsheisneither admitting nor denying guilt.27 Fed. R. Crim P. 11(f) is thereforenotapplicable.Thecourtmaywishtoconsider havingthegovernmentmakearepresentationconcern ingthefactsofthecase.
2 .Referencemaybemadetothestandardorpatternjuryinstructionsnor 25 mallyusedinyourcourt. 2 .NorthCarolinav.Alford,400U.S.25(1970). Seealso U.S.v.Tunning,69 26 F.3d107,11014(6thCir.1995)(discussingestablishmentoffactualbasisfor AlfordpleaanddifferencebetweenAlfordpleaandpleaofnolocontendere). 2 .Thepleaofnolocontendereisneverentertainedasamatterofcourse.Fed. 27 R.Crim.P.11(b)providesthatthepleamaybeenteredwiththeconsentof thecourt.Itprovidesfurtherthatthepleashallbeacceptedonlyafterdue considerationoftheviewsofthepartiesandtheinterestofthepublicintheef fectiveadministrationofjustice.Ingeneral,courtsacceptapleaofnolocon tendereonlyincertaintypesofcasesinvolvingnonviolentcrimeswherecivil implicationsmayarisefromaguiltyplea.
(March2000rev.)
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P. If there is a plea agreement involving dismissal of other charges,oranagreementthataspecicsentencewillbeim posed, and if consideration of the agreement is to be de ferred,askdefendant:
Do you understand that if you plead guilty, a presentence report will be prepared, and I will then consider whether or not to accept the plea agreement, and that if I decide to reject the plea agreement, you will then have an opportunity to withdraw your plea and change it to not guilty?
Q. Askdefendant:
How do you now plead to the charge: guilty or not guilty?
R. Ifyouaresatisedwiththeresponsesgivenduringthehear ing,makethefollowingndingontherecord:
It is the nding of the court in the case of United States v. ______ that the defendant is fully competent and capable of entering an informed plea, that the defendant is aware of the nature of the charges and the consequences of the plea, and that the plea of guilty (nolo contendere) is a knowing and voluntary plea supported by an independent basis in fact containing each of the essential elements of the offense. The plea is therefore accepted, and the defendant is now adjudged guilty of that offense.
S. Ifapresentencereporthasbeenreviewedbeforepleataking orisnotrequired(seeFed.R.Crim.P.32(b)(1)),proceedto disposition.(See4.01:Guidelinesentencing.)Otherwise,in formdefendant: 1. thatawrittenpresentencereportwillbepreparedbythe probationofcetoassistthejudgeinsentencing; 2. thatdefendantwillbeaskedtogiveinformationforthe report,andthathisorherattorneymaybepresentifde fendantwishes; 3. thatthecourtshallpermitdefendantandcounseltoread thepresentencereportandleanyobjectionstothere
(March2000rev.)
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portbeforethesentencinghearing(Fed.R.Crim.P.32(b) (6));and 4. thatdefendantandhisorhercounselshallhaveanop portunitytospeakonbehalfofdefendantatthesentenc inghearing(Fed.R.Crim.P.32(c)(1)). T. Referdefendanttotheprobationofcerforapresentencein vestigationandreport(pursuanttoFed.R.Crim.P.32(b)(1)), set disposition date for sentencing, and determine bail or conditionsofreleasependingsentencing.See2.11:Release ordetentionpendingsentenceorappeal. 1. Ifdefendanthasbeenatlibertyonbondorpersonalre cognizance, invite defense counsel to argue for release pendingsentencing.See18U.S.C.3143(a).GivetheU.S. attorneyanopportunitytorespond. 2. Ifdefendantistobereleasedpendingsentencing,advise defendant: (a) whenandwhereheorsheisrequiredtoappearfor sentencing; (b) thatfailuretoappearasrequiredisacriminaloffense forwhichheorshecouldbesentencedtoimprison ment; (c) that all the conditions on which he or she was re leaseduptonowcontinuetoapply;and (d) thatthepenaltiesfor violatingthose conditions can besevere. U. Ifappropriate,considerenteringapreliminaryorderoffor feitureunderFed.R.Crim.P.32(d)(2).Notethatdefendant mustbeprovidednoticeandareasonableopportunitytobe heardonthetimingandformoftheorder.
(March2000rev.)
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2.02 Taking pleas of guilty or nolo contendere (organization )

28
A. Beforeacceptingapleaofguiltyornolocontenderefromthe representative of an organization, you will want to satisfy yourself: 1. thatthepersonappearingbeforeyouisanofcerorau thorizedemployeeoftheorganization; 2. thattheboardofdirectorsisempoweredtoauthorizea persontoenterapleaofguiltyornolocontenderetoa chargebroughtagainsttheorganization; 3. thatthepersonbeforeyouisauthorizedbyavalidresolu tiontoenterapleaofguiltyornolo contendere tothe chargebeforeyou; 4. thattheorganizationisnanciallyabletopayasubstan tialnethatcouldbeimposedbythecourtforthecharge involvedinthepleaofguiltyornolocontendere. B. Afterreceivingtheinformationsetoutaboveandsatisfying yourselfthatthepleacanbetakenfromthepersonbefore you,thepersonshouldbeplacedunderoathandinformedof thefollowing: 1. thenatureofthecharge(s)towhichthepleaisoffered; 2. themandatoryminimumpenaltyprovidedbylaw,ifany; 3. thespecialassessmentforeachoffenseof$200($125fora ClassAmisdemeanor,$50forClassB,$25forClassCor infraction)requiredby18U.S.C.3013; 4. themaximumpossiblepenaltyprovidedbylaw; 5. ifapplicable,thatthecourtmayalsoordertheorganiza tiontomakerestitutiontoanyvictimoftheoffense; 6. ifapplicable,thatthecourtmayrequiretheorganization toforfeitcertainpropertytothegovernment;
2 .EffectiveDec.1,1999,Fed.R.Crim.P.11(a)substitutesorganizationfor 28 corporation. Organization is defined in 18 U.S.C. 18 as a person other thananindividual.
(March2000rev.)
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Section2.02:Takingpleasofguiltyornolocontendere(organization)
7. iftheoffenseinvolvedfraudorotherintentionallydecep tivepractices, thatthecourtmayordertheorganization toprovidenoticeoftheconvictiontovictimsoftheof fense(see18U.S.C.3555); 8. ifappropriate,therighttoberepresentedbyanattorney; 9. thattheorganizationhastherighttopleadnotguiltyor topersistinthatpleaifithasalreadybeenmade; 10. thattheorganizationhasarighttobetriedbyajuryand atthattrialhastherightto:
(a) theassistanceofcounsel; (b) confrontandcrossexaminewitnessesagainsttheorgani zation;
11. thatiftheorganizationpleadsguilty,therewillbenofur thertrialofanykind; 12. thatbypleadingguiltyfortheorganizationtherepresen tativeoftheorganizationwaivestheorganizationsright totrial; 13. thatthecourtwillasktherepresentativeoftheorganiza tionquestionsabouttheoffensebeforethecourtandthat ifheorsheanswersthesequestions,underoath,onthe record,andinthepresenceofcounsel,theanswersmay laterbeusedagainsttherepresentativeinaprosecution forperjuryorfalsestatement; 14. the essential elements of the offense that are involved, and whether the representative understands what the governmentmustprove. C. Thecourtwilltheninquire: 1. whethertheorganizationswillingnesstoallowtherepre sentativetopleadguiltyornolocontendereresultsfrom prior discussions between the attorney for the govern mentandtheorganizationoritsattorney; 2. whetherthepleaisvoluntarilymadeonbehalfoftheor ganizationandnotasaresultofforce,threats,orprom isesapartfromapleaagreement; 3. whether there is a plea agreement and, if so, what the agreementis.
(March2000rev.)
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Section2.02:Takingpleasofguiltyornolocontendere(organization)
D. Ifyouaresatisedwith therepresentativesresponses,ask howheorshepleads:guilty,notguilty,ornolocontendere. E. Ifthepleaisguilty,followyournormalFed.R.Crim.P.11 procedureforestablishingthefactualbasisinthecase.Ifthe pleaisnolocontendere,thecourtmaywishtoconsiderhav ing the government make a representation concerning the factsofthecase. F. Maketherequiredndingsconcerningtheestablishmentof the plea, which should include ndings concerning items A.1,A.2,A.3,andA.4above,relatingtotheproprietyoftaking thepleafromtherepresentativeoftheorganization. G. Makeandingontheguiltoftheorganizationaftertheguilty ornolocontendereplea. H. Informtherepresentative: 1. thatawrittenpresentencereportwillbepreparedbythe probationofcetoassistthejudgeinsentencing; 2. thattheorganization,therepresentative,orbothwillbe requiredtogiveinformationforthereportandthatthe organizationsattorneymaybepresent; 3. that the representative and the organizations counsel shallbeaffordedtheopportunity tospeakonbehalfof theorganizationatthesentencinghearing(Fed.R.Crim. P.32(c)(1));and 4. thatthecourtshallpermittherepresentativeandcounsel to read the presentence report before the sentencing hearing(Fed.R.Crim.P.32(b)(6)). I. Advisetherepresentativeofthedate,time,andplaceofthe sentencinghearing,andorderhimorhertoappear.
(March2000rev.)
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2.03 Trial outline (criminal case)

1. Havethecasecalledfortrial.29 2. Juryisselected(see2.05:Juryselectioncriminal). 3. Give preliminaryinstructions tothejury(see2.07: Pre liminaryjuryinstructionsincriminalcase). 4. Ascertainwhetheranypartywishestoinvoketheruleto excludefromthecourtroomwitnessesscheduledtotesti fyinthecase.[Butsee18U.S.C.3510revictims.] 5. Governmentcounselmakesopeningstatement. 6. Defense counsel makes opening statement (unless per mittedtoreserve). 7. Governmentcounselcallswitnesses. 8. Governmentrests. 9. Motionforjudgmentofacquittal.Fed.R.Crim.P.29(a) (see2.10:Trialandposttrialmotions). 10. Defense counsel makes opening statement ifhe or she hasbeenpermittedtoreserve. 11. Defensecounselcallswitnessesforthedefense. 12. Defenserests. 13. Counselcallrebuttalwitnesses. 14. Governmentrestsonitsentirecase. 15. Defenserestsonitsentirecase. 16. Motionforjudgmentofacquittal.Fed.R.Crim.P.29(a), (b)(see2.10:Trialandposttrialmotions). 17. Outofhearingofthejury,ruleoncounselsrequestsfor instructions and inform counsel as to the substance of thecourtscharge.Fed.R.Crim.P.30. 18. Closing argument by prosecution, closing argument by defense,rebuttalbyprosecution.Fed.R.Crim.P.29.1.
2 .Fed. R.Crim. P. 43prohibitstrialin absentia ofadefendantwho isnot 29 presentatthebeginningoftrial.Crosbyv.UnitedStates,506U.S.255(1993).
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Section2.03:Trialoutline(criminalcase)
19. Chargethejury(see2.08:Generalinstructionstojuryat endofcriminalcase).Fed.R.Crim.P.30.Inthecourts discretion,thejurymaybeinstructedbeforeclosingar guments. 20. Ruleonobjectionstothechargeandmakeanyappropri ateadditionalcharge.Fed.R.Crim.P.30. 21. Ifyouaregoingtodischargethealternatejurors,excuse andthankthem.Ifyouplantoretainthealternatejurors, ensurethattheydonotdiscussthecasewithanyother personunlesstheyreplacearegularjuror.Ifanalternate jurorreplacesajurorafterdeliberationshavebegun,in struct the jury to begin its deliberations anew. Fed. R. Crim.P.24(c). 22. Instructthejurytogotothejuryroomandcommenceits deliberations. 23. Determinewhichexhibitsaretobesenttothejuryroom. 24. Havetheclerkgivetheexhibitsandtheverdictformsto thejury. 25. Recesscourtduringthejurydeliberations. 26. Beforerespondingtoanycommunicationsfromthejury, consultwithcounselontherecord(see2.08:Generalin structionstojuryatendofcriminalcase). 27. Ifthejuryfailstoarriveataverdictbeforetheconclusion of the rst days deliberations, provide either for their overnightsequestrationorpermitthemtoseparateafter admonishingthemastotheirconductandxingthetime fortheirreturntoresumedeliberations.Provideforsafe keepingofexhibits. 28. Ifthejuryreportsthattheycannotagreeonaverdict,de termine by questioning whether they are hopelessly deadlocked.Donot inquireastothenumericalsplitof thejury.Ifyouareconvincedthatthejuryishopelessly deadlocked, declare a mistrial. If you are not so con vinced,directthemtoresumetheirdeliberations.Con sidergivingyourcircuitsapproved Allentypechargeto thejurybeforedeclaringamistrial.
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Section2.03:Trialoutline(criminalcase)
29.Whenthejuryhasagreedonaverdict,reconvenecourt andtaketheverdict(see2.09:Verdictcriminal). 30. Pollthejurorsindividuallyontherequestofeitherparty (see2.09:Verdictcriminal).Fed.R.Crim.P.31(d). 31. Thankanddischargethejury. 32. Iftheverdictisnotguilty,dischargedefendant. 33. If defendant has been found guilty, determine whether defendantshouldbecommittedtothecustodyoftheU.S. marshalorreleasedonbail(see2.11:Releaseordetention pendingsentenceorappeal). 34. Fixatimeforposttrialmotions. 35. Adjournorrecesscourt.
Other FJC sources
DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials(4thed.1996) Foradiscussionofcasemanagementtechniquesinciviltrials, some of which may also be helpful in the management of criminal trials, see Manual for Litigation Management and CostandDelayReduction14147(1992) Fordiscussionsoftrialmanagementincomplexcivilandcrimi nallitigation,seeManualforComplexLitigation,Third127 63,28697(1995)
(March2000rev.)
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2.04 Findings of fact and conclusions of law in criminal cases and motions
A. Whenrequired 1. Fed.R.Crim.P.23(c): Inallcasestriedwithoutajury,thecourtshallmakea general nding and shall in addition, on request made beforethegeneralnding,ndthefactsspecially. 2. Fed.R.Crim.P.12(e)and(g)RulinguponMotions: Wherefactualissuesareinvolvedindeterminingamo tion, the court shall state its essential ndings on the record.(Emphasisadded.) B. Form 1. Fed.R.Crim.P.23(c)providesthat,afteratrialwithouta jury,[s]uchndings[offact]maybeoral.Ifanopinion ormemorandumofdecisionisled,itwillbesufcientif thendingsoffactappeartherein. 2. Fed.R.Crim.P.12(e)providesthat[w]herefactualissues are involved in determining a motion, the court shall stateitsessentialndingsontherecord. 3. Fed.R.Crim.P.12(g)providesthat[a]verbatimrecord shallbemadeofallproceedingsatthehearing,including suchndingsoffactandconclusionsoflawasaremade orally.
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2.05 Jury selectioncriminal

TheBenchbookCommitteerecognizesthatthereisnouniform recommendedprocedureforselectingjurorstoserveincriminal orcivilcasesandthatjudgeswilldevelopthepatternsorproce duresmostappropriatefortheirdistrictsandtheircourts. Sec tion 2.06, however, provides an outline of standard voir dire questions.Forasamplejurorquestionnaire,seeSampleForm37 onpage317oftheManualforLitigationManagementandCost andDelayReduction(FederalJudicialCenter1992).Adiscussion ofBatsoncasesandanonymousjuriesisincludedbelow. The 1982 Federal Judicial Center publication Jury Selection ProceduresinUnitedStatesDistrictCourts,byGordonBermant, contains a detailed discussion of several different methods of juryselection.TheCentersendsthispublicationtoallnewdis trictandmagistratejudges.Copiesarealsoavailableonrequest. Seealsothesectiononjuryselectionandcomposition(pp.580 82)inJudgeWilliamWSchwarzersarticleReformingJuryTri alsinvolume132ofFederalRulesDecisions(1990).
Peremptory challenges
Judgesshouldbeawareofthecases,beginningwith Batsonv. Kentucky, 476 U.S. 79 (1986), that prohibit peremptory chal lengesbasedonrace.Batsonhasbeenextendedtocoveracrimi nal defendants peremptory challenges, Georgia v. McCollum, 505U.S.42(1992),andadefendantmayobjecttoracebasedex clusionswhetherornotheorsheisthesameraceasthechal lenged juror, Powers v. Ohio, 499 U.S. 400 (1991). Peremptory strikesbasedongenderarealsoprohibited.J.E.B.v.Alabamaex rel.T.B.,511U.S.127(1994). The Supreme Court has left it to the trial courts to develop rulesof procedure and evidence for implementing these deci sions.Ithas,however,setoutathreestepinquiryforresolvinga Batsonchallenge(seePurkettv.Elem,514U.S.765,767(1995)): 1. Theopponentofaperemptorychallengemustmakeout aprimafaciecaseofdiscrimination.
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Section2.05:Juryselectioncriminal
2. Theburdenofproductionthenshiftstotheproponentof thestrike,whomustcomeforwardwithanondiscrimina tory (i.e., race and genderneutral) explanation of the strike. 3. Trialcourtmustthendecidewhethertheopponentofthe strikehasprovedpurposefuldiscrimination. TheBenchbookCommitteesuggeststhatjudges: conducttheaboveinquiryontherecordbutoutsideof thejuryshearing,toavoidtaintingthevenirebydis cussionsofrace,gender,or othercharacteristicsofpo tentialjurors;and
useamethodofjuryselectionwhichrequireslitigantsto exercisechallengesatsidebarorotherwiseoutsidetheju rorshearingand inwhichnovenire membersaredis misseduntilallofthechallengeshavebeenexercised.See JurySelectionProceduresinUnitedStatesDistrictCourts, infra. Inthisway,jurorsareneverawareofBatsondiscussionsorargu mentsaboutchallengesandthereforecandrawnoadverseinfer encesbybeingtemporarilydismissedfromthevenireandthen recalled.30
Anonymous Juries31
Inrarecases,adistrictcourtmaydeterminethatajuryshouldbe impaneledanonymouslybecauseofconcernsaboutjurorsafety ortampering.Thecourtmayenteranordertopreventdisclosure ofnames,addresses,placesofemployment,andotherfactsthat mightrevealtheidentityofjurors.32TheBenchbookCommittee

3 .Forasummaryofproceduresthatcourtsdevelopedforcriminalcasesin 30 thersttwoyearsafter Batson, seeBenchComment,1988,nos.3&4.Fora discussionofvoirdirepracticesinlightofBatson,seeChamberstoChambers, Vol.5,No.2(1987). 3 .Notethat,withoneexception,anonymousjuriesarenotallowedincapital 31 cases. See 18U.S.C.3432(defendantchargedwithcapitaloffensemustbe givenlistofpotentialjurorsandwitnessesthreedaysbeforetrial,exceptthat such listoftheveniremen andwitnesses neednotbefurnished ifthecourt ndsbyapreponderanceoftheevidencethatprovidingthelistmayjeopar dizethelifeorsafetyofanyperson)(exceptionaddedSept.13,1994). 3 .TheThirdCircuitheldthatitiswithinthetrialcourtsdiscretiontoholdan 32
(March2000rev.)
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neitheradvocatesnordiscouragesuseofananonymousjurybut notesthatcourtsmustbecarefultotakestepstominimizepo tentialprejudicetodefendantsfromthisprocedure.Listedbelow arethemainrulesthatmaybesummarizedfromcircuitcourt decisionsonthisissue.33 1. There must be strong reason to believe the jury needs protection.Forexample,anonymousjurieshavebeenap proved in cases involving organized crime gures who, currentlyorpreviously,attemptedtoordidinuence,in timidate,orharmwitnesses,jurors,orjudges.Extensive mediacoveragemaybeconsideredincombinationwith otherfactors. 2. Thecourtmusttakereasonableprecautionstominimize anyprejudicialeffectsonthedefendantandensurethat fundamentalrightstoanimpartialjuryandfairtrialare notinfringed.Forexample,thecourtshould: (a) ensure that the voir dire allows defendant to ade quately assess the prospective jurors and uncover possiblebiasastodefendantortheissuesinthecase. Thecourtshouldconductathoroughandsearching voirdire,whichcouldincludeuseofwrittenquestion naires.
evidentiaryhearingonwhetherthefactswarrantananonymousjury.Italso heldthatthecourtisnotrequiredtomakendingsandgivereasonsonthe recordforusingananonymousjury,butsuggestedthatdoingsoisthebetter practice.SeeUnitedStatesv.Eufrasio,935F.2d553(3dCir.),cert.deniedsub nom.Idonev.UnitedStates,112S.Ct.340(1991). 3 .Mostcircuitshavenowruledonthisissueandapprovedtheuseofanony 33 mousjuriesunderappropriatecircumstances.SeeUnitedStatesv.Talley,164 F.3d989,100102(6thCir.1999);UnitedStatesv.DeLuca,137F.3d24(1stCir. 1998);UnitedStatesv.Darden,70F.3d1507(8thCir.1995);UnitedStatesv. Krout,66F.3d1420(5thCir.1995), cert.denied, 116S.Ct.963(1996);United Statesv.Edmond,52F.3d1080(D.C.Cir.)(percuriam),116S.Ct.539(1995); UnitedStatesv.Ross,33F.3d1507(11thCir.1994),cert.denied,115S.Ct.2558 (1995);UnitedStatesv.Crockett,979F.2d1204(7thCir.1992),cert.denied,113 S.Ct.1617(1993);UnitedStatesv.Paccione,949F.2d1183(2dCir.1991)(also discussing several prior Second Circuit cases), cert. denied, 112 S. Ct. 3029 (1992);UnitedStatesv.Scarfo,850F.2d1015(3dCir.), cert.denied, 488U.S. 910(1988).
(March2000rev.)
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(b) give plausible and nonprejudicial reasons to ensure thattheexplanationforjuryanonymitydoesnotad verselyreectondefendant.Thecourtmay,forexam ple,assurejurors thatthis isacommon practice or thatitistoprotectthemfromunwantedmediaatten tion.34 Itmaybeadvisabletorepeattheexplanation duringjuryinstructionsbeforedeliberation,tostress thattheneedforanonymityshouldhavenoeffecton theverdict.
Other FJC sources
Foradiscussionoftechniquesforassistingthejuryinciviltrials, some of which may also be helpful in criminal trials, see ManualforLitigationManagementandCostandDelayRe duction4142(1992) DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials1119(4thed.1996) ManualforComplexLitigation,Third28891(1995)
3 .Forexamplesofexplanations,seeRoss,supranote3,atn.27;UnitedStates 34 v.Tutino,883F.2d1125(2dCir.1989),cert.denied,493F.2d1081(1990);Scar fo, supra note3,atAppendix;United Statesv.Barnes, 604F.2d121(2dCir. 1979),cert.denied,446U.S.907(1980).
(March2000rev.)
89
NOTE Fed.R.CrimP.24(a) providesthatthecourt maypermitthede fendantorthedefen dantsattorneyandthe attorneyforthegov ernmenttoconduct theexaminationof prospectivejurorsor mayitselfconductthe examination.
2.06 Standard voir dire questions criminal

Thefollowingoutlineforaninitialindepthvoirdireexaminationof theentirepanelbythecourtassumesthat:
1. if there are afrmative responses to any questions, fol lowup questions will be addressed to the juror(s) (at sidebar,ifsuchquestionsconcernprivateorpotentially embarrassingmatters); 2. the court and counsel have been furnished with the name,address,age,andoccupationofeachprospective juror. Ifthecourtconductstheentireexamination,itshouldrequire counsel to submit proposed voir dire questions before trial to permitthecourttoincorporateadditionalquestionsattheap propriateplacesinthisoutline. 1. Havethejurypanelsworn. 2. Explaintothejurypanelthatthepurposeofthevoirdire examinationis: (a) toenablethecourttodeterminewhetherornotany prospectivejurorshouldbeexcusedforcause; (b) toenablecounselforthepartiestoexercisetheirindi vidual judgment with respect to peremptory chal lengesthatis,challengesforwhichnoreasonneed begiven. 3. Explaintoprospectivejurorsthatpresentingtheevidence isexpectedtotake__days,andaskifthispresentsaspe cialproblemtoanyofthem. 4. Readorsummarizetheindictment. 5. Askifanymemberofthepanelhasheardorreadany thingaboutthecase. 6. Askcounselforthegovernmenttointroducehimselfor herselfandcounselassociatedinthetrial,aswellasall
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Section2.06:Standardvoirdirequestionscriminal
thewitnesseswhowilltestifyonthegovernments pre sentationofitscaseinchief.Askifthejurors: (a) knowanyofthesepersons; (b) had any business dealing with them or were repre sentedbythemormembersoftheirrms; (c) had any other similar relationship or business con nectionwithanyofthem. 7. Askcounselfor eachdefendanttointroducehimselfor herself and indicate any witnesses that defendant may choosetocall.Askifthejurors: (a) knowanyofthesepersons; (b) had any business dealing with them or were repre sentedbythemormembersoftheirrms; (c) had any other similar relationship or business con nectionwithanyofthem. 8. Askprospectivejurors:
(a) Have you ever served as a juror in a criminal or a civil case or as a member of a grand jury in either a federal or state court? (b) Have you, any member of your family, or any close friend ever been employed by a law enforcement agency? (c) If you answer yes to [either of] the following question[s], or if you do not understand the question[s], please come forward, be seated in the well of the courtroom, and be prepared to discuss your answer with the court and counsel at the bench. (1) Have you ever been involved, in any court, in a criminal matter that concerned yourself, any member of your family, or a close friend either as a defendant, a witness, or a victim?
(2) [Only if the charged crime relates to illegal drugs or

narcotics,ask:] Have you had any experience involving yourself, any member of your family, or any close friend
(March2000rev.)
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Section2.06:Standardvoirdirequestionscriminal that relates to the use or possession of illegal drugs or narcotics? (d) If you are selected to sit on this case, will you be able to render a verdict solely on the evidence presented at the trial and in the context of the law as I will give it to you in my instructions, disregarding any other ideas, notions, or beliefs about the law that you may have encountered in reaching your verdict? (e) Is there any member of the panel who has any special disability or problem that would make serving as a member of this jury difcult or impossible?
[Atthispoint,ifthecourtisconductingtheentireex amination,itshouldaskthosequestionssuggestedby counselthatintheopinionofthecourtareappropri ate.]

(f) Having heard the questions put to you by the court, does any other reason suggest itself to you as to why you could not sit on this jury and render a fair verdict based on the evidence presented to you and in the context of the courts instructions to you on the law?
9. Ifappropriate,permitcounseltoconductadditionaldi rectvoirdireexamination,subjecttosuchtimeandsub jectmatterlimitationsasthecourtdeemsproper,orstate to counsel that if there are additional questions that shouldhavebeenaskedorwereoverlooked,counselmay approachthebenchanddiscussthemwiththecourt.
Other FJC sources
(March2000rev.)
92
2.07 Preliminary jury instructions in criminal case

Thesesuggestedinstructionsaredesignedtobegivenfollowing theswearingofthejury.Theyaregeneralandmayrequiremod icationinlightofthenatureoftheparticularcase.Theyarein tendedtogivethejury,brieyandinunderstandablelanguage, informationtomakethetrialmoremeaningful.Otherinstruc tionsmaybegiven,astheneedarises,atappropriatepointsdur ingthetrial.Manycircuitshavedevelopedmodelorpatternjury instructions, and judges should consult the instructions that havebeenpreparedfortheircircuits.
Members of the jury: Now that you have been sworn, I will give you some preliminary instructions to guide you in your participation in the trial. Duty of the jury It will be your duty to nd from the evidence what the facts are. You and you alone will be the judges of the facts. You will then have to apply to those facts the law as the court will give it to you. You must follow that law whether you agree with it or not. Nothing the court may say or do during the course of the trial is intended to indicate, or should be taken by you as indicating, what your verdict should be. Evidence The evidence from which you will nd the facts will consist of the testimony of witnesses, documents, and other things received into the record as exhibits, and any facts that the lawyers agree to or stipulate to or that the court may instruct you to nd. Certain things are not evidence and must not be considered by you. I will list them for you now: 1. Statements, arguments, and questions by lawyers are not evidence.
(March2000rev.)
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Section2.07:Preliminaryjuryinstructionsincriminalcase 2. Objections to questions are not evidence. Lawyers have an obligation to their clients to make objections when they believe evidence being offered is improper under the rules of evidence. You should not be inuenced by the objection or by the courts ruling on it. If the objection is sustained, ignore the question. If it is overruled, treat the answer like any other. If you are instructed that some item of evidence is received for a limited purpose only, you must follow that instruction. 3. Testimony that the court has excluded or told you to disregard is not evidence and must not be considered. 4. Anything you may have seen or heard outside the courtroom is not evidence and must be disregarded. You are to decide the case solely on the evidence presented here in the courtroom. There are two kinds of evidence: direct and circumstantial. Direct evidence is direct proof of a fact, such as testimony of an eyewitness. Circumstantial evidence is proof of facts from which you may infer or conclude that other facts exist. I will give you further instructions on these as well as other matters at the end of the case, but keep in mind that you may consider both kinds of evidence. It will be up to you to decide which witnesses to believe, which witnesses not to believe, and how much of any witnesss testimony to accept or reject. I will give you some guidelines for determining the credibility of witnesses at the end of the case. Rules for criminal cases As you know, this is a criminal case. There are three basic rules about a criminal case that you must 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
(March2000rev.)
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Section2.07:Preliminaryjuryinstructionsincriminalcase to prove his or her innocence, or to present any evidence, or to testify. Since the defendant has the right to remain silent, the law prohibits you from arriving at your verdict by considering that the defendant may not have testied. Third, the government must prove the defendants 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. Summary of applicable law In this case the defendant is charged with ____________. I will give you detailed instructions on the law at the end of the case, and those instructions will control your deliberations and decision. But in order to help you follow the evidence, I will now give you a brief summary of the elements of the offense that the government must prove to make its case.
[Summarizetheelementsoftheoffense.]
Conduct of the jury Now, a few words about your conduct as jurors. First, I instruct you that during the trial you are not to discuss the case with anyone or permit anyone to discuss it with you. Until you retire to the jury room at the end of the case to deliberate on your verdict, you simply are not to talk about this case. Second, do not read or listen to anything touching on this case in any way. If anyone should try to talk to you about it, bring it to the courts attention promptly. Third, do not try to do any research or make any investigation about the case on your own. Finally, do not form any opinion until all the evidence is in. Keep an open mind until you start your deliberations at the end of the case.
[Ifthecourtdeterminestoallownotetaking,state:]
If you wish, you may take notes. But if you do, leave them in the jury room when you leave at night. And remember that they are for your own personal use.
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Section2.07:Preliminaryjuryinstructionsincriminalcase
Course of the trial The trial will now begin. First, the government will make an opening statement, which is simply an outline to help you understand the evidence as it comes in. Next, the defendants attorney may, but does not have to, make an opening statement. Opening statements are neither evidence nor arguments. The government will then present its witnesses, and counsel for the defendant may cross-examine them. Following the governments case, the defendant may, if he [she] wishes, present witnesses whom the government may cross-examine. After all the evidence is in, the attorneys will present their closing arguments to summarize and interpret the evidence for you, and the court will instruct you on the law. 1 After that you will retire to deliberate on your verdict. Other FJC sources
PatternCriminalJuryInstructions110(1987) Fordiscussionoftechniquesforassistingthejuryinciviltrials, some of which may also be helpful in criminal trials, see ManualforLitigationManagementandCostandDelayRe duction4344(1992) For discussion of juryrelated problems in criminal cases, see DonaldS.Voorhees,ManualonRecurringProblemsinCrim inalTrials1737(4thed.1996)
1. Some judges may wish to give some instructions before closing argu ments.SeeFed.R.Crim.P.30.
(March2000rev.)
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2.08 General instructions to jury at end of criminal case

Introductory note
Fed.R.Crim.P.30outlinestheprocedureforthesubmissionand consideration of the parties requests for specic jury instruc tions.Itrequires: 1. thatthecourtinformcounselbeforeclosingargumentsof itsproposed action upon theinstructions requested by counsel; 2. thatthecourtgivecounseladequateopportunityoutside thepresenceofthejurytoobjecttothecourtsinstruc tions. Thereisnoprescribedmethodforthecourttosettleonitsnal set of instructions. Some courts hold an ontherecord charge conferencewithcounselduringtrial.Atthatconferencetheten deredinstructionsarediscussedandareaccepted,rejected,or modiedbythecourt. Othercourts,withoutholdingachargeconference,preparea set of proposed instructions from those tendered by counsel. Thesecourtsthengiveacopyoftheproposedinstructionstoall counselandpermitcounseltotakeexceptiontotheinstructions. Thereafter,thecourtmayreviseitsinstructionsifconvincedby counselsobjectionsthattheinstructionsshouldbemodied. Stillothercourtsrequirecounseltoconferduringtrialandto agree,totheextentthattheycan,ontheinstructionsthatshould begiven.Thecourtthenconsidersonlythoseinstructionsupon whichthepartiescannotagree. Thecourtmay,ofcourse,giveaninstructiontothejurythat neitherpartyhastendered. Whilethecourtisfreetoignoretenderedinstructionsandto instructthejurysuasponte,theusualpracticeisforthecourtto formulate the nal instructions with the assistance of counsel andprincipallyfromtheinstructionscounseltendered. Localpracticevariesastowhether awrittencopyofthein structions is given to the jury for use during its deliberations.
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Section2.08:Generalinstructionstojuryatendofcriminalcase
Manyjudgesalwaysgivethejuryawrittencopyoftheinstruc tions. Some courts have the instructions recorded as they are givenincourtandpermitthejurytoplaythembackinthejury room.Somecourtsdoneitherbutwillrepeatsomeorallofthe instructionsinresponsetoarequestfromthejury.
Outline of instructions
Instructionsdeliveredattheendofatrialconsistofthreeparts: rst,generalrulesthatdeneandcontrolthejurysdutiesina criminalcase;second,denitionsoftheelementsoftheoffenses chargedintheindictment(information);third,rulesandguide linesfor jury deliberation and returnof verdict.Many circuits havedevelopedmodelorpatternjuryinstructions,andjudges shouldconsulttheinstructionsthathavebeenpreparedforuse intheircircuits. A. Generalrules: 1. Outlinethedutyofthejury: (a) tondthefactsfromadmittedevidence; (b) toapplythelawasgivenbythecourttofactsasfound bythejury; (c) todecidethecaseontheevidenceandthelaw,re gardlessofpersonalopinionsandwithoutbias,preju dice,orsympathy. 2. Clearlyenunciatethethreebasicrulesinacriminalcase: (a) presumptionofinnocence; (b) burdenofproofongovernment; (c) proofbeyondareasonabledoubt. 3. Indicatetheevidencetobeconsidered: (a) sworntestimonyofwitnesses; (b) exhibits; (c) stipulations; (d) factsjudiciallynoticed. 4. Indicatewhatisnotevidence: (a) argumentsandstatementsofcounsel; (b) questionstowitnesses;
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Section2.08:Generalinstructionstojuryatendofcriminalcase
(c) evidenceexcludedbyrulingsofthecourt; (d) indictment(information). B. Denewithprecisionandwithspecicconsiderationofthe lawofyourcircuittheelementsofeachoffensetobesubmit tedtothejuryandofeachdefensethejuryistoconsider. C. Closinginstructions 1. selectionanddutyofforeperson; 2. processofjurydeliberation: (a) rational discussion of evidence by all jurors for the purposeofreachingaunanimousverdict; (b) eachjurortodecidecaseforhimselforherselfinthe contextoftheevidenceandthelaw,withpropercon siderationofotherjurorsviews; (c) reconsiderviewsifpersuadedbyrationaldiscussion butnotsolelyforthesakeofreachingaunanimous verdict; 3. verdictmustbeunanimousoneachcount(explainver dictformifused); 4. communicationswiththecourtduringdeliberationmust beinwritingandsignedbytheforeperson; 5. jurymustnotdisclosehowitstandsnumericallyorother wiseonquestionofguiltorinnocence. D. Considerprovidingthejurywithawrittencopyortranscript ofthejuryinstructions.
Other FJC sources
PatternCriminalJuryInstructions(1987) Foradiscussionoftechniquesforassistingthejuryinciviltrials, some of which may also be helpful in criminal trials, see ManualforLitigationManagementandCostandDelayRe duction4445(1992) Foradiscussionofjuryrelatedproblemsincriminalcases,see DonaldS.Voorhees,ManualonRecurringProblemsinCrim inalTrials1737(4thed.1996)
(March2000rev.)
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2.09 Verdictcriminal
Fed.R.Crim.P.43(a);Fed.R.Crim.P.31(d)
A. Receptionofunsealedverdict 1. Upon announcement by the jury that it has reached a verdict,haveallinterestedpartiesconveneinopencourt to receive the verdict. Presence of defendant(s) is re quired.Fed.R.Crim.P.43(a). 2. Whencourtisconvened,announcethatthejuryisready toreturnitsverdict(s),andinstructthedeputymarshal (orbailiff)tohavethejuryenterandassumetheirseatsin thejurybox. 3. Ifnotalreadyknown,inquireofthejurywhospeaksasits foreperson. 4. Asktheforepersonifthejuryhasunanimouslyagreedon itsverdict.(Note:Iftheresponseisanythingotherthanan unqualiedyes,thejuryshouldbereturnedwithoutfur therinquirytocontinueitsdeliberations.) 5. Instructtheforepersontohandtheverdictform(s)tothe clerktobedeliveredtoyouforinspectionbeforepublica tion. 6. Inspecttheverdict(s)toensureregularityofform.(Note: Iftheverdictform(s)is(are)notproperlycompleted,take appropriatecorrectiveactionbeforepublication.) 7. Explaintothejurythattheirverdict(s)willnowbepub lishedthatis,readaloudinopencourt. 8. Instructthejurytopaycloseattentionastheverdict(s)is (are) published; explain that, following publication, the jurymaybepolledthateachjurormaybeasked,indi vidually,whethertheverdict(s)aspublishedconstituted hisorherindividualverdict(s)inallrespects. 9. Publishtheverdict(s)byreadingit(them)aloud (orby havingtheclerkdoso). 10. Ifeitherpartyrequests,oronyourownmotion,pollthe jurybyasking(orbyhavingtheclerkask)eachjuror,by
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Section2.09:Verdictcriminal
name or number, whether the verdict(s) as published constitutedhisorherindividualverdict(s)inallrespects. (Fed.R.Crim.P.31(d)requirespollinguponrequest.) 11. Ifpollingveriesunanimity,directtheclerktoleand recordtheverdict,anddischargethejurywithappropri ateinstructionsconcerningtheirfutureservice,ifany. 12. Ifpollingresultsinanydoubtastounanimity,makeno furtherinquiryandhavenofurtherdiscussionswiththe jury;rather,conferprivately,ontherecord,withcounsel anddeterminewhetherthejuryshouldbereturnedfor furtherdeliberationsoramistrialshouldbedeclared. B. Receptionofsealedverdict (Note:Insomecasesasealedverdictmaybedeliveredtothe clerk for subsequent reception and publication in open courtwhenthejury,thejudge,andallnecessarypartiesare present.Forexample,onsomeoccasions anindispensable partymaynotbeavailabletoreceiveaverdictwhenthejury reachesagreement.Thismayoccurwhenthejuryreachesits verdictlateintheevening, adefendantisabsentfrom the courtroombecauseofillness,orthejudgeisunavailable.In theseinstances,theverdict maybesealedand thejuryal lowedtoreturnhome.Asealedverdictmayalsobeappropri atewhenthejuryreachesaverdictastoonedefendantbut notastoanotherorwhenthejurywishestoreturnapartial verdict.) 1. Upon announcement by the jury that it has reached a verdict,haveallinterestedandavailablepartiesconvene inopencourtandontherecord. 2. Whencourtisthusconvened,announcethatthejuryis readytoreturnitsverdict(s)andexplainthatasealedver dictwillbetakeninaccordancewiththefollowingproce dure: (a) Instructthedeputymarshal(orbailiff)toushertheju rorsintothecourtroomtoassumetheirseatsinthe jurybox. (b) Ifnotalreadyknown,inquireofthejurywhospeaks foritasitsforeperson.
(March 2000 rev.)
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Section2.09:Verdictcriminal
(c) Asktheforepersonifthejuryhasunanimouslyagreed onitsverdict. (Note: Iftheresponseisanythingotherthananun qualiedyes,thejuryshouldbereturnedwithoutfur therinquirytocontinueitsdeliberations.) (d) Pollthejurorsindividuallyontherecord. (e) Explaintothejurythatasealedverdictwillbetaken, andfurtherexplainwhythatprocedurehasbecome necessaryinthecase. (f) Direct the clerk to hand a suitable envelope to the foreperson.Instructtheforepersontoplacethever dict form(s) in the envelope, to seal the envelope, thentohandittotheclerkforsafekeeping. (g) Recesstheproceedings,instructingthejuryandallin terestedpartiestoreturnataxedtimefortheopen ingandformalreceptionoftheverdict.Instructthat, intheinterim,nomemberofthejuryshouldhaveany conversationwhateverwithanyotherperson,includ inganyotherjuror,concerningtheverdictoranyoth eraspectofthecase. (h) When court is again convened for reception of the verdict,havetheclerkhandthesealedenvelopetothe juryforeperson. (i) Instructtheforepersontoopentheenvelopeandveri fy that the contents consist of the jurys verdict form(s) without modication or alteration of any kind. (j) Follow the steps or procedures outlined in A.5 throughA.12,supra.
Other FJC sources
NOTE Intheeventthejury willnotbepresentat theopeningofthever dict,itisrecommend edthateach jurorsigntheverdict form(s).
(March 2000 rev.)
102
2.10 Trial and post-trial motions

Fed.R.Crim.P.29,33,and34
A. Fed.R.Crim.P.29MotionforJudgmentofAcquittal 1. Timing (a) Themotionmaybemadebydefendantorthecourt beforesubmissiontojury,aftertheevidenceoneither sideisclosed.Fed.R.Crim.P.29(a). (b) The motion may alsobemadeor renewed (ifcourt earlierreserveddecisionunderFed.R.Crim.P.29(b)) withinsevendaysofaguiltyverdictordischargeof thejurywithoutaverdict,orwithinsuchfurthertime asthecourtmayxduringthesevendayperiod.Fed. R.Crim.P.29(c);Carlislev.UnitedStates,517U.S.416 (1996). (c) FailuretomakeaFed.R.Crim.P.29motionpriorto submissionofthecasetothejurydoesnotwaivede fendantsrighttomoveafterthejuryreturnsaguilty verdictorisdischargedwithoutreachingaverdict. 2. Procedure (a) Themotion shouldbeheardout ofthepresenceof thejury.Whetheranoralhearingwillbeheldorthe motionwillbedecidedonwrittensubmissionsonlyis amatterwithinthecourtsdiscretion.Ifthecourtre serveddecisiononamotionthatislaterrenewed,it mustdecidethemotiononthebasisoftheevidence atthetimetherulingwasreserved.Fed.R.Crim.P. 29(b). (b) Ifdefendant moves forajudgmentofacquittal,but notforanewtrialunderFed.R.Crim.P.33,thedis trictcourtmaynotgrantanewtrialinlieuofgranting themotionforjudgmentofacquittal.Ifthemotionfor acquittal isgranted and defendant has moved for a newtrial,thecourtshouldconsidermakingacondi tionalrulingonthemotionfornewtrialincasethe
NOTE Thecaselawonthis subjectwillvaryfrom circuittocircuit.The suggestedprocedure maybevariedtocon formwiththelawof thecircuit,thepractice ofthedistrict,andthe preferencesofthein dividualjudge.
(March2000rev.)
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Section2.10:Trialandposttrialmotions
judgment of acquittal is vacated or reversed on ap peal.SeeFed.R.Crim.P.29(d). (c) Whenthecourtgrantsamotionforjudgmentofac quittal,itshouldconsiderwhethertheevidencewas sufcienttosustainconvictionofalesseroffensenec essarilyincludedintheoffensecharged. 3. Standard (a) Themotionshallbegrantediftheevidenceisinsuf cienttosustainaconvictionofsuchoffenseoroffens es.Fed.R.Crim.P.29(a). (b) Inresolvingthemotion,thecourtshouldnotassess the credibility of witnesses, weigh the evidence, or drawinferencesoffactfromtheevidence.35 Therole ofthecourtissimplytodecidewhethertheevidence viewedinthelightmostfavorabletothegovernment wassufcientforanyrationaltrieroffacttondguilt beyondareasonabledoubt. Caution: Consult your circuits law for any special rulesgoverningconsiderationoftheevidence. B. Fed.R.Crim.P.33MotionforNewTrial 1. Timing Exceptasnotedbelowwithrespecttonewlydiscovered evidence,themotionmustbemadewithinsevendaysaf teraverdictorndingofguilty, unless withinthesame sevendaysthecourtxesalongerperiod. Exception: Amotionforanewtrialbasedonnewlydis coveredevidencemaybemadeonlywithinthreeyears aftertheverdictorfindingofguilty.Ifmadeduringthe pendencyofanappeal,themotionmaybegrantedonlyif thecaseisremanded. 2. Procedure Whetheranoralhearingwillbeheldorthemotionwillbe decidedonwrittensubmissions only isamatterwithin the discretion of the court. The propriety of holding a
3 .Ofcourse, theserestrictionsdonotapplyinabenchtrial.However, the 35 standardfordecidingthemotionremainsthesame.
(March 2000 rev.)
104
hearingwilldependnecessarilyonthegroundsinvoked. Thismotionmaybemadeonlybydefendantandcannot begrantedbythecourtsuasponte. 3. Standard (a) Anyallegederrorinthetrialthatcouldberaisedon appealmayberaisedonamotionforanewtrial,and themotionmaybegrantedifrequiredintheinterest ofjustice,thatis,iflettingtheverdictstandwouldre sultinamiscarriageofjustice. (b) Whenthemotionforanewtrialisonthegroundthat theverdictiscontrarytotheweightoftheevidence, themotionshouldbegrantedonlyinexceptionalcas eswheretheevidencepreponderatesheavilyagainst theverdict.Unlikeamotionforjudgmentofacquittal, thecourtisnotrequiredtoviewtheevidenceinthe lightmostfavorabletothegovernment.Somecircuits holdthecourthasbroadpowertoweightheevidence and consider the credibility of witnesses. However, othercircuitsrejecttheideaofthecourtasathir teenthjurorandlimittheextenttowhichcourtsmay reweightheevidence.Courtsshouldlooktothelawof theircircuitonthisissue. (c) Foramotionbasedonnewlydiscoveredevidence,a defendantmustshowthat:theevidenceisnewlydis coveredandwasunknowntodefendantatthetimeof trial;failuretodiscovertheevidencesoonerwasnot duetolackofdiligencebydefendant;theevidenceis material,notmerelycumulativeorimpeaching;and thenewevidencewould likelyleadtoacquittalata newtrial.Manycircuitshaveheldthatsuchmotions aredisfavoredandshouldbegrantedwithcaution. 4. Findingsandconclusions Thecourtsndingsandconclusionsshouldbeplacedon therecord.Anorderdenyinganewtrialisappealableasa naldecisionunder28U.S.C.1291.Anordergrantinga newtrialmaybeappealedbythegovernmentunder18 U.S.C.3731.
(March 2000 rev.)
105
C. Fed.R.Crim.P.34MotionforArrestofJudgment 1. Timing Motionmustbemadewithinsevendaysafterverdictor nding of guilty, or after a plea of guilty or nolo con tendere,unlesswithinsevendaysthecourtxesalonger period. 2. Procedure Whetheranoralhearingwillbeheldorthemotionwillbe decidedonwrittensubmissions only isamatterwithin thediscretionofthecourt.Despitethefactthatthismo tion raises jurisdictional issues, after trial it cannot be grantedbythecourtsuaspontebutmayonlybemadeby defendant.CompareFed.R.Crim.P.12(b)(2)(sameis suesraisedheremayberaisedpretrialbyeitherdefen dantorthecourt). 3. Standard Themotionisresolveduponexaminationoftherecord, i.e.,theindictmentorinformation,thepleaortheverdict, andthesentence.The courtdoesnot consider theevi denceproducedattrial.Amotionforarrestofjudgment isbasedonlyononeorbothofthefollowingcontentions: (i)theindictmentorinformationdoesnotchargeanof fenseor(ii)thecourtwaswithoutjurisdictionoftheof fensecharged.
Other FJC sources
Foradiscussionoftechniquesinmanagingmotionsinciviltri als,someofwhichmaybehelpfulincriminaltrials,seeMan ualforLitigationManagementandCostandDelayReduction 2527(1992) DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials159(4thed.1996)
(March 2000 rev.)
106
2.11 Release or detention pending sentence or appeal

18U.S.C.3143;Fed.R.App.P.9
A. Pendingimpositionorexecutionofsentence 1. If defendant was in custody at the time of sentencing, therewillordinarilybenoquestionofreleaseaftersen tencingtoatermofimprisonment. 2. Ifdefendantwasatlibertyatthetimeofsentencing,in vite counsel for defendant to address the question of whethercontinuedreleaseisappropriate.Invitecounsel forthegovernmenttorespond. 3. Exceptforthoseindividualssubjecttoparagraph4below, a person may bereleased while awaiting imposition or executionofsentenceonlyifthejudgendsbyclearand convincingevidencethatthepersonisnotlikelytoeeor pose a danger to the safety of any other person or the community.18U.S.C.3143(a)(1).The burdenofes tablishingthatthedefendantwillnoteeorposeadan gertoanyotherpersonortothecommunityrestswith thedefendant.Fed.R.Crim.P.46(c). Releaseshallbeinaccordancewiththeprovisionsof18 U.S.C.3142(b)or(c)(governingreleasependingtrial). Thisauthoritymaybeusedtopermitanoffendertosur renderataBureauofPrisonsinstitutionaswellastoper mitadelaybeforeadefendantbeginstoservethesen tence. 4. Personsconvictedofacrimeofviolence,anoffensepun ishablebylifeimprisonmentordeath,oradrugoffense for which the maximum term of imprisonment is ten yearsormoreshallnotbereleasedpendingimpositionor executionofsentenceunlessthejudgendsbyclearand convincingevidencethatthepersonisnotlikelytoeeor toposeadangertoanyotherpersonorthecommunity, and(i)thereisasubstantiallikelihoodthatamotionfor acquittalornewtrialwillbegrantedor(ii)anattorneyfor
(March2000rev.)
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Section3.01:Deathpenaltyprocedures
the government has recommended that no sentence of imprisonment be imposed upon the person. 18 U.S.C. 3143(a)(2).Releasemaybeauthorized,however,inex ceptionalcases.See18U.S.C.3145(c). B. Pendingappealbydefendant 1. Exceptforthoseindividualssubjecttoparagraph2below, ifdefendantappeals,heorshemaybereleasedpending appealonlyifthejudgends: (A) byclearandconvincingevidencethatthepersonis notlikelytoeeorposeadangertothesafetyofany otherpersonorthecommunityifreleasedundersec tion3142(b)or(c)ofthistitle;and
(March 2000 rev.)
116
(B) thattheappealisnotforpurposeofdelayandraisesa substantialquestion36oflaworfactlikelytoresult2 in

(i) reversal, (ii) anorderforanewtrial, (iii) asentencethatdoesnotincludeatermofimprison ment,or (iv) areducedsentencetoatermofimprisonment less thanthetotalofthetimealreadyservedplustheexpect eddurationoftheappealprocess.
18U.S.C.3143(b). Releaseunder3143(b)shallbeinaccordancewiththe provisionsof18U.S.C.3142(b)or(c)(governingrelease pendingtrial).Ifdefendantistobereleasedbecauseof

3 .Asubstantialquestionhasbeendeneddifferentlybydifferentcircuits. 36 CompareUnitedStatesv.Giancola,754F.2d898,90001(11thCir.1985)(per curiam)(aclosequestionoronethatverywellcouldbedecidedtheother way),cert.denied,107S.Ct.669(1986),withUnitedStatesv.Handy,761F.2d 1279,128183(9thCir.1985)(fairlydebatable).Mostcircuitsthathavecon sideredtheissuehavefollowedGiancola:UnitedStatesv.Steinhorn,927F.2d 195,196(4thCir.1991);UnitedStatesv.Perholtz,836F.2d554,555(D.C.Cir. 1987)(per curiam); United Statesv. Shoffner, 791F.2d 586,58990(7thCir. 1986)(percuriam);UnitedStatesv.Pollard,778F.2d1177,1182(6thCir.1985); UnitedStatesv.Bayko,774F.2d516,523(1stCir.1985);UnitedStatesv.Pow ell, 761F.2d 1227,123134(8thCir. 1985)(enbanc), cert.denied, 106S.Ct. 1947(1986);UnitedStatesv.ValeraElizondo,761F.2d1020,102425(5thCir. 1985);UnitedStatesv.Afeck,765F.2d944,952(10thCir.1985)(enbanc).The ThirdCircuithasfollowedHandy,whichisgenerallyregardedasposinglessof abarriertotheappellantseekingrelease.UnitedStatesv.Smith,793F.2d85, 8990(3dCir.1986),cert.denied,479U.S.1031(1987).TheSecondCircuithas expressed theviewthatthetwostandardsarenotsignicantlydifferentbut hasindicatedapreferencefortheGiancolaformulation.UnitedStatesv.Ran dell,761F.2d122,125(2dCir.),cert.denied,474U.S.1008(1985). 2 2.Likelytoresultmeanslikelytoresultifdefendantprevailsonthesub stantialquestion.United Statesv.Miller,753F.2d19,23(3dCir.1985),and casescitedsupranote1.Asubstantialquestionconcerningonlyharmlesser rorwouldnotmeetthisrequirement.Likelyhasbeendenedbysomecir cuitsasmoreprobablethannot.UnitedStatesv.Balko,774F.2d516,522 (1stCir.1985);UnitedStatesv.ValeraElizondo,761F.2d1020,102425(5th Cir.1985);UnitedStatesv.Pollard,778F.2d1177,1182(6thCir.1985);United Statesv.Bilanzich,771F.2d292,299(7thCir.1985);UnitedStatesv.Powell, 761F.2d1227,123234(8thCir.1985)(enbanc), cert.denied, 106S.Ct.1947 (1986).
(March 2000 rev.)
117
thelikelihood ofareducedsentenceunder3143(b)(1) (B)(iv),thejudicialofcershallorderthedetentionter minatedattheexpirationofthelikelyreducedsentence. 2. Detention is mandatory for persons appealing from a sentencetoatermofimprisonmentforacrimeofvio lence, an offense punishable by life imprisonment or death,oradrugoffenseforwhichthemaximumtermof imprisonmentistenyearsormore.18U.S.C.3143(b) (2).Releasemaybeauthorized,however,inexceptional cases.See18U.S.C.3145(c). C. Governmentappealofsentence 1. Aftersentenceofimprisonment: Ifdefendantdoesnotappealandthegovernmentappeals asentencepursuantto18U.S.C.3742(b),releasepend ingappealmaynotbegranted.18U.S.C.3143(c)(1). 2. Aftersentencenotincludingimprisonment: Ifthegovernmentappealspursuantto18U.S.C.3742(b) from a nonincarcerative sentence, the government shouldmoveforaredeterminationofdefendantsstatus. Releaseordetentionistobedeterminedinaccordance with 18 U.S.C. 3142 (governing release or detention pendingtrial).18U.S.C.3143(c)(2);see1.03:Releaseor detentionpendingtrial.Placethereasonsforthedeter minationontherecord. 3. Notethat,exceptforasentenceimposedbyamagistrate judge,the governments appeal must be approved per sonallybytheAttorneyGeneral,theSolicitorGeneral,or a deputy solicitor general designated by the Solicitor General.18U.S.C.3742(b)and(g). D. Burdenofproof Theburdenofestablishingthatthedefendantwillnotee orposeadangertoanyotherpersonortothecommunity restswiththedefendant.Fed.R.Crim.P.46(c).Therulesof evidencedonotapply.Fed.R.Evid.1101(d)(3).Atestimonial hearingmayberequired. E. Writtenorderrequired
(March 2000 rev.)
118
Ifdefendantisdetainedorconditionsofreleaseareimposed, thereasonsmustbestatedinwritingorontherecord.Fed.R. App.P.9(b).Ifdefendantisreleasedoverthegovernments objection,reasonsshouldbeplacedontherecordtofacili tateappellatereview.

Other FJC sources
TheBailReformActof1984at3739,4145(2ded.1993)
(March 2000 rev.)
119
3.01 Death penalty procedures

18U.S.C.35913595;21U.S.C.848(e)(q)
Following is an outline of procedures for imposing the death penaltyauthorizedinvariousfederalstatutes.Therehasbeenlit tleexperienceunderthesestatutesandanumberofproblems mayarise.Thisoutlineisofferedasverytentativeguidancefor consideration.37 EffectiveSept.13,1994,theFederalDeathPenaltyActof1994 establishes procedures for imposing any death penalty under federallaw(exceptforprosecutionsundertheUniformCodeof MilitaryJustice).See18U.S.C. 35913595.Thesenewprovi sionslargelyduplicate,butdonotseemtoreplace,38theautho rizationandprocedureforimposingthedeathpenaltyforcer taindrugrelatedkillingsin21U.S.C.848(e).Theinformation inthisoutlineappliestocapitalcasesunderbothstatutesunless notedotherwise. The killing in the course of a drugrelated offense under 21 U.S.C. 848(e) appears to be a separate offense that must be chargedandproved,notmerelyanaggravatingfactortobecon
3 .Judgesmaywishtolookatappellatecourtdecisionsondeathpenaltypro 37 ceduresunder21U.S.C.848.SeeUnitedStatesv.Tipton,90F.3d861(4thCir. 1996)(afrmed);UnitedStatesv.McCullah,76F.3d1087(10thCir.1996)(re manded);UnitedStatesv.Flores,63F.3d1342(5thCir.1995)(afrmed);Unit edStatesv.Chandler,996F.2d1073(11thCir.1993),vacatedinpart,193F.3d 1297(1999).Aspectsof18U.S.C.35913595wereexaminedinJonesv.Unit edStates,119S.Ct.2090(1999),affg132F.3d232(5thCir.1998);UnitedStates v.Battle,173F.3d1343(11thCir.1999);UnitedStatesv.Webster,162F.3d308 (5thCir.1998)(affirmed);UnitedStatesv.McVeigh,153F.3d1166(10thCir. 1998)(affirmed). Inaddition,in1995theFederalJudicialCenterbeganaseriesofChambers toChambersdiscussinglegalandpracticalissuesuniquetocapitalcases.The seriesdrawsupontheexperiencesofdistrictcourtjudgeswhohavehandled death penalty cases under 848; the rst issue also includes the names of judgeswhohavetriedcapitalcaseswhomaybecontacted.TheCenterisalso collectingcopiesofordersandotherselectedcasematerialsfromjudgeswho havehandled capitalcases. Additionalresourcematerialsareaddedasthey becomeavailable.Judgesseekinginformationondeathpenaltyissuesshould contacttheInformationServicesOfceattheCenter. 3 .Nothinginthenewlegislationspecicallyrepealsorsupersedesanypartof 38 section848,andtherearesomedifferences.
(March 2000 rev.)
120
sideredinsentencingontheunderlyingdrugoffense.39Whenthe deathpenaltyissoughtforanoffenseunder18U.S.C.3591,the courtshoulddeterminewhethertherelevantactivityisasepa rateoffenseoranelementoftheoffense thatmustbecharged andproved. A. Pretrial 1. Thegovernmentmustprovidewrittennoticetothecourt anddefendantthatitwillseekthedeathpenalty,andit must identify which statutory and nonstatutory aggra vatingfactorsitintendstoproveatareasonabletime beforetrialoracceptancebythecourtofaguiltyplea.40 18U.S.C.3593(a);21U.S.C.848(h)(1). 2. If requested by defendant pursuant to 18 U.S.C. 3005, promptlyassigntwocounseltodefendant,ofwhomat
3 .Subsection(e)wasaddedto21U.S.C.848bytheAntiDrugAbuseActof 39 1988, Pub. L. 10690, 7001(a), 102 Stat. 4181, 438788. The catchline of 7001(a)wasElementsofOffense.Moreover,othersubsectionsrefertobe ingfoundguiltyoforpleadingguiltytoanoffenseundersubsection(e).21 U.S.C.848(i)(1),(j),(n). 4 .For848(e)offenses,thegovernmentmustidentifyandproveoneaggra 40 vating factor from 848(n)(1) plusat least one factorfrom 848(n)(2)(12). Section3591containsthreegroupsofoffensesforwhichdeathisauthorized, andeachgrouphasaseparatelistofaggravatingfactorsfromwhichthegov ernmentmustidentifyandproveatleastone.Additionalfactorsfromanylist maybeused,butonly theoneisrequired toimposethedeath penalty. See 3593(e).TheFourthandTenthCircuitshaveheldthatallowingthejuryto nd duplicative aggravating factors is prohibited and would require a new penaltyphase.SeeTipton,90F.3dat898901(butafrmingsentencebecause error was harmless in this case); McCullah, 76 F.3d at 111112 (remanded: prosecutionsubmittedboth841(n)(1)(C)and(D),whichsubstantiallyover lap,andanonstatutoryaggravatingfactorthatoverlapped841(n)(1)(C)).See also UnitedStatesv.McCullah,87F.3d1136,113738(10thCir.1996)(upon denialofrehearingandrehearingenbanc,clarifyingthatoverlappingaggra vating factors are improper if supported by same underlying conduct, thus distinguishing Flores, infra). But cf. Flores, 63 F.3d at 137273 (defendants conductsupportedndingofbothn(1)(A)(intentionallykilledthevictim)and n(1)(C)(intentionallyengagedinconductintendingthatthevictimbekilled) factorsdefendantpersonallyparticipatedinthekillingsandhiredothersto help).TheFourthandTenthCircuitsrejectedtheclaimthatallowingthegov ernmenttointroducenonstatutoryaggravatingfactorsviolatedseparationof powersprinciples.
(March 2000 rev.)
121
leastoneshallbelearnedinthelawapplicabletocapital cases.41 3. Atleastthreedaysbeforecommencementoftrial,thede fendantmustreceiveacopyoftheindictmentandalist of the names and addresses of venirepersons and wit nesses,unlessthecourtndsbyapreponderanceofthe evidencethatprovidingthelistmayendangeranyper son.18U.S.C.3432(asamendedSept.13,1994). 4. Arrangeforajuryvenirelargeenoughtoaccommodate additionalperemptorychallenges(twentyforeachside, seeFed.R.Crim.P.24(b)),thelengthoftimerequiredfor trialandpenaltyphases,andthelikelihoodthatalternate jurorswillbeneeded.42 5. Considerhavingvenirememberscompleteajurorques tionnaire,andconsiderprovidingattorneyswiththere sponsespriortojuryselection. 6. Afterfamiliarizingthevenirewithjuryservice,explainthe twostagedecisionprocess.Followingisasuggestedex planation.
Before we continue with the jury selection process, I will explain to you how a capital case proceeds. Potentially this case has two stages. The rst requires the jury to consider whether or not the government has proved the charges brought against the defendant, __________, beyond a reasonable doubt. In this stage of the proceeding, the jury shall not consider any possible punishment that might be imposed.
4 . See ChamberstoChambers,Vol.10,No.1(FederalJudicialCenter1995), 41 foradiscussionofwhethermorethantwoattorneysmaybeappointedunder 3005.SeealsoMcCullah,76F.3dat1098(noabuseofdiscretiontorefuseto appoint additional counsel where district court found that two were adequate).Foradiscussionofcompensationofcounsel,investigators,andex pertwitnesses,seeChamberstoChambers,Vol.10,No.1.Notethat21U.S.C. 848(q)(10)wasamended bytheAntiterrorism andEffectiveDeath Penalty Actof1996(effectiveApril24,1996),tolimitattorneysfeesandcostsforother services.IncasesnotaffectedbytheAct,compensationforappointedcounsel isnotlimitedbyCriminalJusticeActmaximums. 4 . See ChamberstoChambers,Vol.10,No.1(FederalJudicialCenter1995), 42 fordiscussionofthisissueandofthequestionnaireinthenextparagraph.
(March 2000 rev.)
122
Section3.01:Deathpenaltyprocedures If, at the conclusion of the rst stage, the jury reports that it does not nd the defendant, __________, guilty of the capital charge, then the jurys responsibilities are at an end. It is also the end regardless of how the jury nds as to any other charges. This is because the court decides the punishment for noncapital crimes. If the jury reports that it nds the defendant, ________, guilty of the capital charge, then we proceed to a second stage: a sentencing hearing, at which the jury considers whether the death penalty should be imposed.43 Now, during the sentencing hearing, the government has the opportunity to introduce evidence of aggravating factors that might make the conduct alleged in the capital count so serious as to merit imposition of the death penalty. The defendant has the opportunity to present mitigating factors about the crime or about himself [herself] that might suggest that the death penalty is not appropriate in this case. No aggravating factor may be considered by the jury unless all jurors agree on that factor unanimously. Nor can the jury nd in favor of the death penalty unless it also unanimously agrees that the unanimously-agreedupon aggravating factors sufciently outweigh any mitigating factors that one or more jurors believe exist. Even if no one on the jury nds that any mitigating factors exist, the jury cannot nd in favor of the death penalty unless everyone on the jury nds that the aggravating factors that the jurors have unanimously found to exist are sufciently serious to justify a death sentence. Even if the jury unanimously makes such ndings, it is not required under law to nd in favor of the death penalty; that is a matter for the jury to decide.
[For3591offenses,add:] If a jury does not unanimously

nd in favor of the death penalty, it may consider whether a sentence of life imprisonment without the
4 .Thetermrecommend,usedinthestatutes,shouldbeavoidedaspoten 43 tiallymisleading. SeeCaldwellv.Mississippi,472U.S.320(1985).Thecourtis without authority to reject the recommendation. See 18 U.S.C. 3594; 21 U.S.C.848(l).
(March 2000 rev.)
123
Section3.01:Deathpenaltyprocedures possibility of release should be imposed, a decision that must also be unanimous. 44 If a jury unanimously nds in favor of the death penalty, this court is required to sentence the defendant to death.[For3591offenses,add:] If a jury unanimously nds in favor of a sentence of life imprisonment without the possibility of release, the court is required to impose that sentence.
7. Duringvoirdire,questionthevenirepersons astotheir viewsonthedeathpenalty.45Itisrecommendedthatthis bedonebyquestioningindividualvenirepersonsatside bar.Ajurormaynotbeexcusedforcausesimplybecause thejurorvoicesgeneralobjectionstothedeathpenalty orexpress[es]conscientiousorreligiousscruplesagainst itsiniction.46Thestandardiswhetherthejurorsviews would preventorsubstantiallyimpairtheperformance ofhisdutiesasajurorinaccordancewithhisinstructions andhisoath.47 Excusethejurorforcauseifthejuroran swersyestoeitherofthefollowingquestions:
(a) Would you never nd, under any circumstances, in favor of the death penalty under the law as I will explain it?48
4 .Theoptionofajuryimposedsentenceoflifewithoutreleaseisnotavail 44 ableunder848.Section3593(e)allowsthejurytorecommendsuchasen tence,andunder3594thecourtshallsentencedefendantaccordingly.See alsoinfranote18. 4 . See ChamberstoChambers,Vol.10,No.1(FederalJudicialCenter1995), 45 for adiscussion of jury selection, including deathqualifying the jury. See also United Statesv. McVeigh, 153 F.3d 1166, 120511 (10th Cir. 1998) (dis cussing voir dire issues regarding deathqualifying and pretrial publicity); UnitedStatesv.Tipton,90F.3d861,87081(4thCir.1996)(afrmingdistrict courtsmethodofvoirdireandthedismissalforcauseofsomejurorswhoop posedthedeathpenalty);UnitedStatesv.Flores,63F.3d1342,135356(5th Cir.1995)(same). 4 .Witherspoonv.Illinois,391U.S.510,52122(1968). 46 4 .Wainwrightv.Witt,469U.S.412,424(1985), quotingAdamsv.Texas,448 47 U.S.38,45(1980).SeealsoLockhartv.McCree,476U.S.162(1986)(allowinga juror who could not perform in the penalty phase to beexcluded fromthe guilt/innocencephase). 4 .SeeWitherspoonv.Illinois,391U.S.510(1968). 48
(March 2000 rev.)
124
Section3.01:Deathpenaltyprocedures (b) If the defendant is found guilty of conduct that is a capital offense, beyond a reasonable doubt, would you always nd in favor of the death penalty?49
Notethattheharmlesserroranalysisdoesnotapplyto Witherspoonviolations.50 8. Whenthejuryretirestoconsideritsverdict,donotdis charge the alternate jurors.51 Instruct the alternates to avoiddiscussingthecasewithanyone.Ifanalternateju ror replaces a juror after deliberations have begun, in struct the jury to begin its deliberations anew. Fed. R. Crim.P.24(c)(3). B. AfterVerdictorPlea 1. No presentence report should be prepared. 18 U.S.C. 3593(c);21U.S.C.848(j). 2. Unlessdefendantmovesforahearingwithoutajuryand thegovernmentconsents,thehearingmustbebeforea jury. (a) Ifdefendantwasconvictedafterajurytrial,thehear ingshouldbebeforethejurythatdeterminedguilt, unlesssuchjuryhasbeendischargedforgoodcause. (b) If defendant was convicted upon a plea or after a benchtrial,ajuryandalternatesshouldbeimpaneled inaccordancewithFed.R.Crim.P.24(c). 18U.S.C.3593(b);21U.S.C.848(i)(1). 3. Instructthejuryaboutthepurposeofthehearing.52 (a) Informthejurorsthattheywillberequiredtomake specicndings about possible aggravating circum
4 .SeeMorganv.Illinois,504U.S.179(1992). 49 5 .Grayv.Mississippi,481U.S.648(1987). 50 5 .EffectiveDec.1,1999,Fed.R.Crim.P.24(c)(3)givesdistrictcourtsthedis 51 cretion to retain alternatejurorswhen thejury retires. Notethat3593(b) and848(i)donotallowajuryoflessthantwelvemembersunlesstheparties stipulatetoalesserhearingbeforetheconclusionofthesentencinghearing. SeeChamberstoChambers,Vol.10,No.1(1995),foradiscussionofretaining thealternatejurors. 5 .Samplesofjuryinstructionsthathavebeenusedindeathpenaltycasesare 52 availablefromtheFederalJudicialCentersInformationServicesOfce.
(March 2000 rev.)
125
stances,thatanyorallofthemmaymakeandingre garding any mitigating circumstances,53 and that if certainndingsaremade,theywillberequiredtode cidewhetherdefendantshouldbesentencedtodeath (or,iftheoffenseisunder3591,tolifeimprisonment withoutthepossibilityofrelease). (b) Instructthejurorsthat,inconsideringwhetherasen tenceofdeathisjustified,theyshallnotconsiderthe race,color,religiousbeliefs,nationalorigin,orsexof thedefendantorofanyvictim,thatthejuryisnotto recommend a sentence of death unless it has con cludedthatitwouldrecommendasentenceofdeath forthecrimeinquestionnomatterwhattherace,col or,religiousbeliefs,nationalorigin,orsexofthede fendant or of any victim may be, and that each of themwillberequiredtocertifythatheorshehasnot beeninuencedbysuchfactors.18U.S.C.3593(f); 21U.S.C.848(o)(1). 4. Proceedwiththehearinginthemannersetforthin18 U.S.C.3593(c)or21U.S.C.848(j).Notethat: (a) thegovernmentmayseektoproveonlythoseaggra vatingfactorsofwhichitgavenotice; (b) therulesofevidence do not apply,but information maybeexcludedifitsprobativevalueisoutweighed (3593(c))orsubstantiallyoutweighed(848(j))by
5 .Under3593(d)and848(k),specicndingsaboutmitigatingfactorsare 53 notrequired.However,bothsectionsstatethatsuchndingsmaybemade byoneormoremembersofthejury,andtheEleventhCircuitheldthatSec tion848(k)requiresthatthejurybeinstructedthatithastheoptiontoreturn written ndings of mitigating factors. United States v. Chandler, 996 F.2d 1073,1087(11thCir.1993), vacatedinpart, 193F.3d1297(1999).Thecourt alsonotedthatunder848(q)(3)(B)thereviewingcourtistoconsiderwhether suchndings,oranyfailuretondamitigatingfactor,aresupportedbythe record,butheldthatthissectionrequiresonlythatifthejuryexercisesitsop tion,wemustreviewthosendings.996F.2dat1087.Thereisnosimilarpro visionregardingappellatereviewofmitigatingcircumstancesin3595(c)(2). Nevertheless,itisrecommendedthatthetrialjudgerequiresuchndings.
(March 2000 rev.)
126
the danger of unfair prejudice, confusion of the is sues,ormisleadingthejury;54 (c) thetrialtranscriptandexhibitsmaybeused,particu larlyifanewjuryhasbeenimpaneledforthesentenc ingstage; (d) theorderofargumentisprescribedbythestatute. 5. Instructthejuryandprovideitwithaformforndings relativetosentencing.(Seethesuggestedformforsen tencingndingsattheendofthissection.)55 Besureto coverthefollowingpoints: (a) Thejuryshouldrstconsidertheaggravatingfactors thatthegovernmenthassoughttoestablish. (b) Theaggravatingfactorsmustbeprovedbeyondarea sonabledoubt,andthejurycanndthatanaggravat ingfactorexistsonlybyunanimousvote.Ifthejuryis notunanimousinndingthatanaggravatingfactor hasbeenproved,itmusttreatitasnotproved.56
5 .See,e.g.,UnitedStatesv.McVeigh,153F.3d1166,121116(10thCir.1998) 54 (discussingstandardsforadmissionofmitigatingevidence). 5 .SamplejuryinstructionsandformsareavailablefromtheFederalJudicial 55 CentersInformationServicesOfce. 5 .Thisoutlineandtheaccompanyingformarebasedontheunderstanding 56 that,ifthejuryisindisagreementaboutthendingsrequiredforadeathsen tence,asentenceotherthandeathwillbeimposed.18U.S.C.3594;21U.S.C. 848(l). For 3591 offenses, the jury is specically instructed that it may chooseasentenceoflifeimprisonmentwithoutreleaseoralessersentence. However,thereisnosimilarchoiceforthejuryin848,andnorequirement thatthejurybetoldtheconsequences offailuretounanimously agreeona sentenceofdeath.SeeChandler,supra,996F.2dat1089(districtcourtisnot required to instruct the jury on the consequences of the jurys inability to reachaunanimousverdict).TheSupremeCourtheldthatwhendefendants futuredangerousnessisanissueandtheonlyalternativesentencetodeathis lifewithnopossibilityofparole,dueprocessentitlesdefendanttotellthejury thatdefendantwillneverbereleasedfromprison.Simmonsv.SouthCarolina, 114S.Ct.2187,2196201(1994).Cf.Flores,supra,63F.3dat136869(afrmed: distinguishing Simmons because,althoughgovernmentuseddefendantsfu turedangerousnessasaggravatingfactor,therewasstillpossibilityofdepar tureunderGuidelinestolessthanlifesentence,andgovernmentfocusedon dangerdefendantwouldposewhilestillinprison,notafterrelease).Seealso ODellv.Netherland,521U.S.151,15967(1997)(decliningtoapplySimmons retroactively).
(March 2000 rev.)
127
(c) Forthejurorseventoconsiderthedeathpenalty,they must:

(1) for 3591 offenses: answer yes to the required 3592(b),(c),or(d)question(question1onthesug gestedform); (2) for848(e)offenses:answeryestothe848(n)(1)ques tion(question1onthesuggestedform)andtoatleast oneofthe848(n)(2)(12)questions(question2onthe suggestedform).
(d) Ifthejurysndingsaboutaggravatingfactorspermit consideration of a death sentence, the jury should thenconsiderdefendantsevidenceofmitigatingfac tors. (e) A mitigating factor should be taken as true ifit has beenestablishedbyapreponderanceoftheevidence. Distinguish between the reasonable doubt and pre ponderancetests. (f) Thejurorsshoulddiscusstheevidenceaboutmitigat ingfactorsbutarenotrequiredtoreachaunanimous decision.Andingofamitigatingfactormaybemade byoneormorejurors,andanymemberofthejury whondstheexistenceofamitigatingfactorbyapre ponderanceoftheevidencemayconsidersuchafac torestablished,regardlessofwhetheranyotherjuror agrees. (g) Inconsideringwhetherthedeathpenaltyshouldbe imposed, each juror should consider only those ag gravatingfactorsthathavebeenfoundtoexistbeyond areasonabledoubtbyunanimousvote,buteachjuror shouldconsideranymitigatingfactorsthathavebeen provedbyapreponderanceoftheevidencetohisor herownsatisfaction. (h) Thejuryshouldthen:
(1) for3591offenses: (i) consider whether the aggravating factor(s) suf cientlyoutweighthemitigatingfactor(s)tojustifya sentenceofdeath,or,intheabsenceofamitigat
(March 2000 rev.)
128
Section3.01:Deathpenaltyprocedures ingfactor,whethertheaggravatingfactor(s)alone aresufcienttojustifyasentenceofdeath; (ii) determinewhetherdefendantshouldbesentenced todeath, tolifeimprisonment withoutpossibility ofrelease,orsomeothersentence,adecisionthat mustbeunanimous.57 (2) for848(e)offenses: determinebasedonconsiderationofwhethertheag gravating factors sufciently outweigh any mitigating factors,orintheabsenceofmitigatingfactors,whether theaggravatingfactorsalonearesufcienttojustifya sentenceofdeathwhetherthedeathpenaltyshould be imposed. The jury may nd in favor of the death penaltyonlybyunanimousvote.
(i)
(j)
Regardlessofitsndingsaboutaggravatingandmiti gatingfactors,thejuryisneverrequiredtondinfa vorofadeathsentence.58 Thejuryshallnot considertherace,color,religious beliefs,nationalorigin,orsexofthedefendantorany victiminconsideringwhetherasentenceofdeathis justified,andmustnotimposeadeathsentenceun lessitwoulddosonomatterwhattherace,color,reli giousbeliefs,nationalorigin,orsexofthedefendant orofanyvictim.Thejurorsmustsignacerticateto this effect when a death sentence is returned. 18 U.S.C.3593(f);21U.S.C.848(o)(1).
6. Consider retaining the alternates after the jury retires. Fed. R. Crim. P. 24(c)(3). (Note that, although Fed. R. Crim.P.23(b) permits acourt to acceptaverdict from elevenjurorsifajurorisexcusedafterthejuryretires, 3593(b)and848(i)(2)allowsentencingndingstobeac
5 . Although 3593(e) states that the jury may unanimously recommend 57 someotherlessersentence,3594impliesthatthecourtmaystillimposea sentenceoflifewithoutrelease.SeealsoJonesv.UnitedStates,119S.Ct.2090, 2098100(1999)(indicatingthatotherwiseclauseof3594leavessentenc ingdeterminationtocourtifjurycannotagreeunanimouslyonasentence). 5 . This is explicitly stated in 848(k) and is implicit in 3593(e) from the 58 jurysauthorizationtochoosealessersanction.
(March 2000 rev.)
129
ceptedfromfewerthantwelvejurorsonlyiftheparties agreetoalessernumberbeforethejuryretires.) 7. Ifthejuryndsinfavor ofadeathsentence,thecourt mustimposesuchasentence.Otherwise: (a) For3591offenses:Ifthejuryunanimouslyndsinfa voroflifeimprisonmentwithoutthepossibilityofre lease, the court must impose that sentence; other wise,thecourtshallimposeanyothersentenceau thorizedbylaw.See18U.S.C.3594. (b) For848(e)offenses:Thecourtmayimposeanyother sentenceauthorizedbylaw.21U.S.C.848(l).
(March 2000 rev.)
130
Suggested form for sentencing ndings
1. Doyoundunanimouslythatthegovernmenthasproved, beyondareasonabledoubt,thatthedefendant[insertgov ernmentsclaimunder3592(b),(c),or(d),or848(n)(1)(A), (B),(C),or(D)]?59 Yest Not
IFTHEANSWERTOQUESTION1ISNO,STOPHERE.ALL JURORSSHOULDSIGNATTHEENDOFTHEFORM. 2. [For848(e)offensesonly:]Doyoundunanimouslythatthe governmenthasproved,beyondareasonabledoubt,thatthe defendant [insert governments claim under 848(n)(2) (12)]? Yest Not
[Repeattheaboveforasmanyseparatefactors under(n)(2)(12)asthegovernmentalleges.] IFTHEANSWERTOQUESTION2IS[ORTOQUESTIONS2 THROUGH __ ARE ALL] NO, STOP HERE. ALL JURORS SHOULDSIGNATTHEENDOFTHEFORM.
5 .Oneoftheaggravatingfactorslistedin21U.S.C.848(n)(1)mustbefound 59 ifthedeathpenaltyistobeimposed.Itishardtoimagineaconvictionunder 848(e)thatdoesnotsubsumeafactorunder(n)(1).Nevertheless,thestatute requires that the existence of an (n)(1) factor be considered at the penalty stage.Itappearsthatsubsection(n)(1)wasdraftedincontemplationofappli cationtoawiderrangeofcriminalconductthan848(e)encompasses. For theSupremeCourtstreatmentofasimilarstatute,seeLoweneldv.Phelps, 484U.S.231(1988).SeealsoUnitedStatesv.McCullah,76F.3d1087,110910 (10th Cir. 1996) (recognizing this aspectof 848(e) butnding itmeetsre quirementsofLoweneld);UnitedStatesv.Flores,63F.3d1342,136972(5th Cir.1995)(same);UnitedStatesv.Chandler,996F.2d1073,109293(11thCir. 1993)(same), vacatedinpart,193F.3d1297(1999).NotethattheFourthand TenthCircuitshavehelditiserrortondduplicative(n)(1)factors.Seesupra note4.
(March 2000 rev.)
131
3. Doyoundunanimouslythatthegovernmenthasproved, beyondareasonabledoubt,thatthedefendant[insertgov ernmentsclaimofotheraggravatingfactor]? Yest Not
[Repeattheaboveforasmanyadditionalaggravatingfactors asthegovernmentalleges.] 4. Doanyjurorsndthatthedefendanthasproved,byapre ponderanceoftheevidence,that[insertdefendantsclaimof mitigatingfactor]? Yest Not
[Repeattheaboveforasmanyseparatemitigatingfactorsas defendantalleges.] 5. Do you nd unanimously that the aggravating factor(s) to whichyouhaveprovidedaunanimousyesanswerabove sufciently outweigh(s) the mitigating factor(s) to justify a sentenceofdeath,orintheabsenceofamitigatingfactor, thattheaggravatingfactor(s)aloneis(are)sufcienttojustify asentenceofdeath,andthatthedefendantshouldbesen tencedtodeath? Yest Not
IFTHEANSWERTOQUESTION5ISNOANDA3591OF FENSEISINVOLVED,ASK: Doyoundunanimouslythatthedefendantshouldbesen tencedtolifeimprisonmentwithoutpossibilityofrelease? Yest Not
Eachoftheundersignedjurorsherebycertiesthat: 1. inreachingmydecisionsaboutthesentenceinthiscase, Ididnotconsidertherace,color,religiousbeliefs,nation al origin, or sex of either the defendant, [defendants name],orthevictim,[victimsname];and
(March 2000 rev.)
132
2. Iwouldhavemadethesamedecisionaboutthesentence forthiscrimenomatterwhattherace,color,religiousbe liefs, national origin, and sex of the defendant, [defen dantsname],andthevictim,[victimsname].
_________________________ __________________________
(Foreperson)
_________________________ __________________________ _________________________ __________________________ _________________________ __________________________ _________________________ __________________________ _________________________ __________________________
(March 2000 rev.)
133
NOTE Thissectionoutlines proceduresinvolving sentencesunderthe UnitedStatesSentenc ingGuidelines.For preGuidelinescases, judgesmaywishto consultanotherCenter publication,Sentenc ingOffendersfor CrimesCommittedBe foreNov.1,1987 (1991).
4.01 Sentencing procedure

Introductory note
EffectiveDecember1,1994,Fed.R.Crim.P.32wassubstantially amended.Alongwithtextualadditionsandrevisions,somesec tionshavebeenmovedtodifferentsubdivisions.Wherethishas occurred,theoldsectionnumberwillappearinbracketsfollow ingthecurrentdesignation. RevisedRule32(b)(6)(A)nowrequiresthatthepresentencere portbedisclosedtodefendant,defensecounsel,andtheattor neyforthegovernmentnotlessthanthirtyvedaysbeforethe sentencinghearing,unlessthisperiodiswaivedbydefendant.60 The parties then have fourteen days to provide the probation ofcerwithwrittenobjectionstothepresentencereport.Many courtshaveadoptedotherproceduresdesignedtoensurethat disagreements about factual and legal issues material to sen tencingareidentiedinadvanceofthesentencinghearing.Sec tion4.01isbasedontheassumptionthatsuchproceduresarein place.Notethatthesentencinghearingdoesnothavetoproceed inaparticularorderthefollowingoutlineisonlyaguideand neednotbefollowedprecisely.
Outline
1. Ifyouarecontemplatingadepartureonagroundnotiden tiedassuchineitherthepresentencereportorinaprehear ingsubmission,announceyourconsiderationofadeparture andidentifythedeparturegrounds.61

6 .Notethatthepresentencereportshallnotincludeanydiagnosticopinions 60 thatifdisclosedmaydisruptaprogramofrehabilitation,sourcesofinforma tionobtaineduponapromiseofcondentiality,oranyotherinformationthat mayresultinharmtothedefendantorothersifdisclosed. Fed. R.Crim.P. 32(b)(5)[former32(c)(3)(A)].Theprobationofcersnalrecommendationas tosentence,previouslywithheld,maynowbedisclosedpursuanttolocalrule oratthecourtsdiscretion.Fed.R.Crim.P.32(b)(6). 6 .Burnsv.UnitedStates,501U.S.129(1991)(Courtheldthatreasonableno 61 ticeisrequiredbutleftthetimingofsuchnoticetothelowercourts).Several circuitshaveheldthatthegovernmentmustreceivenoticebeforethedistrict court departs downward on grounds not raised by either party. See United
(March2000rev.)
143
2. Askdefendantandbothcounselwhethertheyhavereviewed the presentence report, including any revisions that may havebeenmadeaftertheinitialdisclosure. 3. Ifinformationhasbeenwithheldfromthereportpursuantto Fed.R.Crim.P.32(b)(5)(former32(c)(3)(A)),andthesum maryrequiredbyFed.R.Crim.P.32(c)(3)(A)(former32(c)(3) (B))hasnotyetbeenprovided,summarizethewithheldin formationorallyifitwillbereliedonindeterminingthesen tence. 4. Placeintherecordundersealanyinformationthatwassum marizedandnotdisclosedtodefendantandcounsel.Specify thatcounselarenottobepermittedaccess. 5. Establishwhatissuesareindispute. 6. Ifdefendantenteredapleasubjecttothecourtslaterdeci sionwhethertoacceptapleaagreementunderFed.R.Crim. P. 11(e)(1)(A) (dismissal of other charges) or 11(e)(1)(C) (binding agreement on sentence), make the decision. In somecases,youmaynditnecessarytodeferthisstepuntil disputedissueshavebeenresolved. (a) Ifthedecisionistoacceptthepleaagreement,informde fendantthatthepleaagreementisacceptedandthatthe judgmentandsentencewillbeconsistentwithit.SeeFed. R.Crim.P.11(e)(3).Makeanystatementfortherecord thatisdeemedappropriateaboutthereasonsforaccept ingthepleaagreement.SeeU.S.S.G.6B1.2,p.s. (b) Ifthedecisionistorejecttheagreement,advisedefen dantthatthecourtdoesnotacceptthepleaagreement and afford defendant an opportunity to withdraw the plea. Advise defendant that if he or she persists in the guiltyplea,thedispositionofthecasemaybelessfavor ablethanthatcontemplatedbythepleaagreement.See Fed.R.Crim.P.11(e)(4).
Statesv.Pankhurst,118F.3d345(5thCir.1997);UnitedStatesv.Green,105 F.3d1321(9thCir.1997);UnitedStatesv.Maddox,48F.3d791(4thCir.1995); UnitedStatesv.Edelin,996F.2d1238(D.C.Cir.1993)(percuriam), cert.de nied, 114S.Ct.895(1994);UnitedStatesv.Andruska,964F.2d640(7thCir. 1992);UnitedStatesv.Jagmohan,909F.2d61(2dCir.1990).
(March 2000 rev.)
144
7. Receive any exhibits and hear any testimony that may be neededtoresolvefactualdisputes.Thedecisiontoholdan evidentiaryhearingisinthediscretionofthecourt.SeeFed. R.Crim.P.32(c)(1)(former32(c)(3)(A)). 8. Ifcounselordefendantallegesanyfactualinaccuracyinthe presentencereport,thecourtmustmakeeitherandingon theallegationoradeterminationthatnondingisnecessary becausethecontrovertedmatterwillnotbetakenintoac countin,orwillnotaffect,sentencing.Fed.R.Crim.P.32(c) (1)(former32(c)(3)(D)).Forissuesthatarenotindispute,the court may accept the presentence report as its ndings of fact.Fed.R.Crim.P.32(b)(6)(D).62 Evenifmatterscontrovertedwillnotaffectsentencing,itis importanttoresolvetheissuesandattachndingsbecause theBureauofPrisonswillbasecustodydecisionsonthepre sentence report. Notations in the margin or excerpts from thereporterstranscriptmaybeadequate.63 9. Ruleonanylegalissuesrelevanttothedeterminationofthe sentence.Inresolvingdisputesabout particularguidelines, thecourt should refer to the factors describedtherein and makespecicndingsoneachfactor. 10. Announceyourconclusionsastotheappropriateoffenselev elandcriminalhistorycategory.Givethelawyersanoppor tunity to respond (without repeating previously expressed objections).Ifyouhavenotyetdecidedwhethertoaccepta pleaagreementunderFed.R.Crim.P.11(e)(1)(A)(dismissal ofothercharges),youmaywishtodeterminetheoffenselev el both under the plea agreement and on the assumption thatdefendantpleadedtoallcounts.
6 .NotethatRule32(b)(6)(D)isanewsectionthatimpliesthatcourtsshould 62 notadopttheconclusionsinthepresentencereportwithregardtodisputedis sues,assomecircuitshaveallowed.Courtsshouldresolvedisputedissuesof factandguidelineapplicationbymakingspecicndingsindependentofthe conclusionsofthepresentencereport.Whenaguidelineadjustmentdepends ontheresolutionofdisputedunderlyingfacts,courtsshouldmakendingson thosefactsratherthansimplyndthattheadjustmentapplies. 6 .ButseeUnitedStatesv.Cortez,841F.2d456(2dCir.)(transcriptofhearing 63 mustbeappended),cert.denied,486U.S.1058(1988).
(March 2000 rev.)
145
11. Ifthesentenceincludesadeparture: (a) Explainthereasonsforthedeparture64;and (b) Explainthereasonsfortheextentofthedeparture65;and (c) Ensurethatthepartieshavehadreasonablenoticeand opportunitytobeheard. 12. Ifarequestfordepartureisdenied,statethat: (a) Departureisauthorizedinthiscase,butIchoosenotto departbecauseIbelievedepartureisnotwarrantedun derthecircumstanceshere.Or (b) Departureisnotauthorizedunderthesefacts.Or (c) Evenifdeparturewereauthorizedunderthefactsofthis case,Iwouldexercisemydiscretionnottodepart. 13. Informdefendantandcounselifyouhavereceivedanyaddi tional materials concerning sentencing (such as letters of recommendation or requests for departure). Considering motionsfordownwarddeparturebasedonsubstantialassis tancetothegovernmentsometimesmaybemoreappropri ateinchambers. 14. Recognizedefendantscounselforremarksonbehalfofde fendant. 15. Youmustgivedefendantanopportunitytospeakonhisor herownbehalf. 16. Recognizetheattorneyforthegovernmentforanyremarks onbehalfofthegovernment. 17. Ifsentenceistobeimposedforacrimeofviolenceorsexual abuse,addressthevictim,ifheorsheispresent,anddeter mine whether the victim wishes to make a statement or presentanyinformationinrelationtothesentence.Fed.R. Crim.P.32(c)(3)(E)(effectiveDec.1,1994).
6 . Courts are advised to provide detailed reasons for any departure, with 64 specicreferencestoGuidelinesorstatutoryprovisionsthatauthorizedepar ture. 6 .Somecircuitsmerelyrequirethattheextentofdeparturebereasonable, 65 othersrequiremoredetailedcalculationsthatanalogizetoGuidelinesfactors. Inanyevent,courtsshouldrstclearlyestablishtheoffenselevelandcriminal historycategoryfromwhichadeparturewillbemade.
(March 2000 rev.)
146
18. Ifrestitutionisinissue,determinetheappropriateamount andhowandwhenitistobepaid. 66Resolveanyfactualorle galdisputesandstatethatyouhaveconsideredthefactorsin 18U.S.C.3664(f)(2)(or,3664(a)(2)ifdefendantsoffense occurred before Apr. 24, 1996). 18 U.S.C. 36633664; U.S.S.G.5E1.1. 19. Determine whether to impose a ne and, if so, in what amount.See18U.S.C.3572(a);U.S.S.G.5E1.2.67 20. Explainthatyouwillnowstatethesentence,butthattheat torneyswillhaveanalchancetomakelegalobjectionsbe foresentenceisimposed.68 21. Statethesentence. 22. Statethereasonsforthesentence. (a) Thestatementmustincludethespecicreasonforany departurefromtheguidelinesandfor theextentofthe departure.18U.S.C.3553(c)(2). (b) Ifthesentenceincludesaprisontermwithintheguide lines, and the lower and upper limits of the guideline
6 .Notethatsomecircuitshaveheldthatrestitutionmustbedeterminedat 66 thetimeofsentencing,notatalaterdate.See,e.g.,UnitedStatesv.Porter,41 F.3d68(2dCir.1994);UnitedStatesv.Ramilo,986F.2d333(9thCir.1993); United Statesv. Prendergast, 979 F.2d 1289 (8th Cir. 1992); United Statesv. Sasnett,925F.2d392(11thCir.1991).Severalcircuitshavealsoheldthatthe districtcourtmaynotdelegatetoaprobationofcertheauthoritytosetthe specictermsofpayment, includingtheultimateamountofrestitutionand thesizeandscheduleofanyinstallmentpayments.Theprobationofcermay makerecommendations,butthecourtmustmakethenaldecision.See,e.g., UnitedStatesv.Graham,72F.3d352(3dCir.1995),cert.denied,116S.Ct.1286 (1996);UnitedStatesv.Mohammad,53F.3d1426(7thCir.1995);UnitedStates v.Johnson,48F.3d806(4thCir.1995);UnitedStatesv.Porter,41F.3d68(2d Cir.1994);UnitedStatesv.Albro,32F.3d173(5thCir.1994).EffectiveApril24, 1996,18U.S.C.3572(d)(2)statesthatthelengthoftimeoverwhichsched uled[restitution]paymentswillbemadeshallbesetbythecourt. 6 .18U.S.C.3572(d)(2),notedabove,alsoappliestones. 67 6 .Fed.R.Crim.P.35nolongerauthorizesthecourttocorrectanillegalsen 68 tenceortoreduceasentenceasamatterofdiscretion.Onceasentenceisim posed,changingitappearstobebeyondthesentencingjudgespower,except forsevendaysinwhichtocorrectobvioustechnicalerrorsunderRule35(c). Theprocedurerecommendedhereisintendedtoassurethatthesentencing judgehearseverypossibleobjectionbeforelosingjurisdictiontochangethe sentence.
(March 2000 rev.)
147
range of imprisonment are more than twentyfour monthsapart,thestatementmustincludethereasonsfor selectingaparticularpointwithintheguidelinerange.18 U.S.C.3553(c)(1). (c) Ifrestitutionisnotordered,oronlypartialrestitutionis ordered,thestatementmustalsoincludethereasonsfor thatdecision.18U.S.C.3553(c).69 23. Ask both counsel whether they know of any reason, other thanreasonsalreadyargued,whythesentenceshouldnotbe imposedasstated. 24. Order the sentence imposed as stated, or amend the sen tence(and,ifnecessary,thestatementofreasons)andthen orderitimposed. 25. Ifdefendantwasconvictedafteratrial: Advisedefendantoftherighttoappeal,ifany,includingany righttoappealthesentence.70 Afterconvictionbyguiltyplea,advisedefendant: Youcanappealyourconvictionifyoubelievethatyour guilty plea was somehow unlawful or involuntary, or if thereissomeotherfundamentaldefectintheproceed ings that was not waived by your guilty plea. You also haveastatutoryrighttoappealyoursentenceundercer taincircumstances,particularlyifyouthinkthesentence iscontrarytolaw. [Ifthereisawaiveroftherighttoap peal: However, a defendant may waive those rights as part of a plea agreement, and you have entered into a pleaagreementwhichwaivessomeorallofyourrightsto appealthesentenceitself.Suchwaiversaregenerallyen
6 .Notethat,effectiveSept.13,1994,restitutionismandatoryunder18U.S.C. 69 2248and2259forsomesexualabuseoffenses,andunder2264and2327 for domestic violence and telemarketing fraud, unless the court specically ndsthatdefendantcannotpayanyamount.EffectiveApr.24,1996,restitu tion is also mandatory under new 3663A for specied violent and other crimes. 7 .Inmisdemeanorandpettyoffensetrials,magistratejudgesmustnotifyde 70 fendantsoftheirrighttoappeal.Fed.R.Crim.P.58(c)(4).Notealsothatanap pealfromajudgmentofconvictionorsentencebyamagistratejudgeistothe districtcourt.Fed.R.Crim.P.58(g)(2)(B).
(March 2000 rev.)
148
forceable,butifyoubelievethewaiverisunenforceable, youcanpresentthattheorytotheappellatecourt.] Ineithercase,informdefendantoftherighttoapplyforleave toappealinformapauperisandthattheclerkofthecourt willprepareandleanoticeofappealupondefendantsre quest.SeeFed.R.Crim.P.32(c)(5)(former32(a)(2)).Alsoad visedefendantthat,withfewexceptions,anynoticeofappeal mustbeledwithintendaysoftheentryofjudgment.See Fed.R.App.P.4(b). 26. Ifdefendanthasbeensentencedtoatermofimprisonment andwasatlibertypendingsentencing,considerwhetherde fendant should now be released or detained (see 2.11: Re leaseordetentionpendingsentenceorappeal).Thenorder defendantremandedtothecustodyofthemarshalortore portforserviceofsentenceinthefuture,ororderthatthede fendantbereleasedpendingappeal.Ifdefendantisnotim mediatelytakenintocustody,reminddefendantthatthere lease conditions previously established continue to apply. Imposeanyadditionalconditionsthatareappropriate.Point outthatfailuretoreportforserviceofsentenceisacriminal offenseunder18U.S.C.3146(a)(2). 27. Atranscriptorotherwrittenrecord71ofthecourtsstatement orreasonsmustbeprovidedtotheProbationOfficeand,if thesentenceincludesaprisonterm,totheBureauofPrisons. 18U.S.C.3553(c). 28. Verifythatthepartieshavecopiesofthepresentencereport, or order thattheybefurnished withanamendedcopyre flectingcorrectionsandresolutionsofdisputedissuesatthe sentencinghearing.Orderthatacomplete,correctedcopybe preparedfortheBureauofPrisonsandtheU.S.Sentencing Commission.Orderthatanyothercopiesofthepresentence reportshallremainconfidentialaccordingtothepracticeof yourcourt.Directthat,ifanappealistaken,counselonap pealaretobepermittedaccesstothereport.Ifyouaccepted
7 .TheJudicialConferenceCommittee onCriminalLawandProbation Ad 71 ministrationhascirculatedaformthatwouldbeanappropriateotherwritten record.
(March 2000 rev.)
149
sentencingrecommendationsfromtheprobationofficethat werenotdisclosedtocounsel,specifythatcounselonappeal arenottobepermittedaccesstotherecommendationsec tion.

Entry of judgment A judgment of the conviction should promptly be prepared on the formprescribedforjudgmentsincludingsentencesundertheSentenc ingReformAct.72 Administrative and research documentation Orderthatcopiesofthechargingdocuments,pleaagreement(ifany), writtenprofferorstipulationoffactsorlaw,presentencereport,and judgmentofconviction(withstatementofreasons)besenttotheU.S. SentencingCommission. Other FJC sources GuidelineSentencing:AnOutlineofAppellateCaseLawonSelectedIs sues
7 .SuchastheJudgmentOrdersapprovedbytheJudicialConferenceanddis 72 tributedbytheAdministrativeOfceoftheU.S.Courts,FederalCorrections& Supervision Division (formerly Probation & Pretrial Services Division). See FormsAO245B(JudgmentinaCriminalCase)and245C(AmendedJudgment inaCriminalCase).
(March 2000 rev.)
150
4.02 Revocation of probation or supervised release

Fed.R.Crim.P.32.1;18U.S.C.3565and3583
Introductory note
Wheneveraprobationerorapersononsupervisedreleasefails toabidebytheconditionsofsupervisionorisarrestedforanoth eroffense,arevocationhearingmaybeordered.Revocationis mandatory ifa probationer or supervised releasee possesses a rearm (including a destructive device) or a controlled sub stanceorrefusestocomplywithrequireddrugtesting. 73 See18 U.S.C.3565(b),3583(g).Revocationisalsomandatoryunder the Sentencing Guidelines for conduct that constitutes certain serious offenses. See U.S.S.G. 7B1.1 and 7B1.3, p.s. (Nov. 1990). Becausetheproceedingmayresultinincarceration,particular attentionmustbegiventoensuringthattheprobationerorre leaseereceivessubstantiveandproceduraldueprocess.There vocationproceduremaybeinitiatedbythecourtoratthere questoftheprobationofceortheofceoftheU.S.Attorney.An Order to Show Cause why probation or supervised release shouldnotberevokediseffectiveforthispurpose.
Preliminary hearing
If the probationer or releasee is in custody, Fed. R. Crim. P. 32.1(a)(1)requiresapreliminaryprobablecausehearingbeforea districtjudgeormagistratejudge.Aprobablecausehearingis notrequirediftheprobationerorreleaseeisarrestedaftertheis suanceofanOrdertoShowCauseandbroughtbeforethecourt foranimmediaterevocationhearingwithoutbeingheldincus tody,orifheorsheappearsvoluntarilyinresponsetoanOrder toShowCauseorothernotice.Fed.R.Crim.P.32.1andNotesof AdvisoryCommitteeonRules.
7 .Themandatory drug testing and revocation forrefusal to complyprovi 73 sionsbecameeffectiveSept.13,1994.Theexpostfactoprohibitionmaypre venttheirapplicationtodefendantswhocommittedtheiroffensesbeforethat date.
(March 2000 rev.)
151
Section3.01:Deathpenaltyprocedures Suggested procedure at the revocation hearing 74
1. Establishfortherecordthattheprobationerorreleasee,de fense counsel, a U.S. attorney, and a probation ofcer are present. 2. Advisetheprobationerorreleaseeoftheallegedviolationsby readingorsummarizingtherevocationmotion.Ifthealleged violationisofakindthatmakesrevocationmandatoryunder 18U.S.C.3565(a)or(b)or3583(g)(possessionofrearm, destructive device, or controlled substance, or refusal to complywith a drugtest75), or underU.S.S.G. 7B1.3(a)(1), p.s.,includeadvicetothateffect. 3. Ascertainwhetherornottheallegedviolationsareadmitted ordeniedbytheprobationerorreleasee. (a) Iftheviolationsareadmitted: (1) Ask the U.S. attorney to present the factual basis showingtheviolationsofthetermsofsupervision. (2) Permittheprobationerorreleasee,hisorhercounsel, the U.S. attorney, and the probation ofcer to be heardconcerningwhethersupervisionshouldbere vokedornot. (b) Iftheviolationsaredenied: (1) ReceiveevidencepresentedbytheU.S.attorneyand theprobationerorreleasee.
7 .NotethatundertheFederalCourtsAdministrationActof1992,amagis 74 tratejudgemayrevoke,modify,orreinstateprobationandmodify,revoke,or terminatesupervisedreleaseifanymagistratejudgeimposedtheprobationor supervisedrelease.18U.S.C.3401(d),(h)(effectiveJan.1,1993). AlsoundertheAct,adistrictjudgemaydesignateamagistratejudgetocon duct hearings to modify, revoke, orterminate supervised release, to submit proposedndingsoffact,andtorecommendadisposition.18U.S.C.3401(i) (effectiveJan.1,1993). 7 .Thestatutory provisions formandatory revocation forrefusaltocomply 75 withdrugtestingand,forsupervisedreleasees,possessionofarearm,were enactedSept.13,1994.Expostfactoconsiderationsmayprohibitapplication todefendantswhoseoriginaloffenseswerecommittedbeforethatdate.
(March 2000 rev.)
152
(2) Therevocationhearingisnotaformaltrialandthe Federal Rules of Evidence need not apply. Fed. R. Evid.1101(d)(3).76 (3) Proofbeyondareasonabledoubtisnotrequired.To revoke probation, the court must be reasonably satisedthattheprobationerhasnotmetthecondi tionsofprobation. UnitedStatesv.Francischine, 512 F.2d827(5thCir.), cert.denied, 423U.S.931(1975). Revocation ofsupervised releaserequiresaprepon deranceoftheevidence.18U.S.C.3583(e)(3). 4. Sentencingoptions (a) Ifadeterminationismadenottorevokeprobationorsu pervisedrelease: (1) Theoriginaltermofprobationorsupervisedrelease maybeextendeduptothemaximumtermofproba tionor supervisedreleasethatcouldhavebeenim posed originally. 18 U.S.C. 3564(d), 3565(a)(1), 3583(e)(2);U.S.S.G.7B1.3(a)(2). (2) Conditionsofprobationorsupervisedreleasemaybe modied or added. 18 U.S.C. 3563(c), 3565(a)(1), 3583(e)(2);U.S.S.G.7B1.3(a)(2). (b) Ifadeterminationismadetorevokeprobation77: (1) Resentence defendant under the provisions of 18 U.S.C. 35513559 if defendant is subject to 18 U.S.C.3565(a)(2),asamendedSept.13,1994.78 The
7 .ButnotethatFed.R.Crim.P.32.1(c),effectiveDec.1,1993,requiresthe 76 production of witness statements pursuant to theterms of Fed. R. Crim. P. 26.2. 7 .Courtsareadvisedtogivedefendanttherightofallocutionwhenprobation 77 isrevoked andatermofimprisonmentisimposed.Somecircuitshaveheld defendanthassucharight,eventhoughRule32.1doesnotmentionit. See, e.g.,UnitedStatesv.Anderson,987F.2d251,261(5thCir.),cert.denied,114S. Ct.157(1993);UnitedStatesv.Barnes,948F.2d325,329(7thCir.1991). Cf. United States v. Coffey, 871 F.2d 39, 4041 (6th Cir. 1989) (holding in pre Guidelinescasethatthereisnoright,butstatingthatitissoundpracticefora district courttopermit adefendanttospeak regardlessofthetiming ofthe sentencing). 7 .Expostfactoconsiderationsmayrequiretheuseofpriorlawifdefendant 78 committedtheoriginaloffensebeforeSept.13,1994.
(March 2000 rev.)
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court must also consider the provisions of U.S.S.G. 7B1.31.4, p.s. Otherwise, impose any other sen tencethatwasavailableunderthesentencingprovi sionsatthetimeoftheinitialsentencing.7918U.S.C. 3565(a)(2)(beforeSept.13,1994,amendment).For defendantsinitiallysentencedundertheSentencing Guidelines, consider the provisions of U.S.S.G. 7B1.31.4,p.s. (2) If probation is revoked for possession of drugs or rearmsorforrefusalofrequireddrugtesting,sen tence defendant to a term of imprisonment.80 18 U.S.C.3565(b)(effectiveSept.13,1994). (3) [PreGuidelineslaw:]Order,withorwithoutmodi cation, the execution of a sentence previously sus pended(thesentencecannotbeincreasedbutmaybe reduced).18U.S.C.3653.
7 .Becauseofexpostfactoconsiderations,thisearlierversionof3565(a)(2) 79 mayberequiredifdefendantcommittedtheoriginaloffensebeforeSept.13, 1994.TheThird,Fourth,Fifth,Eighth,Ninth,andEleventhCircuitshaveheld thatanyothersentencethatwasavailable...atthetimeoftheinitialsen tencingmeanstheguidelinerangeapplicabletotheoriginaloffenseofcon viction.NotethatsomeofthesentencesintheRevocationTable,U.S.S.G. 7B1.4, p.s., may exceed themaximum sentences allowed underthisinter pretation.SeealsoGuidelineSentencing:AnOutlineofAppellateCaseLawat SectionVII.A.1(FederalJudicialCenter). 8 .Thisamendmentto3565removedtherequirementtosentencethede 80 fendanttonotlessthanonethirdoftheoriginalsentence.Thecourtsofap pealssplitonwhetheroriginalsentencemeantthetermofprobationorwas limitedtotheoriginalguidelinesentencethatcouldhavebeenimposed.Com pare UnitedStatesv.Penn,17F.3d70(4thCir.1994)(useoriginalguideline maximum), United States v. Alese, 6 F.3d 85 (2d Cir. 1993) (same), United Statesv.Diaz,989F.2d391(10thCir.1993)(same),UnitedStatesv.Clay,982 F.2d 959 (6th Cir. 1993) (same), United States v. Granderson, 969 F.2d 980 (11th Cir. 1992) (same), and United States v. Gordon, 961 F.2d 426 (3d Cir. 1992)(same),withUnitedStatesv.Sosa,997F.2d1130(5thCir.1993)(proba tionterm),UnitedStatesv.Byrkett,961F.2d1399(8thCir.1992)(percuriam) (same),andUnitedStatesv.Corpuz,953F.2d526(9thCir.1992)(same).Asin note6,supra,expostfactoconsiderationsmaylimitthelengthofthesentence that may beimposed in some circuits fordefendants who committed their originaloffensesbeforeSept.13,1994.
(March 2000 rev.)
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(c) Ifadeterminationismadetorevokesupervisedrelease81: (1) Requirethepersontoserveinprison82 allorpartof thetermofsupervisedreleasewithoutcreditfortime previouslyservedonpostreleasesupervision,except that the person may not be required to serve more thanveyearsinprisonifthepersonwasconvictedof aClassAfelony,morethanthreeyearsinprisonifthe offensewasaClassBfelony,morethantwoyearsin prison if the offense was a Class C or D felony, or more than one year in any other case. 18 U.S.C. 3583(e)(3).Fordefendantsinitiallysentencedunder theSentencingGuidelines,considertheprovisionsof U.S.S.G.7B1.31.4,p.s. (2) Requirethepersontoserveatermofimprisonment whenrevocationisforpossessionofdrugsorrearms or for refusal of required drug testing. 18U.S.C. 3583(g)(asamendedSept.13,1994).83 (3) Ifthetermofimprisonmentimposedislessthanthe statutorilyauthorizedmaximum,determinewhether toreimposeatermofsupervisedrelease.Thelength ofthereimposedtermmaynotexceedthetermofsu pervisedreleaseauthorizedbystatutefortheoriginal offense,lessthetermofimprisonmentimposedupon
8 .Courtsareadvisedtogivedefendanttherightofallocutionwhensuper 81 visedreleaseisrevokedandatermofimprisonmentisimposed.Somecircuits have held that defendant has such aright, even though Rule32.1 doesnot mentionit. See,e.g., UnitedStatesv.Patterson,128F.3d1259,1261(8thCir. 1997);UnitedStatesv.Carper,24F.3d1157,1162(9thCir.1994);UnitedStates v.Rodriguez,23F.3d919,921(5thCir.1994).SeealsoUnitedStatesv.Waters, 158F.3d933,944(6thCir.1998)(notfindingrighttoallocute,but exercising supervisory powerstorequiredistrictcourtstoprovidedefendantswiththe opportunitytoallocutebeforeimposingsentenceforviolationofsupervised release). 8 .Homeconnementmayalsobeimposedasanalternativetoincarceration. 82 See18U.S.C.3583(e)(4);U.S.S.G.5F1.2. 8 .BeforeSept.13,1994,3583requiredsuchdefendantstoserveinprison 83 notlessthanonethirdofthetermofsupervisedreleaseandonlyappliedto revocationfordrugpossession.
(March 2000 rev.)
155
revocation. 18 U.S.C. 3583(h) (added Sept. 13, 1994).84 5. Judgmentororder Entertheappropriateorderorjudgment.Notethatforsen tences imposed pursuant to U.S.S.G. 7B1, p.s., the court shouldincludethereasonsforitsimpositionoftheparticu larsentence.18U.S.C.3553(c).
Other FJC sources
GuidelineSentencing:AnOutlineofAppellateCaseLawonSe lectedIssues
8 .ThisnewprovisionlargelycodiesthepracticeintheFirstandEighthCir 84 cuits,whichheldthatsupervisedreleasemaybereimposedafterrevocationif thetermofimprisonment plusthenewtermofreleasedoesnotexceedthe lengthofthetermofreleaseoriginallyimposed.However,mostoftheother circuitshadheldthatsupervised release may notbereimposed, and theex postfactoclausemayprohibitapplicationof3583(h)todefendantsinthose circuitswhoseoriginaloffenseswerecommittedbeforeSept.13,1994.Inthese casesamoreappropriateresponsetoaviolationmaybetheimpositionofa limitedtermofhomedetentionorcommunityconnementasanadditional condition of supervision. See 18 U.S.C. 3583(e). Note also that, because 3583(h)usesthestatutorilyauthorizedmaximumsasitslimits,theexpost factoclausemaylimitareimposedtermofreleaseintheFirstandEighthCir cuitsifdefendantoriginallyreceivedatermofsupervisedreleaselessthanthe statutorymaximum.
(March 2000 rev.)
156
5.01 Handling a disruptive defendant

Fed.R.Crim.P.43(b)(3)
Thefurtherprogressofthetrialtoandincludingthereturnofthe verdict,andtheimpositionofsentence,willnotbepreventedand the defendant will be considered to have waived the right to be presentwheneveradefendant,initiallypresentattrial,orhaving pleadedguiltyornolocontendere,...afterbeingwarnedbythe courtthatdisruptiveconductwillcausetheremovalofthedefen dantfromthecourtroom,persistsinconductwhichissuchasto justifyexclusionfromthecourtroom.
Fed.R.Crim.P.43(b)(3). TheSupremeCourtheldthatadisruptivedefendant,afterap propriatewarning,mayberemovedfromthecourtroom.Illinois v.Allen,397U.S.337(1970).(TheCourtalsostatedthatadefen dantmaybecitedforcontemptor,asalastresort,allowedto remaininthecourtroomboundandgagged,butthoseoptions arenotdiscussedhere.) Whenfacedwithadisruptivedefendantthecourtshould: 1. Warndefendantthatcontinuationofthedisruptivecon ductwillleadtoremovalfromthecourtroom.85 2. Ifthedisruptiveconductcontinues,determinewhetherit warrantsremovalofdefendant.86 3. Atthebeginningofeachsession,advisedefendantthat heorshemayreturntothecourtroomifdefendantas suresthecourtthattherewillbenofurtherdisturbances.
8 .Onecircuitheldthat,inamultidefendantcase,[n]oticetoonedefendant 85 isnoticetoallpresentinthecourtroomforpurposesofRule43.UnitedStates v.West,877F.2d281,287(4thCir.),cert.denied,493U.S.959(1989). 8 .Whethertheconductisseriousenoughtowarrantremovalisgenerallyin 86 the discretion of the trial judge. Rule 43(b)(3) simply states that it must be suchastojustifyexclusionfromthecourtroom,andtheSupremeCourtde scribeditasconductthatissodisorderly,disruptive,anddisrespectfulofthe courtthathistrialcannotbecarriedonwithhiminthecourtroom,Illinoisv. Allen,397U.S.337,343(1970).
(March 2000 rev.)
157
4. Considerwaystoallowdefendanttocommunicatewith hisorherattorneytokeepapprisedoftheprogressofthe trial.Thecourtmayconsidermakingarrangementstoal low defendant to hear or see the proceedings via elec tronicmeans,ifavailable. 5. Consideranyotherfactorsrequiredbycircuitlaw.87
Ifdefendantisappearingproseandstandbycounselispresent,the courtshouldrstwarndefendantthatprosestatuswillbedeniedand thatstandbycounselwilltakeoverifthereisfurtherdisruption.Ifpro sestatusisdeniedandstandbycounseltakesover,defendantmaybe removedfromthecourtroomforanyfurtherdisruption. Other FJC sources
8 .Forexample,theEleventhCircuitrequirescourtstoconsiderthepotential 87 prejudicetothedefenseofdefendantsabsenceinadditiontotheadequacyof the warning and degree of misconduct. See Foster v. Wainwright, 686 F.2d 1382,1388(11thCir.1982),cert.denied,459U.S.1213(1983).
(March 2000 rev.)
158
5.02 Grants of immunity

18U.S.C.6003(a);21U.S.C.884(b);28C.F.R.0.175.
Thecitedstatutesprovidefortheentryofanorderrequiringanindi vidualtogivetestimonyorprovideotherinformationatanyproceed ingbeforeorancillarytoacourtoftheUnitedStatesoragrandjuryof theUnitedStatesafterthecourtensurescompliancewiththerequire mentsof18U.S.C.6002,6003,and28C.F.R.0.175,or,inthecase oftestimonyorinformationconcerningcontrolledsubstances,with21 U.S.C.884and28C.F.R.0.175. Procedure
A. Review the motion of the U.S. attorney to satisfy yourself that: 1. the motion is made with the approval of the Attorney General,theDeputyAttorneyGeneral,oranydesignated AssistantAttorneyGeneraloftheUnitedStatesDepart mentofJustice; 2. themotionassertsthatthetestimonyorotherinforma tionfromtheindividualmaybenecessarytothepublic interest;and 3. themotion assertsthattheindividual has refusedor is likelytorefusetotestifyorprovideotherinformationon thebasisoftheprivilegeagainstselfincrimination. B. If the above requirements have been met, enter an order reectingthecourtssatisfactionthattheprerequisiteshave beenmetandordering,pursuantto18U.S.C.6002or21 U.S.C.884,that: 1. thepersonshallgivetestimonyorprovideotherinforma tionastoallmattersaboutwhichthepersonmaybein terrogatedbeforethecourtorthegrandjury,thatheor shehasrefusedtogiveortoprovideonthebasisofthe privilegeagainstselfincrimination; 2. theordershallbecomeeffectiveonlyif,afterthedateof theorder,thepersonrefusestotestifyorprovideother
(March2000rev.)
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information on the basis of his or her privilege against selfincrimination; 3. no testimony or other information compelled from the personundertheorder,oranyinformationdirectlyorin directly derived from suchtestimony or other informa tion,maybeusedagainstthepersoninanycriminalcase except in a prosecution for perjury, for giving a false statement,orforotherwisefailingtocomplywiththeor der;and 4. themotionandorderaretobesealed,ifappropriate. C. Causethe(sealed)motionandordertobedeliveredtothe ClerkofCourt.
Other FJC sources
PatternCriminalJuryInstructions32(1987) ManualforComplexLitigation,Third,at258n.818(1995) DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials12526(4thed.1996)
(March 2000 rev.)
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5.03 Invoking the Fifth Amendment

A. Ifawitnessrefusestoansweraproperquestionandinvokes theFifthAmendmentprivilegetojustifythatrefusal,thetrial courtmustdeterminewhethertheprivilegehasbeenprop erlyclaimed.TheFifthAmendmentprivilegeextendsto: 1. answersthatwouldsupportaconvictionofthewitness forviolatingafederalorstatecriminalstatute;or 2. answers that would furnish a link in the chain of evi dence needed to prosecute the witness for violating a federalorstatecriminalstatute. B. Thefollowingsuggestedproceduremaybeusedwhenawit nessclaimstheFifthAmendmentprivilege: 1. Excusethejury. 2. ExplaintothewitnessthenatureoftheFifthAmendment privilege.Askthewitnessifheorshewishestoconsult counsel.Considertheappointmentofcounsel. 3. Have the question repeated to the witness and ask the witnessifheorshestillrefusestoanswerthequestion. 4. If the witness still refuses on the ground of the Fifth Amendment, the court should determine whether the claimoftheprivilegeisappropriate.Becarefulnottoin terrogatethewitnessabouttheclaiminsuchawayasto force the witness to surrender the privilege in order to claimit. 5. Ifthewitnessmakesaprimafacieshowingofthevalidity ofhisorherclaim,thepartyseekingtheanswerthenhas the burden to demonstrate that the answer could not possiblytendtoincriminatethewitness. 6. SustaintheFifthAmendmentclaimifyoundthatthe witness has reasonable cause to believe that answering theparticularquestionmighttendtoincriminatehimor her.Thecriteriontobeappliedinmakingthisdetermina tionisthepossibilityofprosecution,notthelikelihoodof prosecution.
(March2000rev.)
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AstheSupremeCourtfoundinHoffmanv.UnitedStates, 341U.S.479,486(1951): Tosustaintheprivilegeitneedonlybeevidentfrom the implication of the question, in the setting in which it is asked, that a responsive answer to the question or anexplanation ofwhy it cannot be an sweredmightbedangerousbecauseinjuriousdisclo sure could result. The trial judge in appraising the claimmustbegovernedasmuchbyhispersonalper ceptionofthepeculiaritiesofthecaseasbythefacts actuallyinevidence. 7. Thewitnessmaynotassertablanketclaimoftheprivi lege as to all questions. For each question, the witness mustassertornotasserttheprivilege.Outofthejurys presence, the court must rule as to each question whether the witnesss claim of privilege is sustained or overruled.Thecourtmaysustainablanketassertionof theprivilegeonly ifitconcludes,afterinquiry,thatthe witness could legitimately refuse to answer all relevant questions.
Other FJC sources
ManualforComplexLitigation,Third100,258,306(1995) DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials11527(4thed.1996)
(March 2000 rev.)
162
5.04 Handling the recalcitrant witness

Refusal by a witness during trial or before a grand jury to answer a properquestion,afterhavingbeenorderedtodosobythecourt,con stitutescontemptofcourt,andthewitnessmaybesubjecttobothcivil and criminal contempt sanctions. See 18 U.S.C. 401(3); 28 U.S.C. 1826(a).
A. Recalcitrantwitnessduringtrial Whenawitnessrefusestoansweraproperquestionduring trial,considerthefollowingprocedure: 1. Excusethejury. 2. Determine the reason for the refusal. (If the witness claimstheFifthAmendmentprivilege,see5.03:Invoking theFifthAmendment.) 3. IfnovalidFifthAmendmentclaimorothergoodcauseis shown,advisethewitness: (a) thatthejurywillberecalledandthatthewitnesswill beorderedtoanswerthequestion; (b) thatifthewitnesspersistsinrefusingtoanswer,heor shewillbecitedincivilcontemptand,iffoundguilty, willbeconneduntilheorsheanswersthequestion oruntilthetrialends.Advisethewitnessthatheor shemaybenedinadditiontobeingconned. (c) thatifthewitnesshasnotansweredthequestionbe fore the trial ends, he or she may thenbe cited for criminalcontemptand,iffound guilty,ned or im prisoned;thatifthewitnessisfoundguiltyofcriminal contemptatabenchtrial,heorshemaybeimpris oned for as much as six months; and that if a jury ndsthewitness guiltyof criminal contempt, he or shemaybeimprisonedforaslongasthejudgeinhis or her discretion determines. (If the witness is cur rently serving another sentence, advise the witness thatifheorsheisconnedforcivilorcriminalcon
(March2000rev.)
163
Section5.04:Handlingtherecalcitrantwitness
tempt,theconnementwillbeinadditiontothesen tencealreadybeingserved.) 4. Thejuryshouldthenberecalled,thequestionreasked, andthewitnessorderedtoanswer. 5. Ifthewitnessrefusestoanswer,counselshouldbeper mitted to examine the witness relative to other subject matteraboutwhichthewitnessiswillingtotestify. 6. Afterthewitnesshasbeenexamined: (a) directhimorhertoremainincourtuntilthenextre cess;or (b) excusethejurysothatatimecanbesetforahearing todetermineifthewitnessshouldbefound incivil contempt. Note: Thewitnessshouldbegivenareasonabletimeto prepare for the hearing, but this time depends on the needforpromptaction.Ifthetrialisexpectedtobeshort, set an early hearing sothat effective pressureto testify canbeexertedonthewitnessbeforethetrialends.Ifthe trialisexpectedtobelengthy,thehearingneednotbe heldsopromptly.(If,butonlyif,thereisneedforimme diateaction,thewitnesscanbeheldinsummarycriminal contemptunderFed.R.Crim.P.42(a)andcommittedat onceforcriminalcontemptthatoccurredinthepresence ofthecourt.Ifcommittedforcriminalcontempt,thewit nessshouldbecommittedforastatedperiodoftimebut should beadvisedthatthecourt would reconsider that sentenceifthewitnessdecidedtotestifyduringthetrial. See, e.g., United States v. Wilson, 421 U.S. 309 (1975) (summarycontemptunderRule42(a)appropriateforal readyimprisonedwitnesseswhorefusedtotestifydespite grantofimmunity).88)Advisethewitnessthatheorshe mayberepresentedbyanattorneyatthehearingonthe civilcontemptcitationandthat,ifthewitnesscannotaf fordanattorney,onewillbeappointed.
8 .NotethatWilsonappliesonlytowitnessesduringacriminaltrial.Witness 88 esbeforeagrandjuryshouldbegivennoticeandahearingunderRule42(b). SeeHarrisv.UnitedStates,382U.S.162(1965).
(March 2000 rev.)
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7. If, at the hearing, the witness fails to show good cause why he or she should not be compelled to answer the questionthatthecourtorderedthewitnesstoanswer,he orsheshouldbefoundincivilcontemptandremanded intothemarshalscustody.Advisethewitnessthatheor shemaypurgehimselforherselfofcontemptandsecure releasebyansweringthequestion. 8. Directthemarshaltoreturnthewitnesstothecourtroom beforecourtconvenesthenextday.Atthattimeaskthe witnessifheorsheispreparedtoanswerthequestion whichwasaskedofhimorher.Ifnot,againremandthe witnessintothemarshalscustody.Advisethewitnessto notifythejaileratonceifheorshedecidestoanswerthe question,sothatthewitnesscanbereturnedtocourtand permittedtopurgehimselforherselfofcontempt. 9. Ifthewitnesshasnotpurgedhimselforherselfofcon temptbythetimethetrialends,havehimorherbrought backintocourt. 10. Pursuant to the procedure outlined in Fed. R. Crim. P. 42(b),advisethewitnessthatheorsheisbeingcitedfor criminalcontemptforrefusingtoobeythecourtsorder. 11. Set the matter down for hearing at a certainplace and timetodetermineifthewitnessisguiltyofcriminalcon tempt.(Bearinmindthatthemaximumprisonsentence thatcanbeimposedafterabenchtrialissixmonths.For aprisonsentenceofmorethansixmonths,theremustbe ajurytrial.) 12. Advisethewitnessthatheorshehasarighttoberepre sentedbycounselatthathearingandthatifthewitness cannotaffordcounselanattorneywillbeappointed by thecourt. 13. Releasethewitnessfromcustody.Bailmaybesettoen surethewitnesssappearanceatthehearing. B. Recalcitrantwitnessbeforegrandjury Whenawitnessrefusestoansweraproperquestionbeforea grandjury,considerthefollowingprocedure:
(March 2000 rev.)
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1. Havethewitnessappearbeforethecourtoutofthepres enceofthegrandjury. 2. Determine the reason for the refusal. (If the witness claimstheFifthAmendmentprivilege,see5.03:Invoking theFifthAmendment.) 3. IfnovalidFifthAmendmentclaimorothergoodcauseis shown,advisethewitness: (a) thatheorshewillbereturnedtothepresenceofthe grandjuryandthatthecourtisorderingthewitness toanswerthequestionthatheorshehadpreviously refusedtoanswer. (b) thatifthewitnesspersistsinrefusing,heorshewill becitedincivilcontemptand,iffoundguilty,maybe connedforthetermofthegrandjury,includingex tensions,orforaperiodofeighteenmonths,oruntil the witness answers the question, whichever occurs rst.Advisethewitnessthatheorshemaybenedin additiontobeingconned. (c) thatifthewitnesshasnotansweredthequestionbe forethetermofthegrandjuryanditsextensionsex pire,oraftereighteenmonthshavepassed,whichever occursrst,thewitnesswillbereleasedfromcustody butmaythenbecitedforcriminalcontemptand,if foundguilty,maybenedorimprisoned;thatifthe witness is found guilty of criminal contempt at a benchtrial,heorshemaybeimprisonedforasmuch as six months; and that if a jury nds the witness guiltyofcriminalcontempt,heorshemaybeimpris onedforaslongasthejudgeinhisorherdiscretion determines.(Ifthewitnessiscurrentlyservinganoth ersentence,advisehimorherthattheconnement for criminal contempt would be in addition to the sentencecurrentlybeingserved.) 4. Returnthewitnesstothegrandjuryroom.89
8 .Thisstepmaybeunnecessaryifthewitnessdeclaresduringthecourtpro 89 ceedingthatheorshewillpersistinrefusingandthatanotheropportunityto answerwouldbepointless.
(March 2000 rev.)
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5. Ifthewitnesspersistsinrefusingtoanswerthequestion beforethegrandjury,havehimorherbroughtbeforethe courtandatthattimeadvisethewitnessthatheorsheis beingcitedforcivilcontempt.Donotsummarilyadjudge thewitnesstobeincontemptpursuanttoFed.R.Crim.P. 42(a).Rather,advisethewitnesswhenandwhereahear ingwillbeheldonthecivilcontemptcitation.Advisethe witnessthatheorshemayberepresentedbycounselat thathearingandthat,ifthewitnesscannotaffordcoun sel,thecourtwillappointanattorney. 6. Iftheevidencewarrants,adjudgethewitnesstobeincivil contemptandorderhimorhercommittedforthetermof thegrandjuryanditsextensions,foreighteenmonths,or untilheorsheanswersthequestion,whicheveroccurs rst.28U.S.C.1826(a). 7. Advisethewitnessthatheorshewillbereleasedassoon asheorshehaspurgedhimselforherselfofcontemptby answeringthequestionandthatthewitnessshouldad visethejaileratonceifheorshedecidestoanswerthe question. 8. Ifthewitnesshasnot purgedhimselforherselfofcivil contemptbeforethetermofthegrandjuryanditsexten sionsexpireoreighteenmonthshavepassed,whichever occursrst,thewitness maybecitedforcriminalcon temptpursuanttoFed.R.Crim.P.42(b). 9. Ifyoudecidetocitethewitnessforcriminalcontempt, advisethewitness whenandwherethehearingwill be held to determine if he or she should be punished for criminal contempt. (Bear in mind that the maximum prisonsentencethatcanbeimposedafterabenchtrialis six months. For a prison sentence of more than six months,theremustbeajurytrial.) 10. Advisethewitnessthatheorshehasarighttoberepre sentedbycounselatthehearingandthatifthewitness cannotaffordcounsel,thecourtwillappointanattorney.
(March 2000 rev.)
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11. Releasethewitnessfromcustody.Ifnecessary,setbailto ensure that the witness appears at the hearing on the criminalcontemptcitation.
Other FJC sources
(March 2000 rev.)
168
5.05 Criminal defendants motion for mistrial

General guidelines
Whenacriminaldefendantmovesforamistrial,thegeneralrule is that retrial is not barred by double jeopardy concerns. See UnitedStatesv.Scott,437U.S.82,9394(1978).However,thereis oneimportantexceptiontothisrule:Retrialisbarredifthemo tionwasprovokedbyintentionalgovernmentmisconduct.
Onlywherethegovernmentalconductinquestionisintended togoadthedefendantintomovingforamistrialmayade fendantraisethebarofdoublejeopardytoasecondtrialafter havingsuccessfullyabortedtherstonhisownmotion. Oregonv.Kennedy,456U.S.667,676(1982).
Thecourtmustndthatthe intent ofthegovernmentwasto deliberatelyprovokeamistrial,notmerelythattheconductwas harassingorinbadfaith.

Prosecutorialconductthatmightbeviewedasharassmentor overreaching,even ifsufcienttojustifyamistrial ondefen dantsmotion,...doesnotbarretrialabsentintentonthepart of the prosecutor to subvert the protections afforded by the DoubleJeopardyClause. Id.at67576.
Notethatmistakeorcarelessnessisnotsufcienttosupporta doublejeopardyclaim.See,e.g.,UnitedStatesv.Johnson,55F.3d 976,978(4thCir.1995); UnitedStatesv.Powell, 982F.2d1422, 1429 (10th Cir. 1992), cert. denied, 508 U.S. 917 (1993). Nor is [n]egligence, even if gross, United States v. Huang, 960 F.2d 1128, 1133 (2d Cir. 1992). Even a deliberate improper act that causesamistrialdoesnotpreventretrialifitwasnotintendedto provokeamistrial.UnitedStatesv.White,914F.2d747,752(6th Cir.1990)(althoughprosecutordeliberatelyattemptedtoelicit fromwitnessevidencethatcourthadruledinadmissible,court found that conduct was motivated by prosecutorial inexperi ence). Ifdefendantmovesforamistrialwithjeopardyattachedonthe specic ground of prosecutorial misconduct, the court should
(March2000rev.)
169
Section5.05:Criminaldefendantsmotionformistrial)
notdenyamistrialonthatgroundandthendeclareamistrial withoutprejudiceoverdefendantsobjectionunlessdefendant consentsorthereismanifestnecessityforamistrial.SeeWest onv.Kernan, 50F.3d633,63638(9thCir.), cert.denied, 116S. Ct.351(1995).SeealsoCoreyv.DistrictCourtofVt.,Unit#1,Rut land Cir., 917 F.2d 88, 9092 (2d Cir. 1990) (retrial prohibited wheredefendantconsentedtomistrialonlyifjeopardyattached butcourtdeclaredmistrialwithoutprejudice).
Multidefendant cases
Ifonlyoneorsomeofthedefendantsmovesuccessfullyformis trial,thecourtshouldgivetheotherdefendantsanopportunity toobject.Unlessthenonmovingdefendantsjointhemotionor acquiescetothedecision,90thecourtshouldsevertheircasesor mustndthattherearegroundstodeclareamistrialforthose defendants,too.See,e.g.,White,914F.2dat75355(conviction mustbevacatedondoublejeopardygroundswheredefendant didnothavesufcientopportunitytoobjecttootherdefendant smistrialmotionatinitialtrial,therecorddidnotindicatehe joinedthemotionorotherwiseconsentedtomistrial,andthere wasnomanifestnecessityfordeclaringamistrialinregardto him). Courtsshouldbeparticularlycarefulinmultidefendantcases wheresomedefendantswouldagreetoamistrialwithprejudice butwouldobjecttomistrialwithoutprejudice.See,e.g.,United Statesv.Huang,960F.2d1128,113436(2dCir.1992)(whereall fourdefendantsmovedformistrial,buttwospecicallymoved formistrialwithprejudiceandobjectedtograntingofmistrial without prejudice, double jeopardy prevented retrial because therewasnomanifestnecessitytodeclaremistrialratherthan severthecasesandproceedwithoriginaltrialforthem).
Other FJC sources
9 .Ifdefendant hasareasonable opportunity to objecttothegranting ofa 90 mistrialbutdoesnot,consenttothemistrialmaybeimplied.See,e.g.,United Statesv.DiPietro,936F.2d6,1011(1stCir.1991).
(March 2000 rev.)
170
Section5.05:Criminaldefendantsmotionformistrial)
(March 2000 rev.)
171
6.01 Trial outline (civil case)

1. Havethecasecalledfortrial. 2. Juryisselected(see6.03:Juryselectioncivil). 3. Givepreliminaryinstructionstothejury(see6.05:Prelimi naryjuryinstructionsincivilcase). 4. Ascertainwhetheranypartywishestoinvoketheruletoex cludefromthecourtroomwitnessesscheduledtotestifyin thecase. 5. Plaintiffscounselmakesopeningstatement. 6. Defensecounselmakesopeningstatement(unlesspermitted toreserve). 7. Plaintiffscounselcallswitnessesfortheplaintiff. 8. Plaintiffrests. 9. Hearappropriatemotions. 10. Defensecounselmakesopeningstatementifheorshehas beenpermittedtoreserve. 11. Defensecounselcallswitnessesforthedefense. 12. Defenserests. 13. Counselcallrebuttalwitnesses. 14. Plaintiffrestsonitsentirecase. 15. Defenserestsonitsentirecase. 16. Considerappropriatemotions. 17. Outofthehearingofthejury,ruleoncounselsrequestsfor instructionsandinform counselastothesubstanceofthe courtscharge.Fed.R.Civ.P.51. 18. Closingargumentsbycounsel. 19. Chargethejury(see6.06:Generalinstructionstojuryatend ofcivilcase).Fed.R.Civ.P.51. 20. Ruleonobjectionstothechargeandmakeanyadditionalap propriatecharge.
(March 2000 rev.)
172
21. Instructthejurytogotothejuryroomandcommenceitsde liberations. 22. Determinewhichexhibitsaretobesenttothejuryroom. 23. Havetheclerkgivetheexhibitsandtheverdictformstothe jury. 24. Recesscourtduringthejurydeliberations. 25. Before responding to any communications from the jury, consultwithcounselontherecord(see6.06:Generalinstruc tionstojuryatendofcivilcase). 26. Ifthejuryfailstoarriveataverdictbeforetheconclusionof therst days deliberations, provide for their overnight se questration or permit them to separate after admonishing themastotheirconductandxingthetimefortheirreturn toresumedeliberations.Provideforsafekeepingofexhibits. 27. Ifthejuryreportsthattheycannotagreeonaverdict,deter mine by questioning whether they are hopelessly dead locked.Donotinquireastothenumericalsplitofthejury.If youareconvincedthatthejuryishopelesslydeadlocked,de clareamistrial.Ifyouarenotsoconvinced,directthemtore sumetheirdeliberations. 28. Whenthejuryhasagreedonaverdict,reconvenecourtand taketheverdict(see6.07:Verdictcivil). 29. Pollthejuryontherequestofeitherparty. 30. Thankanddischargethejury. 31. Enterjudgmentupontheverdict.Fed.R.Civ.P.58. 32. Fixatimeforposttrialmotions. 33. Adjournorrecesscourt.
Other FJC sources
ManualforLitigationManagementandCostandDelayReduc tion4147(1992) ManualforComplexLitigation,Third12763(1995)
(March 2000 rev.)
173
6.02 Findings of fact and conclusions of law in civil cases and motions
A. WhenRequired 1. Fed.R.Civ.P.52(a) (a) Inallcasestriedwithoutajuryorwithanadvisory jury,thecourtshallndthefactsspeciallyandstate separatelyitsconclusionsoflawthereon. (b) Ingrantingorrefusinginterlocutoryinjunctions, the courtshallsimilarlysetforththendingsoffactand conclusionsoflawwhichconstitutethegroundsofits action." Note:ThisisinadditiontotherequirementsofFed.R. Civ.P.65(d),whichrequiresthat[e]veryordergrant inganinjunctionandeveryrestrainingordershallset forththereasonsforitsissuance;shallbespecicin terms;shalldescribeinreasonabledetail,andnotby referencetothecomplaintorotherdocument,theact oractssoughttoberestrained. 2. Fed.R.Civ.P.52(c)JudgmentonPartialFindings If during a trial without a jury a party has been fully heardwithrespecttoanissueandthecourtndsagainst thepartyonthatissue,thecourtmayenterjudgmentasa matteroflawagainstthatparty[onthatissue]....Such judgmentshallbesupportedbyndingsoffactandcon clusionsoflawasrequiredbysubdivision(a)ofthisrule. 3. Fed.R.Civ.P.41(a)(2)VoluntaryDismissal
(March2000rev.)
174
Section6.02:Findingsoffactandconclusionsoflawincivilmotions
Plaintiffs motion for voluntary dismissal shall not be granted save upon order of the court and upon such termsandconditionsasthecourtdeemsproper. B. Notrequired: Onanymotions(otherthanunderFed.R.Civ.P.52(c)). Fed.R.Civ.P.52(a)statesthatndingsoffactandcon clusionsoflawareunnecessaryondecisionsofmotions underRules12or56oranyothermotionexceptaspro videdinsubdivision(c)ofthisrule. Fed.R.Civ.P.12coversinstanceswhendefensesand objectionstothepleadingsaremadeandhowtheyare presentedbypleadingormotion.Fed.R.Civ.P.12(c) pertainstoamotionforjudgmentonthepleadingsand referstoFed.R.Civ.P.56,whichcoverssummaryjudg ment. The exemption of motions, particularly those under Fed.R.Civ.P.12and56,fromtherequirementofmaking ndingsandconclusionsmeansthatmostmotionsthat areledcanbedisposedofbysimplystatinggrantedor denied. Note:Somecircuitcourtspreferndingsandconclusions ondispositivemotions,particularlyonmotionsforsum maryjudgment,andmayvacateandremandordersifthe districtcourtfailstoprovideanyreasoningontherecord foritsdecision.Judgesshouldbeawarethatcircuitlaw mayrequire,orstronglyurge,detailedndingsonsome motions.91 C. Formandsubstance 1. Noparticularformatisrequiredifanopinionormemo randumisled.
9 . See,e.g., Brewster of Lynchburg, Inc. v. DialCorp., 33F.3d 355(4th Cir. 91 1994);Pasquinov.Prather,13F.3d1049(7thCir.1994);Thomasv.N.A.Chase ManhattanBank,994F.2d236,241n.6(5thCir.1993);TelectronicsPacingSys temsv.Ventritex,Inc.,982F.2d1520,152627(Fed.Cir.1992);UnitedStatesv. Woods,885F.2d352(6thCir.1989);Clayv.Equifax,Inc.,762F.2d952(11th Cir.1985).
(March 2000 rev.)
175
Itwillbesufcientifthendingsoffactandconclusions oflaw...appearinanopinionormemorandumofdeci sionledbythecourt.Fed.R.Civ.P.52(a).Amemoran dumthatcontainsonlyalistofndingsandconclusions is adequate. The ndings and conclusions need not be listedseparatelyinanopinion. 2. Fromthebench Itwillbesufcientifthendingsoffactandconclusions oflawarestatedorallyandrecordedinopencourtfol lowingthecloseoftheevidence....Fed.R.Civ.P.52(a). Itisalwaysquickerandsometimesjustaseasytomake thendingsandconclusionsfromthebenchattheendof thecaseasitistotakethematterundersubmission.Be surethattheyareputintherecord. 3. Requestedndingsandconclusionssubmittedby counsel Unlike in some state courts, specically adopting or denyingtherequestedndingsandconclusionssubmit tedbycounselisnotnecessary.Somecourtsofappeals look with a jaundiced eye on district court ndings or conclusionsthatfollowcounselsrequestsverbatim. 4. Stipulations Stipulationsbycounselastothefactsarealwayshelpful. Unlikerequests,theyshouldbeusedverbatim.Counsel, ofcourse,cannotstipulateastotheapplicablelaw.They canonlysuggest. 5. Lengthandstyleofopinion Thiscanbeleftonlytotheindividualjudge,butfromthe viewpointofanappellatecourt,therearecertainbasics: (a) Jurisdiction. Thisiselementary,butsometimesover looked.Thestatutorybasisshouldbestated. (b) Theissues. Itishelpfuliftheissuesarestatedatthe beginningoftheopinion. (c) Credibilityndings. Thesearetheexclusiveprovince ofthedistrictcourt.Theyshouldbeclearlystated.If youdonotbelieveawitness,sayso.
(March 2000 rev.)
176
(d) Thefacts. Ifyouhaveatranscript,refertothepages thatcontaintheevidenceonwhichyourely.Ifthereis notranscriptandyouropinionisbasedonyourtrial notes,sayso.Someappellatecourtsforget thatdis trictcourtjudgesdonotalwayshavethebenetofa writtenrecord. (e) Thelaw.Therearethreebasicsituationsthatyouwill face:
(i) thelawiswellsettled; (ii) thelawisunsettled;or (iii) thereisnoapplicablelawthecaseisoneofrstim pression.
Therstsituationposesnoproblem;thesecondand thirdmaycreateafearofreversalsyndrome.Donot worryaboutwhetheryoumaybereversed.Nojudge hasbeenimpeachedforhavingbeenreversed.Geton withtheopinionanddothebestyoucan.Thecourtof appealsortheSupremeCourtisgoingtohavethelast wordanyhow. Besurethatsomeonechecksthesubsequenthistory ofthecases.Itisnotasintobeoverruledexceptfor relyingonacasethatwasoverruled.
Other FJC sources
ManualforComplexLitigation,Third16162(1995) ManualforLitigationManagementandCostandDelayReduc tion(1992),SampleForm34,GuidelinesforProposedFind ingsofFactandConclusionsofLaw,at303
(March 2000 rev.)
177
6.03 Jury selectioncivil

TheBenchbookCommitteerecognizesthatthereisnouniform recommendedprocedureforselectingjurorstoserveincriminal orcivilcasesandthattrialjudgeswilldevelopthepatternsor proceduresmostappropriatefortheirdistrictsandtheircourts. Section6.04,however,providesanoutlineofstandardvoirdire questions.Forasamplejurorquestionnaire,seeSampleForm37 onpage317oftheManualforLitigationManagementandCost andDelayReduction(FederalJudicialCenter1992). The 1982 Federal Judicial Center publication Jury Selection ProceduresinUnitedStatesDistrictCourts,byGordonBermant, contains a detailed discussion of several different methods of juryselection.TheCentersendsthispublicationtoallnewdis trictandmagistratejudges.Copiesarealsoavailableonrequest. Seealsothesectiononjuryselectionandcomposition(pp.580 82)inJudgeWilliamWSchwarzersarticleReformingJuryTri alsinvolume132ofFederalRulesDecisions(1990). Judgesshouldbeawareofthecases,beginningwithBatsonv. Kentucky, 476 U.S. 79 (1986), that prohibit peremptory chal lengesbasedonrace.InEdmonsonv.LeesvilleConcreteCo.,500 U.S.614(1991),theSupremeCourtextendedBatsontoprohibit privatelitigantsincivilcasesfromusingperemptorychallenges toexcludejurorsonaccountofrace.Peremptorystrikesonthe basisofgenderarealsoprohibited.J.E.B.v.Alabamaexrel.T.B., 114S.Ct.1419(1994). The Supreme Court has left it to the trial courts to develop rulesof procedure and evidence for implementing these deci sions.Ithas,however,setoutathreestepinquiryforresolvinga
(March2000rev.)
178
Batson challenge(see Purkettv.Elem, 115S.Ct.1769,177071 (1995): 1. Theopponentofaperemptorychallengemustmakeout aprimafaciecaseofdiscrimination. 2. Theburdenofproductionthenshiftstotheproponentof thestriketocomeforwardwithanondiscriminatory(i.e., raceandgenderneutral)explanationofthestrike. 3. Trialcourtmustthendecidewhethertheopponentofthe strikehasprovedpurposefuldiscrimination. TheBenchbookCommitteesuggeststhatjudges: conducttheaboveinquiryontherecordbutoutsideof thejuryshearing,toavoidtaintingthevenirebydis cussionsofrace,gender,or othercharacteristicsofpo tentialjurors;and
useamethodofjuryselectionwhichrequireslitigantsto exercisechallengesatsidebarorotherwiseoutsideofthe jurorshearingandinwhichnoveniremembersaredis misseduntilallofthechallengeshavebeenexercised.See JurySelectionProceduresinUnitedStatesDistrictCourts, infra. Inthisway,jurorsareneverawareofBatsondiscussionsorargu mentsaboutchallenges,andthereforecandrawnoadversein ferences by being temporarily dismissed from the venire and thenrecalled.
Other FJC sources
ManualforLitigationManagementandCostandDelayReduc tion4142(1992) ManualforComplexLitigation,Third14649(1995) Forasummaryofproceduresthatcourtsdevelopedforcriminal casesinthersttwoyearsafterBatson,seeBenchComment, 1988,Nos.3&4 For a discussion of voir dire practices in light of Batson, see ChamberstoChambers,Vol.5,No.2(1987)
(March 2000 rev.)
179
NOTE SeealsoManualforLit igationManagement andCostandDelay Reduction(FederalJu dicialCenter1992), SampleForm40at 325,foradditionalju dicialcolloquywith thejury,includingad monitionsandgeneral instructions.
6.04 Standard voir dire questions civil

Fed.R.Civ.P.47(a)providesthatthecourtmaypermitthepartiesor their attorneys to conduct the examination of prospective jurors or mayitselfconducttheexamination.Thefollowingoutlineforanini tialindepthvoirdireexaminationoftheentirepanelbythecourtas sumesthat:
1. if there are afrmative responses to any questions, fol lowup questions will be addressed to the juror(s) (at sidebar,ifsuchquestionsconcernprivateorpotentially embarrassingmatters); 2. the court and counsel have been furnished with the name,address,age,andoccupationofeachprospective juror.
Ifthecourtconductstheentireexamination,itshouldrequirecoun seltosubmitproposed voir direquestions beforetrial topermitthe courttoincorporateadditionalquestionsattheappropriateplacesin thisoutline.
1. Havethejurypanelsworn. 2. Explaintothejurypanelthatthepurposeofthevoirdire examinationis: (a) toenablethecourttodeterminewhetherornotany prospectivejurorshouldbeexcusedforcause; (b) toenablecounselforthepartiestoexercisetheirindi vidual judgment with respect to peremptory chal lengesthatis,challengesforwhichcounselneednot giveareason.
(March2000rev.)
180
Section6.04:Standardvoirdirequestionscivil
3. Indicatethatthecaseisexpectedtotake___daystotry, and ask if this fact presents a special problem to any memberofthepanel. 4. Brieydescribethecasethatisabouttobetried. 5. Askifanymemberofthepanelhasheardorreadany thingaboutthecase. 6. Introduce counsel (or have counsel introduce them selves)andaskifanymemberofthepanelorhisorher immediatefamilyknows or has hadanybusinessdeal ingswithanyofthecounselortheirlawrms. 7. Introducetheparties(orhavecounselintroduceparties) andaskifanymemberofthepanelorhisorherimmedi atefamily (a) (b) (c) (d) (e) ispersonallyacquaintedwith, isrelatedto, hashadbusinessdealingswith, iscurrentlyorwasformerlyemployedby, has had any other relationship or business connec tionwith,or (f) isastockholderof anypartyinthecase. 8. Introduceoridentifybyname,address,andoccupation allprospectivewitnesses(orhavecounseldoso).Askif anymemberofthepanelknowsanyoftheprospective witnesses. 9. Askprospectivejurors:
(a) Have you ever served as a juror in a criminal or a civil case or as a member of a grand jury in either a federal or state court? (b) Have you or has anyone in your immediate family ever participated in a lawsuit as a party or in any other capacity? (c) If you are selected to sit on this case, will you be able to render a verdict solely on the evidence pre-
(March 2000 rev.)
181
Section6.04:Standardvoirdirequestionscivil sented at the trial and in the context of the law as I will give it to you in my instructions, disregarding any other ideas, notions, or beliefs about the law that you may have encountered in reaching your verdict? (d) Is there any member of the panel who has any special disability or problem that would make serving as a member of the jury difcult or impossible? (e) [Atthispoint,ifthecourtisconductingtheentireex
amination,askthosequestionssubmittedbycounsel thatyoufeelshouldbepropounded.Ifthequestions elicitafrmativeresponses,askappropriatefollowup questions.]

(f) Having heard the questions put to you by the court, does any other reason suggest itself to you as to why you could not sit on this jury and render a fair verdict based on the evidence presented to you and in the context of the courts instructions to you on the law?
10.(a) Ifappropriate,permitcounseltoconductadditional directvoirdireexamination,subjecttosuchtimeand subjectmatterlimitationsasthecourtdeemsproper; or (b) Directcounseltocometothebench,andconsultwith themastowhetheranyadditionalquestionsshould havebeenaskedorwhetheranywereoverlooked.

Other FJC sources
(March 2000 rev.)
182
6.05 Preliminary jury instructions in civil case
Introductory note
Thesesuggestedinstructionsaredesignedtobegivenfollowing theswearingofthejury.Theyaregeneralandmayrequiremod icationinlightofthenatureoftheparticularcase.Theyarein tendedtogivethejury,brieyandinunderstandablelanguage, informationtomakethetrialmoremeaningful.Otherinstruc tions,suchasexplanationsofdepositions,interrogatories,and thehearsayrule,maybegivenatappropriatepointsduringthe trial.

Members of the jury: Now that you have been sworn, I will give you some preliminary instructions to guide you in your participation in the trial. Duty of the jury It will be your duty to nd from the evidence what the facts are. You and you alone will be the judges of the facts. You will then have to apply to those facts the law as the court will give it to you. You must follow that law whether you agree with it or not. Nothing the court may say or do during the course of the trial is intended to indicate, or should be taken by you as indicating, what your verdict should be. Evidence The evidence from which you will nd the facts will consist of the testimony of witnesses, documents and
(March2000rev.)
183
Section6.05:Preliminaryinstructionsinjurycase other things received into the record as exhibits, and any facts that the lawyers agree to or stipulate to or that the court may instruct you to nd. Certain things are not evidence and must not be considered by you. I will list them for you now: 1. Statements, arguments, and questions by lawyers are not evidence. 2. Objections to questions are not evidence. Lawyers have an obligation to their clients to make objections when they believe evidence being offered is improper under the rules of evidence. You should not be inuenced by the objection or by the courts ruling on it. If the objection is sustained, ignore the question. If it is overruled, treat the answer like any other. If you are instructed that some item of evidence is received for a limited purpose only, you must follow that instruction. 3. Testimony that the court has excluded or told you to disregard is not evidence and must not be considered. 4. Anything you may have seen or heard outside the courtroom is not evidence and must be disregarded. You are to decide the case solely on the evidence presented here in the courtroom. There are two kinds of evidence: direct and circumstantial. Direct evidence is direct proof of a fact, such as testimony of an eyewitness. Circumstantial evidence is proof of facts from which you may infer or conclude that other facts exist. I will give you further instructions on these as well as other matters at the end of the case, but keep in mind that you may consider both kinds of evidence. It will be up to you to decide which witnesses to believe, which witnesses not to believe, and how much of any witnesss testimony to accept or reject. I will give you some guidelines for determining the credibility of witnesses at the end of the case.
(March 2000 rev.)
184
Section6.05:Preliminaryinstructionsinjurycase
NOTE Asummaryoftheele mentsmaynotbeap propriateinsomecas es.
Burden of proof This is a civil case. The plaintiff has the burden of proving his [her] case by what is called the preponderance of the evidence. That means the plaintiff has to produce evidence which, considered in the light of all the facts, leads you to believe that what the plaintiff claims is more likely true than not. To put it differently, if you were to put the plaintiffs and the defendants evidence on opposite sides of the scales, the plaintiff would have to make the scales tip somewhat on his [her] side. If the plaintiff fails to meet this burden, the verdict must be for the defendant. Those of you who have sat on criminal cases will have heard of proof beyond a reasonable doubt. That requirement does not apply to a civil case; therefore, you should put it out of your mind. Summary of applicable law In this case, the plaintiff claims that ___________; the defendant claims that ___________. I will give you detailed instructions on the law at the end of the case, and those instructions will control your deliberations and decision. But in order to help you follow the evidence, I will now give you a brief summary of the elements which plaintiff must prove to make his [her] case: [heresum
marizetheelements].
Conduct of the jury Now, a few words about your conduct as jurors. First, I instruct you that during the trial you are not to discuss the case with anyone or permit anyone to discuss it with you. Until you retire to the jury room at the end of the case to deliberate on your verdict, you simply are not to talk about this case. Second, do not read or listen to anything touching on this case in any way. If anyone should try to talk to you about it, bring it to the courts attention promptly. Third, do not try to do any research or make any investigation about the case on your own.
(March 2000 rev.)
185
NOTE Somejudgesmaywish togivesomeinstruc tionsbeforeclosingar guments.SeeFed.R. Civ.P.51.
Section6.05:Preliminaryinstructionsinjurycase Finally, do not form any opinion until all the evidence is in. Keep an open mind until you start your deliberations at the end of the case.
[Ifthecourtdeterminestoallownotetaking,add:]
If you wish, you may take notes. But if you do, leave them in the jury room when you leave at night. And remember that they are for your own personal use. Course of the trial The trial will now begin. First, each side may make an opening statement. An opening statement is neither evidence nor argument; it is an outline of what that party intends to prove, offered to help you follow the evidence. Next, the plaintiff will present his [her] witnesses, and the defendant may cross-examine them. Then the defendant will present his [her] witnesses, and the plaintiff may cross-examine them. After that, the attorneys will make their closing arguments to summarize and interpret the evidence for you, and the court will give you instructions on the law. You will then retire to deliberate on your verdict. Other FJC sources
(March 2000 rev.)
186
6.06 General instructions to jury at end of civil case

Introductory note
Fed.R.Civ.P.51outlinestheprocedureforthesubmissionand considerationofrequestsbythepartiesforspecicjuryinstruc tions.Itrequires: 1. thatthecourtinformcounselbeforeclosingargumentsof itsproposed action upon theinstructions requested by counsel; 2. thatthecourtgivecounseladequateopportunityoutside thepresenceofthejurytoobjecttothecourtsinstruc tions. Thereisnoprescribedmethodforthecourttosettleonitsnal set of instructions. Some courts hold an ontherecord charge conferencewithcounselduringtrial.Atthatconferencetheten deredinstructionsarediscussedandareaccepted,rejected,or modiedbythecourt. Othercourts,withoutholdingachargeconference,preparea set of proposed instructions from those tendered by counsel. Thesecourtsthengiveacopyoftheproposedinstructionstoall counselandpermitcounseltotakeexceptiontotheinstructions. Thereafter,thecourtmayreviseitsinstructionsifconvincedby counselintheirobjectionsthattheinstructionsshouldbemod ied. Stillothercourtsrequirecounseltoconferduringtrialandto agree,totheextentthattheycan,ontheinstructionsthatshould begiven.Thecourtthenconsidersonlythoseinstructionsupon whichthepartiescannotagree.
(March2000rev.)
187
Section6.06:Generalinstructionstojuryatendofcivilcase
Thecourtmay,ofcourse,giveaninstructiontothejurythat neitherpartyhastendered. Whilethecourtisfreetoignoretenderedinstructionsandto instructthejurysuasponte,theusualpracticeisforthecourtto formulate the nal instructions with the assistance of counsel andprincipallyfromtheinstructionscounseltendered. Localpracticevariesastowhether awrittencopyofthein structions is given to the jury for use during its deliberations. Manyjudgesalwaysgivethejuryawrittencopyoftheinstruc tions. Some courts have the instructions recorded as they are givenincourtandpermitthejurytoplaythembackinthejury room.Somecourtsdoneitherbutwillrepeatsomeorallofthe instructionsinresponsetoarequestfromthejury.
Outline of instructions
Instructionsdeliveredattheendofatrialconsistofthreeparts: Instructionsongeneralrulesthatdeneandcontrolthejurys duties;statementofrulesoflawthatthejurymustapply;and rulesandguidelinesforjurydeliberationandreturnofverdict. A. Generalrules 1. Outlinethedutyofthejury: (a) tondfactsfromadmittedevidence; (b) toapplylawasgivenbythecourttothefactsasfound bythejury; (c) todecidethecaseontheevidenceandthelawregard lessofpersonalopinionsandwithoutbias,prejudice, orsympathy. 2. Discussburdenofproofinciviltrialsandexplainhow itdiffersfromcriminaltrials. 3. Indicatetheevidencetobeconsidered: (a) sworntestimonyofwitnesses; (b) exhibits; (c) stipulations; (d) factsjudiciallynoticed. 4. Indicatewhatisnotevidence: (a) argumentsandstatementsofcounsel;
(March 2000 rev.)
188
Section6.06:Generalinstructionstojuryatendofcivilcase
(b) questionstowitnesses; (c) evidenceexcludedbyrulingsofthecourt. B. Delineatewithprecisionandwithspecicconsiderationof thelawofyourcircuiteachclaimanddefenseoftheparties thatistobesubmittedtothejuryfortheirconsideration. C. Closinginstructions 1. Selectionanddutyoftheforeperson; 2. Processofjurydeliberation: (a) rational discussion of evidence by all jurors for the purposeofreachingaunanimousverdict; (b) eachjurortodecidecaseforhimselforherselfinthe contextoftheevidenceandthelaw,withpropercon siderationofotherjurorsviews; (c) reconsiderviewsifpersuadedbyrationaldiscussion butnotsolelyforthesakeofreachingaunanimous verdict. 3. Absentastipulation,theverdictmustbeunanimouson theissuesubmitted(Fed.R.Civ.P.48). 4. Explainverdictformifused.92 5. Jurycommunicationswiththecourtduringdeliberations mustbeinwritingandsignedbytheforeperson. 6. Jurymustnotdisclosehowitstandsnumericallyoroth erwiseonissuessubmitted. D. Considerprovidingthejurywithawrittencopyortranscript ofthejuryinstructions.
Other FJC sources
9 .Considerwhethertouseaspecialverdict(Fed.R.Civ.P.49).Itcanbea 92 usefuldevicetoreducetheriskofhavingtoretrytheentirecase.
(March 2000 rev.)
189
6.07 Verdictcivil
A. Receptionofunsealedverdict 1. Upon announcement by the jury that it has reached a verdict,haveallinterestedpartiesconveneinopencourt toreceivetheverdict. 2. Whencourtisconvened,announcethatthejuryisready toreturnitsverdict(s),andinstructthedeputymarshal (orbailiff)tohavethejuryenterandassumetheirseatsin thejurybox. 3. Ifnotalreadyknown,inquireofthejurywhospeaksasits foreperson. 4. Ask the foreperson if the jury has unanimously agreed uponitsverdict.(Note: Iftheresponseisanythingother thananunqualiedyes,thejuryshouldbereturnedwith outfurtherinquirytocontinueitsdeliberations.) 5. Instructtheforepersontohandtheverdictform(s)tothe clerktobedeliveredtoyouforinspectionbeforepublica tion. 6. Inspecttheverdict(s)toensureregularityofform.(Note: Iftheverdictform(s)is(are)notproperlycompleted,take appropriatecorrectiveactionbeforepublication.) 7. Explaintothejurythattheirverdict(s)willnowbepub lishedthatis,readaloudinopencourt. 8. Instructthejurytopaycloseattentionastheverdict(s)is (are)published;andexplainthat,followingpublication, thejurymaybepolledthateachjurormaybeasked,
(March2000rev.)
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Section6.07:Verdictcivil
individually,whethertheverdict(s)aspublishedconsti tutedhisorherindividualverdict(s)inallrespects. 9. Publishtheverdict(s)byreadingit(them)aloud (orby havingtheclerkdoso). 10. Uponrequestofanyparty,pollthejurybyasking(orby havingtheclerkask)eachindividual juror,bynameor number,whethertheverdict(s)aspublishedconstituted hisorherindividualverdict(s)inallrespects. 11. Ifpollingveriesunanimity,directtheclerktoleand recordtheverdict,anddischargethejurywithappropri ateinstructionsconcerningtheirfutureservice,ifany. 12. Ifpollingresultsinanydoubtastounanimity,orifthere are inconsistent answers to a special verdict, make no furtherinquiryandhavenofurtherdiscussionswiththe jury;rather,conferprivatelywithcounselanddetermine whetherthejuryshouldbereturnedforfurtherdelibera tionsoramistrialshouldbedeclared. B. Receptionofasealedverdict (Note:Onsomeoccasionsanindispensablepartymaynotbe available to receive a verdict when the jury reaches agree ment.Insuchcasesasealedverdictmaybedeliveredtothe clerk for subsequent reception and publication in open courtwhenthejury,thejudge,andallnecessarypartiesare present.) 1. Upon announcement by the jury that it has reached a verdict,haveallinterestedandavailablepartiesconvene inopencourtandontherecord. 2. Whencourtisthusconvened,announcethatthejuryis ready to return its verdict(s), and explain that a sealed verdict will be taken in accordance with the following procedure: (a) Instructthedeputymarshal(orbailiff)toushertheju rorsintothecourtroomtoassumetheirseatsinthe jurybox. (b) Ifnotalreadyknown,inquireofthejurywhospeaks asitsforeperson.
(March 2000 rev.)
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(c) Inquireoftheforepersonwhetherthejuryhasunani mouslyagreeduponitsverdict.(Note:Iftheresponse is anything other than an unqualied yes, the jury shouldbereturnedwithoutfurtherinquirytocontin ueitsdeliberations.) (d) Explaintothejurythatasealedverdictwillbetaken, andfurtherexplainwhythatprocedurehasbecome necessaryinthecase. (e) Pollthejuryontherecord. (f) Direct the clerk to hand a suitable envelope to the foreperson.Instructtheforepersontoplacethever dict form(s) in the envelope, to seal the envelope, thentohandittotheclerkforsafekeeping. (g) Recesstheproceedings,instructingthejuryandallin terestedpartiestoreturnataxedtimefortheopen ingandformalreceptionoftheverdict.Instructthat, intheinterim,nomemberofthejuryshouldhaveany conversation with any other person, including any otherjuror,concerningtheverdictoranyotheraspect ofthecase. (h) When court is again convened for reception of the verdict,havetheclerkhandthesealedenvelopetothe juryforeperson. (i) Instructtheforepersontoopentheenvelopeandver ify that the contents consist of the jurys verdict form(s) without modication or alteration of any kind. (j) Followthestepsorproceduresoutlinedinparagraphs A.5throughA.12.
Bibliography on polling the jury
NOTE Intheeventthejury willnotbepresentat theopeningofthever dict,itisrecommend edthateachjurorsign theverdictform(s).
Wright&Miller,FederalPracticeandProcedure,Civil,2504 MooresFederalPractice49.07(2ded.) Humphriesv.DistrictofColumbia,174U.S.190(1899) Castleberryv.NRMCorp.,470F.2d1113(10thCir.1972)
(March 2000 rev.)
192
Other FJC sources
(March 2000 rev.)
193
6.08 Referrals to magistrate judges (civil matters)

Listed below are duties in civil matters covered in Section 2 of the Benchbook that may be referred to magistrate judges. Most districts have local rules or standing orders governing referrals to magistrate judges.
For a more comprehensive listing of the duties magistrate judgesmayperform,seethe InventoryofUnitedStatesMagis trateJudgeDuties, preparedbythestaffoftheJudicialConfer enceCommitteeontheAdministrationoftheMagistrateJudges System(February1995).Thisinventoryisavailableonrequest from the Administrative Ofce of the U.S. Courts and is also foundatChapter3,Jurisdiction,oftheLegalManualforUnit ed States Magistrate Judges, prepared by the Administrative Ofce. Amagistratejudgemayconduct: 1. Allphasesofacivilcasewiththewrittenconsentofthe parties.28U.S.C.636(c)(1);Fed.R.Civ.P.73.Appealis tothecourtofappeals,asinanyothercivilcase.28U.S.C. 636(c)(3);Fed.R.Civ.P.73(c).Seegenerally5.01:Trial outline(civilcase).93 2. Pretrialmatters: (a) A magistrate judge may conduct a Rule 16 pretrial conference and hear and determine nondispositive pretrial matters such as discovery disputes and re
9 . For an illustrative consent form and order of reference to a magistrate 93 judge,seeManualforLitigationManagementandCostandDelayReduction (FederalJudicialCenter1992),SampleForm42at335.
(March2000rev.)
194
questsforbifurcationorconsolidation.Upontimely objection by a party, a district court shall consider suchobjectionsandmodifyorsetasideanyportionof themagistratejudgesorderfoundtobeclearlyerro neousorcontrarytolaw.28U.S.C.636(b)(1)(A);Fed. R.Civ.P.72(a). (b) Amagistratejudgemayhearandsubmittothedis trictcourtproposedndingsoffactandrecommend eddeterminationsofdispositivepretrialmatterssuch assummaryjudgmentmotions.Adistrictcourtmust make a de novo determination of those portions of proposed ndings and recommendations to which thepartiesobject.28U.S.C.636(b)(1);Fed.R.Civ.P. 72(b). Seegenerally5.01:Trialoutline(civilcase).94 3. Voir dire, if the parties consent. 28 U.S.C. 636(c)(1); Stocklerv.Garratt,974F.2d730(6thCir.1992);Olympia Hotels Corp. v. Johnson Wax Dev. Corp., 908 F.2d 1363 (7thCir.1990).See6.04:Standardvoirdirequestions civil. 4. [A]dditional duties [that]are not inconsistent with the Constitution and laws of the United States. 28 U.S.C. 636(b)(3). For examples of additional duties and case law on 636(b)(3), see the Inventory of United States MagistrateJudgeDutiesat88109.
Other FJC sources
ManualforLitigationManagementandCostandDelayReduc tion5154(1992)
9 .Foranexampleofanorderofreferencetoamagistratejudge,seeManual 94 for Litigation Management and Cost and Delay Reduction (Federal Judicial Center1992),SampleForm43at337.
(March 2000 rev.)
195
7.01 Contemptcriminal
Background
Thepurpose,procedure,andpenaltyforcriminalcontemptdif fer from those for civil contempt. It is essential that the trial judgemakeclearontherecordwhethertheproceedingisforciv ilorcriminalcontempt. Thepurposeofcriminalcontemptistopunishapersonfora pastactofcontempt.Criminalcontempthasthecharacteristics ofacrime,andthecontemnoriscloakedwiththesafeguardsof oneaccusedofacrime.Thepurposeofcivilcontemptistocom pelsomeonetodoornotdoacertainact. Caselawmakesclearthatthecontemptpowerisonetobeex ercised with the greatest restraint and that, in exercising that power,acourtshouldexertonlythepowerneededtoachieve thedesiredend.
Controlling statute and rule
18U.S.C.401isthecontrollingstatuteforcriminalcontempt.It providesasfollows: AcourtoftheUnitedStatesshallhavepowertopunishby neorimprisonment,atitsdiscretion,suchcontemptofits authority,andnoneother,as (1) Misbehaviorofanypersoninitspresenceorsonear theretoastoobstructtheadministrationofjustice; (2) Misbehaviorofanyofitsofcersintheirofcialtrans actions; (3) Disobedienceorresistancetoitslawfulwrit,process, order,rule,decree,orcommand.
(March2000rev.)
196
Section7.01:Contemptcriminal
TheapplicableruleofprocedureisFed.R.Crim.P.42.That ruleprovidesasfollows: (a) SummaryDisposition.Acriminalcontemptmaybepun ishedsummarilyifthejudgecertiesthatthejudgesaw orheardtheconductconstitutingthecontemptandthat itwascommittedintheactualpresenceofthecourt.The order of contempt shall recite the facts and shall be signedbythejudgeandenteredofrecord. (b) Disposition Upon Notice and Hearing. A criminal con temptexceptasprovidedinsubdivision(a)ofthisrule shallbeprosecutedonnotice.Thenoticeshallstatethe timeandplaceofhearing,allowingareasonabletimefor thepreparationofthedefense,andshallstatetheessen tialfactsconstitutingthecriminalcontemptchargedand describeitassuch.Thenoticeshallbegivenorallybythe judgeinopencourtinthepresenceofthedefendantor, onapplicationoftheUnitedStatesattorneyorofanat torneyappointedbythecourtforthatpurpose,byanor dertoshowcauseoranorderofarrest.Thedefendantis entitledtoatrialbyjuryinanycaseinwhichanactof Congresssoprovides.Thedefendantisentitledtoadmis sion to bail asprovided intheserules.If the contempt chargedinvolvesdisrespecttoorcriticismofajudge,that judgeisdisqualiedfrompresidingatthetrialorhearing exceptwiththedefendantsconsent.Uponaverdictor ndingofguiltthecourtshallenteranorderxingthe punishment.
Criminal contempt procedures
Fed.R.Crim.P.42prescribestwodifferentprocedures,depend ing on whether or not the judge personally observes the con temptuousconductandwhetherornotimmediateactionisre quired.
Procedure when contemptuous conduct is personally observed by the court and immediate action is required
Whenyouseeorhearcontemptuousconduct,youmaybutare notcompelledtoproceedunderFed.R.Crim.P.42(a).
(March 2000 rev.)
197
Thissummaryprocedureisappropriateonlywhenimmediate actionisneeded.Itisreservedforconductthatactuallydisrupts orobstructscourtproceedingsandforsituationsinwhichim mediateactionisnecessarytorestorethecourtsauthority.The conductmustbemoreagrantthanmeredisrespecttothejudge oranaffronttothejudgessenseofdignity.95 Iftheconduct(suchasshoutinginthecourtroom)doesinter ferewithcourtproceedings,proceedasfollows: 1. First,warnthepersonthatifarepetitionoccursheorshe mayberemovedfromthecourtroomormaybefoundin criminalcontempt. 2. If marshals are not already in the courtroom, summon them,sothattheywillbepresentifthedisruptivecon ductisrepeated. 3. Iftheoffenderrepeatsthedisruptiveconduct,orderhim orherremovedfromthecourtroom. 4. Iftheconductissodisruptivethatremovingtheoffender isinadequatetoreestablishtheauthorityanddignityof the court, follow the Fed. R. Crim. P. 42(a) procedure. (Note: In summary proceedings under Rule 42(a), the court mayimpose a sentence that does not exceedthe punishmentauthorizedforapettyoffense,i.e.,imprison mentofnomorethansixmonthsoraneofnomore than$5,000ifthecontemnorisanindividual,$10,000if thecontemnorisanorganization.Ifmoreseverepunish mentseemsappropriate,thecourtmustproceedbyno ticeunderRule42(b)andaccordthecontemnortheright to a jury trial. (Contempt nes exceeding the petty of fenselimitonorganizationshavebeenimposedwithout therighttoajurytrial.See Munizv.Hoffman, 422U.S. 454(1975); UnitedStatesv.TwentiethCenturyFoxFilm Corp.,882F.2d656(2dCir.1989),cert.denied,110S.Ct. 722(1990); UnitedStatesv.TroxlerHosieryCo., 681F.2d
9 .Summaryproceduremayalsobeappropriatewhenanalreadyimprisoned 95 witnessrefusestotestifyduringacriminaltrialdespiteagrantofimmunity. SeeUnitedStatesv.Wilson,421U.S.309(1975).
(March 2000 rev.)
198
934(4thCir.1982).Thesecases,however,didnotinvolve summaryproceedingsunderRule42(a).)) 5. Beforeproceeding,besurethatanadequatenumberof marshalsisinthecourtroom. 6. Retire the jury. Have the offender brought before you. (The offender is not entitled to counsel in a summary proceeding.) 7. Advisetheoffenderthatyouintendtondhimorherin criminalcontemptforobstructingtheadministrationof justicebyreasonof(heredescribetheconduct). 8. Asktheoffenderifheorshewouldcaretosayanythingin mitigation. 9. Afterhearingtheoffenderout,imposesentenceinwords tothiseffect:
I nd you in criminal contempt for so conducting yourself in this courtroom that you obstructed the administration of justice. The conduct for which I nd you in criminal contempt was [here describe the conduct ob servedbyyou]. I sentence you to ____ hour(s) [day(s)] in jail [or I ne you $____] for that conduct. [In criminal contemptyoucannotbothimprisonandne.]The serving of this sentence shall commence at once [ or shall commence at the conclusion of this trial].
(a) Nosentencingguidelinehasbeenprescribedforcon temptbecauseofthevarietyofbehaviorscovered.See U.S.S.G.2J1.1,ApplicationNote.Intheabsenceofa guideline,thecourtistoimposeanappropriatesen tence,havingdueregardforthepurposessetforthin [18U.S.C.3553(a)(2),]...fortherelationshipofthe sentenceimposedtosentencesprescribedbyguide linesapplicabletosimilaroffensesandoffenders,and totheapplicablepolicystatementsoftheSentencing Commission.18U.S.C.3553(b). (b) Itispossibleforthecourttondapersoninsummary criminalcontemptbuttodefercommencementofthe sentenceuntilthetrialends.Inthiscase,however,us
(March 2000 rev.)
199
ingtheFed.R.Crim.P.42(b)procedureratherthan thesummaryprocedureof42(a)isprobablybest. 10. You must prepare, sign, and leanorder of contempt. Thisorderisintendedtopermitinformedappellatere view.Theordermustcontainallthatyousaworheard thatobstructedtheproceedingsandbyreasonofwhich youfound defendantincontempt.Remember,for your actiontobesustainedonappeal,theconductdescribed inyourordermustconstituteanobstructiontothead ministrationofjustice.Besure,therefore,thattheorder fullyandaccuratelyrecitesalloftheobstructiveconduct thatyousaworheard.Theorderofcontemptmustcon tain your certication that the described conduct was seenorheardbyyouandwascommittedinyourpres ence.Theformoftheorderofcontemptmaybeasfol lows: In conformity with Rule 42(a), Federal Rules of CriminalProcedure,Iherebycertifythatthefol lowing was committed in my presence and was seenorheardbyme:[Hereinsertadetailedrecital of the acts constituting the contemptuous con duct.] Because of the foregoing conduct, which ob structedanddisruptedthecourtinitsadministra tionofjustice,Isentenced[nameofcontemnor] to____hours/daysinjail,thesaidjailsentenceto commence[atonce/attheconclusionofthetrial] [orIned[nameofcontemnor]$____]. 11. Youmustdateandsigntheorderofcontemptandleit withoutdelay.
Procedure when contemptuous conduct is not personally observed by the court or when the conduct is observed by the court but requires no immediate action Ifyoubecomeawareofconductthatiswithinthecontemplationof18 U.S.C.401butthatdidnotoccurinyourpresence,orifyouobserved contemptuousconductbutitdidnotactuallydisruptcourtproceed
(March 2000 rev.)
200
Section7.01:Contemptcriminal ings,youmustproceedunderFed.R.Crim.P.42(b),whichrequires thatthecontemptbeprosecutedbynoticeratherthansummarily.
UnderFed.R.Crim.P.42(b): 1. Thenoticemaybegiven: (a) orallybyyouinopencourtindefendantspresence; or (b) byanordertoshowcauseontheapplicationofthe U.S.attorneyorofanattorneyappointedbythecourt forthatpurpose;or (c) byanorderofarrest. 2. Ifgivingoralnoticetodefendantinopencourtisnotpos sible,youshouldasktheU.S.attorneytoprepareforyour signatureanordertoshowcausedirectedtodefendant and ordering defendant to show cause why he or she shouldnotbefoundincriminalcontemptbecauseofthe offendingconduct. 3. The notice, whether oral or written, must set down a denitetimeandplaceforthehearingandmustdescribe theconductconstitutingthechargedcontemptandde scribeitasbeingcriminalcontempt.Youmustaccordde fendantareasonableperiodinwhichtoengageanattor neyandprepareadefense. Rememberthatundertheruleanotherjudgemustcon ductthetrialifthecontemptuousconductinvolvedcriti cism of or disrespect for yourself, unless defendant ex presslywaivestherighttotrialbyanotherjudge. 4. Becauseapersonfoundguiltyofcriminalcontemptmay beimprisoned,defendanthasarighttocounsel.Ifdefen dantcannotaffordcounsel,youmustappointanattor neyforhimorher. 5. Defendant has a right to a jury trial unless before trial you,onyourownmotionoronthegovernmentsmotion, limitthemaximumsentencethatyouwillimposetothe maximumauthorizedforapettyoffense,thatis,impris onmentforsixmonthsoraneof$5,000(foranindividu al; the ne limit on organizations for petty offenses is $10,000(butsee Munizv.Hoffman, 422U.S.454(1975),
(March 2000 rev.)
201
United States v. Twentieth Century Fox Film Corp., 882 F.2d656(2dCir.1989),cert.denied,110S.Ct.722(1990), UnitedStatesv.TroxlerHosieryCo.,681F.2d934(4thCir. 1982),allowingcontemptnesonorganizationsinexcess ofthoseauthorizedforpettyoffenses,withouttherightto ajurytrial)). 6. Attrial,whetherabenchorajurytrial,rememberthat defendantisbeingtriedforacrimeandisentitledtoall theprotectionstowhichanyoneaccusedofacrimeisen titled.Defendanthasarighttotestifyandtocallwitness esonhisorherownbehalfbutcannotbecompelledto testify.Defendantistobefoundguiltyonlyifhisorher guiltisprovenbeyondareasonabledoubt. 7. If found guilty, defendant should be sentenced in the samemannerasanydefendantconvictedofacrime.You maywishtoorderapresentencereportandtosetdown thesentencingforalaterdate. 8. If defendant has been afforded the right to a jury trial, thereisnostatutorymaximumtotheneorimprison mentthatmaybeimposed.However,youmaynotim posebothimprisonmentandane.Becauseofthevari ety of behaviors covered, no sentencing guideline has beenprescribedforcontempt.SeeU.S.S.G.2J1.1,Appli cationNote.Intheabsenceofaguideline,thecourtisto imposeanappropriatesentence,havingdueregardfor thepurposessetforthin[18U.S.C.3553(a)(2),]...for the relationship of the sentence imposed to sentences prescribed by guidelines applicable to similar offenses andoffenders,andtotheapplicablepolicystatementsof theSentencingCommission.18U.S.C.3553(b)(2).
Other FJC sources
(March 2000 rev.)
202
7.02 Contemptcivil
Background
Thepurpose,procedure,andpenaltyforcivilcontemptdiffer from those for criminalcontempt.It is essentialthatthetrial judgemakeclearontherecordwhethertheproceedingisfor civilorforcriminalcontempt. Thepurposeofcriminalcontemptistopunishapersonfora pastactofcontempt.Criminalcontempthasthecharacteristics ofacrime,andthecontemnoriscloakedwiththesafeguardsof oneaccusedofacrime.Theprimarypurposeofcivilcontemptis tocompelsomeonetodoornotdoacertainact. Caselawmakesclearthatthecontemptpowerisonetobeex ercised with the greatest restraint and that, in exercising that power,acourtshouldexertonlythepowerneededtoachieve thedesiredend. Civilcontemptservesoneorbothofthefollowingpurposes: 1. to coerce the contemnor into complying in the future withacourtorder;or 2. to compensate the complainant for damages resulting fromthecontemnorspastnoncompliance.
NOTE Ifdealingwitharecal citrantwitness,see 5.04:Handlingthere calcitrantwitness.
(March2000rev.)
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Section7.02:Contemptcivil Controlling statute and rule
Theonlystatuteapplyingdirectlytocivilcontemptis28U.S.C. 1826(a),whichappliesonlytorecalcitrantwitnesses(see5.04: Handlingtherecalcitrantwitness).However,18U.S.C.401(3) doeshavesomeapplicationtocivilcontempt,asfollows:

AcourtoftheUnitedStatesshallhavepowertopunishbyne orimprisonment,atitsdiscretion,suchcontemptofitsauthor ity,andnoneother,as .... (3) Disobedienceorresistancetoitslawful writ,process, order,rule,decree,orcommand.
ThereisnocivilrulecomparabletoFed.R.Crim.P.42.Ina civilcontemptproceeding,youshouldfollowtheprocedure outlinedinFed.R.Crim.P.42(b)totheextentthatitapplies, asfollows:

(b) DispositionUponNoticeandHearing.Acriminalcon temptexceptasprovidedinsubdivision(a)ofthisrule shallbeprosecutedonnotice.Thenoticeshallstatethe timeandplaceofhearing,allowingareasonabletime forthepreparationofthedefense,andshallstatethe essential facts constituting the criminal contempt charged and describe it as such. The notice shall be givenorallybythejudgeinopencourtinthepresence ofthedefendantor,onapplicationoftheU.S.attorney orofanattorneyappointedbythecourtforthatpur pose,byanordertoshowcauseoranorderofarrest. Civil contempt procedure
Thecontemptwillnormallycomebeforeyouonthepetitionofa civillitigantseekingtheimpositionofsanctionsbyreasonofan otherpartysfailuretocomplywithacourtorder. Whenonepartypetitionstohaveanotherfoundincivilcon tempt,youshouldproceedasfollows:
(March 2000 rev.)
204
Section7.02:Contemptcivil
1. Setdownatimeandplaceforahearingonthepetition. Therespondentmustbeaccordedareasonableperiodin whichtoengageanattorneyandprepareadefense. 2. Becauseapersonfoundincivilcontemptmaybeimpris oned, the respondent has a right to counsel. If the re spondentdesiresanattorneybutcannotaffordone,you mustappointcounselforhimorherunlesswaived(see 1.02:Assignmentofcounselorproserepresentation). 3. The respondent in a civil contempt proceeding has no righttoajurytrialbecausetherespondent,ifimprisoned, can secure immediate release by complying with the courtsorder. 4. Thehearingistobebywayofthelivetestimonyofwit nesses, not by way of afdavit. Note that the Federal Rules of Evidence apply to contempt proceedings. See Fed.R.Evid.1101(b). 5. Therespondentistobefoundincivilcontemptonlyifhis or hercontempt is establishedbyclearandconvincing evidence.Unlikeincriminalcontempt,therespondents guiltneednotbeprovedbeyondareasonabledoubt. 6. Iftherespondent isfound guiltyofcivilcontempt,you havewidediscretioninfashioningaremedy. (a) You may imprison the contemnor until he or she purgeshimselforherselfofcontemptbycomplying withthecourtsorder,youmayimposeaprospective conditionalne(suchasacertainmonetaryamount per day) until the contemnor complies with the courtsorder,oryoumaybothcommitandimposea conditional ne. (There is no statutory ceiling on a conditionalne.Youmust,however,weighthenan cialcircumstancesofthecontemnorinxingacondi tionalne.) (b) Youmayinadditionimposeaneonthecontemnor to be paid to the aggrieved party, to reimburse the party for damages suffered because of the contem norsconduct.Thisnemaynot,however,exceedthe actual damages suffered by the aggrieved party. It
(March 2000 rev.)
205
Section7.02:Contemptcivil
may,undercertaincircumstances,includeanaward totheaggrievedpartyoftheattorneysfeesandcosts inbringingthecontemptproceeding. 7. If you commit the contemnor or impose a conditional ne,advisethecontemnorthatheorshemaypurgehim selforherselfofcontemptbycomplyingwiththecourts orderandthat,uponcomplying,thecontemnorwillbe releasedfromjailandhisorherne,ifonewasimposed, willstopaccumulating. 8. Prepare,sign,andleanOrderinCivilContempt,setting forthyourndingsoffact,yourconclusionsoflaw,and theprecisesanctionsyouhaveimposed.
Other FJC sources
(March 2000 rev.)
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7.03 Temporary restraining order

Fed.R.Civ.P.65
Background Consideringanapplicationforatemporaryrestrainingorder(TRO)is, bydenition,anemergencyproceedingofsuchurgencythatreliefmay begranted exparte.Attheoutset,thecourtshouldbesatised that thereistrulyanemergencyanddeclinetoconsidertheapplicationif thereisnot. TRO without notice Fed.R.Civ.P.65(b)permitsgrantingaTROwithoutwrittenororalno ticetotheadversepartyorthepartysattorneyonlyif:
1. there are specic facts, shown by afdavit or veried complaint,indicatingthatimmediateandirreparablein jurywillresulttotheapplicantbeforetheadversepartyor hisorherattorneycanbeheardinopposition;and 2. thereisawrittencerticationoftheattorneysattempts, ifany,togivenotice,andanexplanationofwhynotice shouldnotberequired. Otherfactorsthecourtmayconsiderare: 1. probabilityofsuccessonthemerits; 2. balanceofharmtootherinterestedpartiesifTROissues againstharmtotheapplicantifreliefisdenied; 3. thepublicinterest.
TRO with notice
1. Ifnoticeisgiven,thestandardsgoverningissuanceofa preliminaryinjunctionareapplicable.
(March2000rev.)
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Section7.03:Temporaryrestrainingorders
2. Thepetitionmaybetreatedlikeoneforapreliminaryin junctionifthereisnoticeandahearing,withadequate opportunityfordevelopinglegalandfactualissues.The courtshould,however,considertheapplicabilityofFed. R.Civ.P.6(d)(requiringvedaysnoticebeforehearing on motion, but granting court discretion to modify the timeperiod). 3. Ifthereisnoticebutnohearing,orahearingthatdoes notpermitadequateopportunityforthedevelopmentof legalandfactualissues,nopreliminaryinjunctionmayis sue.
Contents of order Fed.R.Civ.P.65(b)providesthatiftheTROisgrantedwithoutnotice, theordershall:
1. beendorsedwiththedateandhouroftheissuance; 2. beledforthwithintheclerksofceandenteredonthe record; 3. denetheinjuryandstatewhyitisirreparableandwhy theorderwasgrantedwithoutnotice;and 4. expire by its terms within such time after entry as the courtxes(butnomorethantendays),unlesswithinthe timexedbythecourtgoodcauseisshowntoextendthe orderforalikeperiod,orunlessthepartyagainstwhom theorderisdirectedconsentstoalongerperiod. Theserequirements,particularlywith regardtoarestraining ordersduration,shouldbeappliedtoaTROevenwhennotice hasbeengiven.Inaddition,Fed.R.Civ.P.65(d)providesthatev eryrestrainingordershall: l. setforththereasonsforitsissuance; 2. bespecicinterms; 3. describe in reasonable detail, and not by reference to complaintorotherdocuments,theactoractstobere strained;and 4. bindonlythepartiestotheaction;thepartiesofcers, agents,servants,employees,andattorneys;andpersons
(March 2000 rev.)
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Section7.03:Temporaryrestrainingorders
inactiveconcertorparticipationwiththepartieswhore ceiveactualnoticeoftheorder.
Motion for dissolution after notice OntwodaysnoticetothepartythatobtainedtheTROwithoutnotice, oronsuchshorternoticeasthecourtmayprescribe,theadverseparty mayappearandcontestaTROthatwasissuedwithoutnotice.Fed.R. Civ.P.65(b). Security ATROmaynotbeissuedunlesstheapplicantgivessuchsecurityasthe court xes. This security requirement does not apply to the United States.Fed.R.Civ.P.65(c). The hearing record ThehearingonanapplicationforaTRO,includingpleadingsandevi dencetaken,becomesapartoftherecordinthelaterinjunctionhear ingandneednotberepeated.
(March 2000 rev.)
209
7.04 Grand jury selection and instructions

Fed.R.Crim.P.6;18U.S.C.3321,33313333
Procedure
TheJuryAct,28U.S.C.1863(b)(7),statesthatthedistrictjury plansrequiredby that section may provide thatthe names of personssummonedforpossiblegrandjuryservicebekeptcon dential.Inaddition,theJudicialConferenceoftheUnitedStates recommendedatitssessioninSeptember1981thatthedistrict courts reexamine their jury selection plans . . . to consider whether the names of grand jurors should be excluded from publicrecords.ReportoftheProceedingsoftheJudicialConfer enceoftheUnitedStates3940(1981).Thejuryplansofmanyof the district courts now provide, therefore, that the names of grand jurors be kept condential. Accordingly, the grand jury mustbeselectedinclosedsessionwithonlynecessarycourtper sonnelandattorneysforthegovernmentinattendancesothat the jurors names will not be revealed in open court. Fed. R. Crim.P.6(d)and(e)(5). Thegrandjuryconsistsofnotlessthansixteen(aquorum)and not more thantwentythreepersons. 18U.S.C. 3321, Fed. R. Crim.P.6(a)(1).Alternategrandjurorsmaybeselected.Fed.R. Crim.P.6(a)(2).Aftertwentythreepersonshavebeenselected asregularmembersofthegrandjury,theusualpracticeinsome districtsistocallfourtosixalternates,whoareswornandin structedwiththeregularmembers.Thesealternatesarethenex cusedwiththeexplanationthattheywillbesubjecttocall,inthe order in which theywere selected, if it subsequentlybecomes necessarytoexcuseoneoftheregularmembersandreplacethat
(March2000rev.)
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Section7.04:Grandjuryselectionandinstructions
personwithanalternate(tofacilitatetheassemblageofaquo rumduringtheremaininglifeofthegrandjury). Toaccommodatetheselectionofalternatesandthepossibility ofafewexcusalsforcause,thepanelsummonedtothecourt roomforgrandjuryselectionshouldconsistofthirtytothirty vepersons. Aregulargrandjurymayserveuptoeighteenmonthsfollowed byoneextensionofuptosixmonthsifnecessaryinthepublic interest.Fed.R.Crim.P.6(g).Theusualtermvariesfromdistrict to district. Special grand juries formed pursuant to 18 U.S.C. 3331 et seq. may serve, with extensions, up to thirtysix months,andtheyhavetheaddedpowerofmakingcertainre portsunder3333.
Opening statement to the venire panel: It is a pleasure to welcome you on behalf of the judges of the United States District Court for _____________, as potential members of the grand jury for the period _________ through ________. Although my welcoming remarks are intended for all, only twenty-three of you, plus ____ alternates, will be selected to form this new grand jury. Also, although your term will be for the next ____ months, you will sit as a jury from time to time only when called on by the ofce of the U.S. attorney. I cannot tell you in advance how much time will be involved, but normally you can expect to be called an average of ___ days a month during your term of ofce. Federal law requires that we select the grand jury from a pool of persons chosen at random from a fair cross-section of the district in which the grand jury is convened. At this time, you are the pool of persons from which that selection is to be made. The grand jury is involved with criminal matters. It does not concern itself with civil matters. Generally speaking, a criminal matter is one in which the government seeks to enforce a criminal law. By contrast, a civil matter is a court proceeding in which one party seeks to recover money damages or other relief from another party. The trial jury in
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Section7.04:Grandjuryselectionandinstructions a criminal matter listens to the evidence offered by the prosecution and defense during trial and renders a verdict of guilty or not guilty. The functions of a grand jury are quite different from those of a trial jury. A grand jury does not determine guilt or innocence. Its sole function is to decide, after hearing the governments evidence and usually without hearing evidence from the defense, whether a person should be indicted and stand trial for a federal crime. Since the grand jury performs such an important role in protecting rights guaranteed by the Constitution, you should view it as a real privilege and honor to have an opportunity to serve. We will now proceed with the selection of the grand jury. As the rst step in the process I am going to ask the Clerk to call you forward in groups of ___ [usually 12] persons at a time so that I might ask each of you a few questions concerning your possible service as members of the grand jury. Voir dire examination of the panel 1. er. Please state your name, occupation, and employ-
[Thisinformationmayaidyoulaterinchoosinganddesig natingaforepersonanddeputyforepersonpursuanttoFed. R.Crim.P.6(c).]

2. Have any of you ever had, or are any of you currently having, any experience with a grand jury or with other aspects of the criminal justice systemas a witness, a victim, or an indicted person, for examplewhich might now make it difcult for you to serve impartially if you are selected? 3. Do any of you have any other reason why you cannot or should not serve on the grand jury?
[Excuseanymembersofthepanelwhose responses tothe voir direquestions dictatethattheyshould beexcused for cause.]

Selection and oath
1. HavetheClerkcallatrandomthenamesoftwentythreeto twentynine persons from the remaining members of the panel. The rst twentythree shall constitute the regular
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membersofthegrandjury,andtheothers(onetosix)shall constitutethealternates.Afterthegrandjuryandalternates have been chosen, excuse the remaining members of the panel. 2. Designateandappointaforepersonanddeputyforeperson underFed.R.Crim.P.6(c). 3. HavetheClerkadministertheoath:
Do each of you solemnly swear [afrm] to diligently inquire into and make true presentment or indictment of all such matters and things touching your present grand jury service that are given to you in charge or otherwise come to your knowledge; to keep secret the counsel of the United States, your fellows, and yourselves; and not to present or indict any person through hatred, malice, or ill will, nor to leave any person unpresented or unindicted through fear, favor, or affection or for any reward or hope or promise thereof, but in all your presentments and indictments to present the truth, the whole truth, and nothing but the truth to the best of your skill and understanding? If so, answer I do. Grand jury charge Givethecourtschargeorinstructionstothegrandjury(includingthe alternates):96 It is my responsibility at this time to instruct you on the law that will govern your services as grand jurors. As members of the grand jury you are going to exercise authority and perform a public responsibility of the highest importance. Indeed, you will carry out a function that is expressly provided for in the Constitution itself. The Fifth Amendment to the Constitution of the United States, part of the Bill of Rights, provides in part that no person shall be held to answer for a capital or otherwise infamous crime unless on a presentment or indictment of a Grand Jury . . . .
9 .Agrandjurychargeinsubstantiallythesameformastheonethatfollows 96 wasapprovedbytheJudicialConferenceoftheUnitedStatesatitsMarch1986 session.
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Section7.04:Grandjuryselectionandinstructions An infamous crime is a serious crime that may be punished by imprisonment for more than one year. An indictment is simply a written charge or accusation that a person has committed a crime.
Nature of the grand jury

We have two kinds of juries in the federal courts. First, there is the grand jury; then, later, there is the trial jury, sometimes known as the petit jury. The trial jury, consisting of twelve members, determines whether a person accused of a crime is guilty or not guilty of the crime charged. Federal jury trials take place in the courtroom, in the presence of the judge, the jury, the attorneys, and the public, where the accused may confront the witnesses against him or her and may be convicted only when each juror is convinced of guilt beyond a reasonable doubt. The other type of jury is the grand jury. It functions at the beginning of the investigative or prosecutorial process and consists of sixteen to twenty-three persons who have the responsibility of investigating charges of crimes committed against the laws of the United States and, if the result of the investigation justies it, of making an accusation against a person by returning an indictment against him or her. The decision to indict is normally based solely on the governments evidence without the accused person having any opportunity to present his or her side of the case. If an indictment is returned against an accused person, he or she becomes a defendant and in due course will be given the opportunity to plead guilty or not guilty to the indictment. If the person pleads not guilty, he or she will then have a trial in open court before a trial jury. Thus, the purpose of the grand jury is to determine whether there is sufcient evidence to justify a formal accusation against a personthat is, to determine if there is probable cause to believe the person committed a crime. If law enforcement ofcials were not rst required to submit evidence of a persons guilt to an impartial grand jury, they would be free to arrest suspects and bring them to trial no matter how little evidence existed to support the charges.
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Section7.04:Grandjuryselectionandinstructions As members of the grand jury, then, you stand in a very real sense between the government and the accused. A federal grand jury must never be made an instrument of private prejudice, vengeance, or malice. It is your duty to see to it that indictments are returned only against those who you nd probable cause to believe are guilty of a criminal offense under federal law. The cases that come before you will arise in various ways. Frequently, suspects are arrested on the scene, so to speak, during or shortly after an alleged crime is committed. They are taken before a judicial ofcer, known as a magistrate judge, before you become involved in the case. The United States magistrate judge holds a preliminary hearing to determine whether there is probable cause to believe that a crime was committed and that the accused committed it. If the magistrate judge nds such probable cause, the accused will be held for the action of the grand jury, so that you can consider whether probable cause exists and an indictment should be issued. Other cases will come to you before an arrest but after an investigation has been conducted by a governmental agency, such as the Federal Bureau of Investigation, the Treasury Department, postal authorities, or other federal law enforcement ofcials. These cases are then brought to your attention by the U.S. attorney or an assistant U.S. attorney, or attorneys employed by the Department of Justice. Sixteen of the twenty-three members of the grand jury constitute a quorum for transacting business. If fewer than sixteen members are present, even for a moment, the proceedings of the grand jury must stop. This shows how important it is that each of you conscientiously attend the meetings. If an emergency prevents your personal attendance at a meeting, you must promptly advise the grand jury foreperson, who has the authority to excuse you from attendance. If your absence will prevent the grand jury from acting, you should, if humanly possible, attend the meeting. You have the right to regulate your sessions to accommodate, within reason, the convenience of yourselves and the government attorneys, but you have the overall obligation to be available for duty at all times during the term for which you have been selected.
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Section7.04:Grandjuryselectionandinstructions The U.S. attorney and Department of Justice attorneys represent the government in the prosecution of parties charged with committing offenses or crimes against the laws of the United States. These government attorneys will present the accusations that the government desires to have you consider. They will point out to you the laws that the government believes have been violated, and they will subpoena for you such witnesses as they may consider important and also such other witnesses as you may request. In other words, the government attorneys will act as your legal advisors in the performance of your duties. The evidence you will consider will normally consist of oral testimony of witnesses, and written documents. Each witness will appear before you separately. When the witness rst appears before you, he or she will be sworn in by the grand jury foreperson. After being sworn, the witness may be questioned. Ordinarily, the government attorney questions the witness rst. Next, the foreperson may question the witness, followed by the other members of the grand jury, if they so desire. Witnesses should be treated courteously when they appear before you. Questions should be put to them in an orderly fashion. If you have any doubt about the propriety of any question, you should seek the advice of the government attorney. If necessary, a ruling may be obtained from the court. As you listen to witnesses presented to you in the grand jury room and hear their testimony, remember that you are the judge of each witnesss credibility. You may believe the witnesss testimony, or you may not believe it, in whole or in part. Determining the credibility of a witness involves a question of fact, not a question of law. It is for you to decide whether you believe the persons testimony. You may consider in that regard whether the witnesses are personally interested in the outcome of the investigation, whether their testimony has been corroborated by other witnesses or circumstances, what opportunity they have had for observing or acquiring knowledge concerning the matters about which they testify, the reasonableness or probability of the testimony they relate to you, and their manner and demeanor in testifying before you.
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Section7.04:Grandjuryselectionandinstructions Hearsay testimony, that is, testimony as to facts not known by a witness through personal knowledge but told to the witness by others, may be considered by you and may provide a sufcient basis for returning an indictment against an accused party. You must be satised only that there is evidence against the accused showing probable cause, even if such evidence is composed of hearsay testimony that might or might not be admissible in evidence at a trial. Witnesses are not permitted to have counsel with them in the grand jury room. However, the law does permit witnesses to confer with their counsel outside the grand jury room. You should draw no adverse inference if a witness chooses to exercise this right to confer with counsel outside the grand jury room. An appearance before a grand jury may present complex legal problems requiring the assistance of counsel. There are also other rights that every witness before a grand jury possesses. These include the Fifth Amendment right to refuse to answer any question if the answer might tend to be incriminating, and the right to know that anything the witness says may be used against him or her. Frequently, charges are made against more than one person. It will be your duty to examine the evidence as it relates to each person, and to make your nding as to each person. In other words, where charges are made against more than one person, you may indict all of the persons or only those persons who you believe properly deserve indictment. After you have heard the evidence in a particular matter, you will then proceed to deliberate as to whether the accused person or persons should be indicted. No one, other than your own members, may be present while you are deliberating or voting. After all persons other than the grand jury members have left the room, you should fully discuss and then vote on the question of whether the evidence persuades you that a crime has probably been committed by the person or persons accused and that an indictment should be returned. To return an indictment charging an individual with an offense, it is not necessary that you nd that the accused is guilty beyond a reasonable doubt. Remember, you are not
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Section7.04:Grandjuryselectionandinstructions a trial jury, and your task is not to decide the guilt or innocence of the person charged. Your task is to determine whether the governments evidence is sufcient to conclude that there is probable cause to believe that the accused is guilty of the offense charged that is, whether the evidence presented to you is sufciently strong to cause a reasonable person to believe that the accused is probably guilty of the offense charged. Each grand juror has the right to express his or her view on the matter under consideration. Only after all grand jurors have been given an opportunity to be heard will the vote be taken. Remember, at least sixteen jurors must be present at all times, and at least twelve members must vote in favor of an indictment before one may be returned. The foreperson should designate another juror to serve as secretary, and the secretary should keep a record of the number of jurors concurring in the return of every indictment. The voting record for each indictment shall not include the names of the jurors but must indicate the number of afrmative votes. If, after deliberation, twelve or more members of the grand jury believe that an indictment is warranted, then the government attorney should be requested to prepare the formal written indictment (assuming a proposed indictment has not already been prepared). The indictment will be in the name of the United States, will designate the defendant or defendants, will set forth the date and place of the alleged offense, will assert the circumstances making the alleged conduct criminal, and will identify the criminal statute violated. The foreperson will endorse the indictment as a true bill and sign it in the space followed by the word foreperson. It is the duty of the foreperson to endorse every indictment voted for by at least twelve grand jurors, whether the foreperson voted for or against the indictment. The grand jury will then return the indictment to the court for action. If less than twelve members of the grand jury vote in favor of an indictment, the foreperson will endorse the indictment with the words not a true bill and return it to the court, and the court will impound it.
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Section7.04:Grandjuryselectionandinstructions Indictments will be presented to a judge or magistrate judge in open court by your foreperson at the conclusion of each deliberative session. Independence of the grand jury Just as the English grand jury was independent of the king, the federal grand jury under the United States Constitution is independent of the U.S. attorney, as well as other government lawyers. The grand jury is not an arm of the Federal Bureau of Investigation; it is not an arm of the Internal Revenue Service; it is not an arm of the U.S. attorneys ofce. While you would perform a disservice if you did not indict where the evidence justies an indictment, you would violate your oath if you merely rubber-stamped indictments brought before you by the government representatives. As a practical matter, however, you must work closely with the government attorneys. The government lawyer will provide you with important service in helping you to nd your way when confronted with complex legal or factual matters. It is entirely proper that you should receive this assistance and advice. If you should ever have a question for the court or desire to return an indictment to the court, then you will assemble in the courtroom for those purposes. However, each juror is directed to report immediately to the court any attempt by any person who, under any pretense whatsoever, tries to approach you for the purpose of gaining any information of any kind concerning the proceedings of the grand jury, or to inuence you in any manner. The obligation of secrecy Your proceedings are secret and must remain secret unless the court determines that the proceedings should be revealed in accordance with the law. There are several important reasons for this secrecy requirement: First, a premature disclosure of grand jury action may frustrate the investigation by giving the accused an opportunity to escape and become a fugitive or to destroy evidence. Second, if the witnesss testimony is disclosed, the witness may be subject to intimidation, retalia-
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Section7.04:Grandjuryselectionandinstructions tion, or other tampering before testifying at trial. Third, the secrecy requirement protects an innocent person who has been investigated and cleared by the grand jury. In the eyes of some, investigation alone suggests guilt. Thus, a great injury can be done to the good name and standing of anyone, even though they are not indicted, if it becomes known that there was an investigation about them. And fourth, the secrecy requirement helps protect the members of the grand jury themselves from improper contact by those under investigation. For all these reasons, therefore, the secrecy requirement is of the utmost importance and must be regarded by you as an absolute duty. You must be careful to preserve the secrecy of your proceedings by abstaining from communicating grand jury business to your families, friends, representatives of the news media, or any other persons. Grand jurors may discuss these matters only among themselves and only in the grand jury room. However, you may disclose matters that occur before the grand jury to attorneys for the government for such attorneys to use in performing their duties. The content of your deliberations and the vote of any juror may not, however, be disclosed, even to the government attorneys.
[The remainder of the charge should be given only if the grandjuryisaspecialgrandjurybeingimpaneledpursuant to18U.S.C.3331et.seq.]
Additional powers of a special grand jury As stated to you earlier, you are being impaneled as a special grand jury, as distinguished from a regular grand jury. A regular grand jury is subject to two important restrictions: (1) its term or life is limited to a period of eighteen months, and (2) it can indict someone, on a nding of probable cause, or vote not to indict, but that is the extent of the action it can take; it cannot issue a report concerning its ndings. You, as a special grand jury, will be governed by a different set of rules or laws. First, while your term of service is also xed at eighteen months (unless a majority of the jury sooner determines that your work has been completed),
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Section7.04:Grandjuryselectionandinstructions that term may be extended by the court for up to eighteen additional months. Second, unlike a regular grand jury, you are authorized under certain conditions at the end of your term to submit to the court, if a majority of you so desire, a report concerning your ndings as to certain matters. Specically, the United States Code, title 18, section 3333, provides as follows: (a) A special grand jury impaneled by any district court, with the concurrence of a majority of its members, may, upon completion of its original term, or each extension thereof, submit to the court a report (1) concerning noncriminal misconduct, malfeasance, or misfeasance in ofce involving organized criminal activity by an appointed public ofcer or employee as the basis for a recommendation of removal or disciplinary action; or (2) regarding organized crime conditions in the district. The U.S. attorney will explain to you in more detail your powers and duties under this law. As you approach the end of your term, the court will give you additional instructions if you request, or answer any questions you might have. Concluding matters
1. Excusethealternates,subjecttolatercall,ifneeded,andsug gestthatthegrandjurygotothegrandjuryroomtoconfer withtheU.S.attorneyandcommenceitsproceedings. 2. NotethatFed.R.Crim.P.6(d)(2)allowsanyinterpreternec essarytoassistajurorwhoishearingorspeechimpairedto bepresentwhilethegrandjurydeliberatesandvotes. 3. Theforepersonordeputyforeperson,ratherthantheentire grandjury,mayreturntheindictmenttothecourt.Fed.R. Crim.P.6(f). 4. Adjourncourt.
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NOTE FederalRulesofCrimi nalProcedurearenot applicabletoextradi tionproceedings.Fed. R.Crim.P.54(b)(5).
7.05 Foreign extradition proceedings

A. Ascertain: 1. the identity of the detainee as the individual being de mandedbyaforeignnation; 2. whetherthedetaineeisrepresentedbycounsel(see1.02: Assignment of counsel or pro se representation). 18 U.S.C.3006A(b). B. Informdetainee: 1. ofthechargeorchargesuponwhichextraditionissought andbywhichforeignnation; 2. of the right to a public extradition hearing, 18 U.S.C. 3189; 3. underwhatcircumstancestheUnitedStateswillpaythe costs for subpoenaing material witnesses for the de taineesdefensetoextradition,18U.S.C.3191; 4. thatatthehearingitwillbedetermined: (a) whether the detainee is charged with a crime or crimesforwhichthereisatreatyorconventionforex traditionbetweentheUnitedStatesandthedemand ingcountry,18U.S.C.3181,3184;seealso Collins v.Loisel,259U.S.309(1922); (b) whetherthewarrantsanddocumentsdemandingthe prisonerssurrenderareproperlyandlegallyauthen ticated,18U.S.C.3190;and (c) whetherthecommissionofthecrimeallegedisestab lishedbyprobablecausesuchaswouldjustifycom
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mitmentfortrialiftheoffensehadbeencommittedin theUnitedStates,18U.S.C.3184. C. Obtainwaiverofhearing,holdhearing,orgrantcontinuance ifnecessary(see1.03:Releaseordetentionpendingtrial). D. Ifahearingisheld,determinewhetherthedetaineeisextra ditable. E. Ifthedetaineeisfoundextraditable: 1. Committheextraditeetojailundersurrendertothe demanding nation, unless special circumstances justifyhisorherreleaseonbail.Wrightv.Henkel,190 U.S.40(1903); HuYauLeungv.Soscia, 649F.2d914 (2dCir.),cert.denied,454U.S.971(1981). 2. NotifytheSecretaryofStatebylingacertiedcopy ofyourndingsandatranscriptoftheproceedings. F. Ifthedetaineeisfoundnotextraditable,notifytheSecretary ofStatebylinganappropriatereportcertifyingtothatef fect.
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7.06 Naturalization proceedings

TheImmigrationActof1990changedthenaturalizationprocessfrom ajudicialproceedingtoanadministrativeproceeding.Followingisa briefoutlineofcurrentnaturalizationpractice.Notethattheroleofthe districtcourthasbeencurtailed. Procedure
1. Applicantfornaturalizationcommencesproceedingbyling anapplicationfornaturalizationwiththeImmigrationand NaturalizationService(INS). 2. An INS employee examines the applicant and determines whethertograntordenytheapplication.TheINSemployee mayinvoketheaidofadistrictcourtinsubpoenaingtheat tendanceandtestimonyofwitnessesandtheproductionof books,papers,anddocuments.8U.S.C.1446(b),(d). 3. IftheINSdeniestheapplication,theapplicantmayrequesta hearingbeforeanimmigrationofcer.8U.S.C.1447(a). 4. Iftheimmigrationofcerdeniestheapplication,theappli cantmayseekdenovoreviewinthefederaldistrictcourt. 8U.S.C.1421(c). 5. IftheINSfailstomakeadeterminationontheapplication within 120 days of the applicants interview, the applicant mayapplytoadistrictcourtforanaturalizationhearing.The courtmaydeterminethematterorremandthemattertothe INSwithappropriateinstructions.8U.S.C.1447(b). 6. Ifanapplicationisapproved,adistrictcourtwithjurisdiction under8U.S.C. 1421(b) mayadministertheOath of Alle giance.
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Section7.04:Grandjuryselectionandinstructions Oath of Allegiance Thefollowingoathisdesignedforusewithgroupsofpetitionersand encompassesvariousalternativestobearingarms. Do you solemnly swear [afrm] to support the Constitution of the United States; to renounce and abjure absolutely and entirely all allegiance and delity to any foreign prince, potentate, state, or sovereignty of which you have previously been a citizen or subject; to support and defend the Constitution and the laws of the United States against all enemies, foreign and domestic; to bear true faith and allegiance to the same; and to bear arms on behalf of the United States when required by law [or to perform noncombatant service in the Armed Forces of the United States when required by law, or to perform work of national importance under civilian direction when required by law]? Do you take this obligation freely without any mental reservation or purpose of evasion? 8U.S.C.1448(a).
NOTE Ifpetitionerrefusesto beararmsordonon combatantservicein thearmedforces,as certainwhetherthere isclearandconvinc ingevidencethatthe refusalisbasedonre ligioustrainingandbe lief.8U.S.C. 1448(a).
Anindividualmaybegrantedanexpeditedjudicialoathad ministrationceremonyupondemonstratingsufcientcause. Indeterminingwhethertograntanexpeditedjudicialoath administrationceremony,acourtshallconsiderspecialcir cumstances (such as serious illness of the applicant or a memberoftheapplicantsimmediatefamily,permanentdis abilitysufcientlyincapacitatingastopreventtheapplicant spersonalappearanceatthescheduledceremony,develop mentaldisabilityoradvancedage,orexigentcircumstances relatingtotraveloremployment).
8U.S.C.1448(c).
Ifpetitionerpossessesanyhereditarytitleorordersofnobility inanyforeignstate,heorshemustexpresslyrenouncesuchtitle orordersofnobilityinopencourt.8U.S.C.1448(b). Address(ordesignatesomememberofthecommunitytoad dress,orinvitesomeofthenewlynaturalizedcitizenstoaddress) thenaturalizedcitizensonthegeneraltopicofthemeaningof
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U.S.citizenshipandtheimportanceofeachcitizensparticipa tionintheworkingsofademocracy.36U.S.C.154.
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7.07 Excluding the public from court proceedings

A. Closureisappropriateuponthecourtsownmotion: 1. inproceedingsotherthananactualtrial,forthecourtto receivetestimonyfromoraboutgrandjuryproceedings, argument using such testimony, or discussions of such testimony; 2. whenthecourtreceivestestimonyorargumentongrand jury evidence or other sensitive information that is the subjectmatteroftheclosuremotion; 3. whenthelawrequiresclosuretoprotectsomephaseofa juveniledelinquencyproceeding(18U.S.C.5038). B. Thestepsinclosingtrialorpretrialproceedingsuponmotion byapartyare: 1. Noticeofmotion Ensurethatinterestedparties,includingthemedia,are givennoticeandopportunitytodefendagainstthemo tionincourt.Ifpublicnoticewasgivenofascheduled hearing,furthernoticeisnotnecessarilyrequired.Ifthe motionisexparteoratanunusualtime,thecourtshould delay the hearing until interested parties have been notied. 2. Thehearing (a) Burdenisonthemovantseekingclosuretoshow:
(1) thatanoverridinginterestislikelytobeprejudicedif closureisnotgranted.Suchinterestsinclude: (i) defendantsrighttoafairtrial;
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Section:Excludingthepublicfromcourtproceedings (ii) governments interest in inhibiting disclosure of sensitive information (the courtmay, suasponte, closethehearingtoreceivethepreliminaryinfor mationorproffer); (2) thatalternatives toclosurecannotadequatelyprotect theoverridinginterestthemovantisseekingtoprotect; (3) that closure will probably be effective in protecting againsttheperceiveddanger.
3. Decisionbythecourt (a) Inapretrialproceeding,whenthemovingpartyas sertsthatdefendantsrighttoafairtrialwillbepreju diced if hearings are conducted publicly, the court shouldconsider:
(1) (2) (3) (4) (5) (6) thenatureandextentofthepublicitytodate; thesizeofthejurypool; theeaseofchangeofvenue; theabilitytocureanyharmthroughvoirdire; whetherthepublicalreadyhastheinformation;and theimpactoffurtherpublicityonthepublicitythathas alreadyoccurred.
(b) Indecidingwhetheralternativestoclosurecanade quately protect the overriding interest that the movant seeks to protect, the court should consider thefollowingalternatives:
(1) (2) (3) (4) (5) (6) (7) (8) grantingacontinuance; grantingseverance; changeinvenue; changeinvenire; voirdirequestioning; additionalperemptorychallenges; sequesteringthejury;and admonishingthejury.
4. Findingsandorder: (a) Ifthecourtdecidestoorderclosure:

(1) itmustmakendingsthat:
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Section:Excludingthepublicfromcourtproceedings (i) without closure, there is a substantial probability thatdefendants righttoafairtrial would beim paired; (ii) stepslessdrasticthanclosurewouldbeineffective inpreservingdefendantsrighttoafairtrial;and (iii) closurewouldachievethedesiredgoalofprotect ingdefendantsrighttoafairtrial. (2) theclosuremustbeasnarrowaspossible; (3) ndingsmustbeontherecord;and (4) ndingsmustbeadequatetosupportanorderofclo sure.
(b) Theordermust:
(1) benobroaderthanisnecessarytoprotecttheinterest assertedbythemovingparty; (2) betailoredtoensurethatproceedingsthatareclosed encompassnomorethanisactuallynecessarytopro tecttheinterestassertedbythemovingparty.
(c) Determinewhethertheorderitselfshouldbesealed ornot.

Other FJC sources
Recent Developments Regarding Standards and Procedures for Barring the Public from the Courtroom During a Criminal Trial,BenchComment1984,No.2
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7.08 Oaths
Afrmation in lieu of oath Anypersonwhohasconscientiousscruplesabouttakinganoathmay beallowedtomakeafrmation.See,e.g.,Fed.R.Civ.P.43(d);Fed.R. Crim. P.54(c).Substitute theword afrm forthewords solemnly swearatthebeginningoftheoathanddeletethewordssohelpme Godattheend.(Ifappropriate,courtsmaywishtosubstitutethisI do afrm under the pain and penalties of perjury for so help me Godattheend.)
Sample oaths
Followingaresuggestedoathsforseveralsituations.Astatutory citeafteranoathindicatesthattheoathistakendirectlyfrom thestatute. Oath to attorneys (admissiontopracticebeforethecourt)

I, _______________, do solemnly swear [or afrm] that to the best of my knowledge and ability I will support and defend the Constitution of the United States against all enemies, foreign and domestic, and that I will bear true faith and allegiance to the same; that I take this obligation freely, without any mental reservation or purpose of evasion; and that I will demean myself as an attorney, proctor, and solicitor of this court uprightly and according to law, so help me God.
Oath to clerks and deputies

(tobemadebyeachclerkofcourtandalldeputiesbeforetheyassume theirduties)
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Section7.08:Oaths I, _______________, having been appointed _______________, do solemnly swear [or afrm] that I will truly and faithfully enter and record all orders, decrees, judgments and proceedings of such court, and will faithfully and impartially discharge all other duties of my ofce according to the best of my abilities and understanding. So help me God. [28U.S.C.951]
Oath to crier (bailiff)

(maybeadministeredinthosedistrictswhereatemporarycourtcrier isemployed) Do you solemnly swear [or afrm] that you will faithfully, impartially, and to the best of your ability discharge the duties of crier [bailiff] of this court, to which ofce you have been appointed, and will strictly obey all orders of the court and your superiors as crier [bailiff] during the session now being held, so help you God?
Oath to crier (bailiff) to conduct jury to view place

Do you solemnly swear [or afrm] that you will, together with the United States Marshal, keep this jury together and permit no one to talk to them, aside from the guides, nor talk to them yourself regarding the case under consideration, until discharged by the court, so help you God?
Oath to guides to conduct jury to view place

Do each of you solemnly swear [or afrm] that you will guide this jury on an inspection of the ___________ involved in this action and that you will permit no one to talk to them, nor talk to them yourselves, regarding the case under consideration, except as instructed by the court, so help you God? If so, answer I do.
Oath to crier (bailiff) to keep jury during adjournment

Do you solemnly swear [or afrm] that you will keep the jurors composing this panel together until the next meeting of this court, and during all other adjournments of the court during the trial of this case; that you will permit no person to speak or communicate with them,
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Section7.08:Oaths nor do so yourself, on any subject connected with the trial; and that you will return them into court at the next meeting thereof, so help you God?
Oath to crier (bailiff) and marshal after cause is submitted

Do you solemnly swear [or afrm] that you will keep this jury together in some private and convenient place and not permit any person to speak to or communicate with them, nor to do so yourself unless by order of the court, nor to ask whether they have agreed on a verdict, and to return them to court when they have so agreed, or when ordered by the court, so help you God?
Oath to defendant
(astohisorhernancialabilitytoemploycounsel) Do you solemnly swear [or afrm] that all of the statements you are about to make relative to your nancial ability to employ counsel will be the truth, the whole truth, and nothing but the truth, so help you God?
Oath for deposition

Do you solemnly swear [or afrm] that all the testimony you are about to give in the matter now in hearing will be the truth, the whole truth, and nothing but the truth, so help you God?
Oath to grand jury foreperson and deputy foreperson

Do you, as foreperson and deputy foreperson of this grand jury, solemnly swear [or afrm] that you will diligently inquire into and make true presentment or indictment of all public offenses against the United States committed or triable within this district of which you shall have or can obtain legal evidence; that you will keep your own counsel and that of your fellows and of the United States and will not, except when required in the due course of judicial proceedings, disclose the testimony of any witness examined before you, or anything which you or any other grand juror may have voted on in any matter before you; and that you shall present or indict no person through malice, hatred, or ill will, nor
(March 2000 rev.)
232
Section7.08:Oaths leave any person unpresented or unindicted through fear, favor, or affection or for any reward or for the promise or hope thereof, but that in all your presentments or indictments shall present the truth, the whole truth, and nothing but the truth to the best of your skill and understanding, so help you God?
Oath to other grand jurors

Do each of you solemnly swear [or afrm] that you shall diligently inquire into and make true presentment or indictment of all such matters and things touching your present grand jury service that are given to you in charge or that otherwise come to your knowledge; to keep secret the counsel of the United States, your fellows, and yourselves; and not to present or indict any person through hatred, malice, or ill will or to leave any person unpresented or unindicted through fear, favor, or affection or for any reward or for the hope or promise thereof, but in all your presentments and indictments to present the truth, the whole truth, and nothing but the truth to the best of your skill and understanding, so help you God?
or
Do each of you solemnly swear [or afrm] that you will well and truly observe on your part the same oath that your foreperson and deputy foreperson have now taken before you on their part, so help you God?
Oath to venirepersons
(tobeadministeredatjurorqualicationorvoirdire) Do you solemnly swear [or afrm] that you will truthfully answer all questions that shall be asked of you touching your qualications as a juror in the case now called for trial, so help you God?
Oath to interpreter
(Theinterpretersdutiesincludeinterpretingtheoathtothewitness, the verbatim questions of the court and counsel, and the answers thereto.)
(March 2000 rev.)
233
Section7.08:Oaths Do you solemnly swear [or afrm] that you will justly, truly, fairly, and impartially act as an interpreter in the case now before the court, so help you God?
(March 2000 rev.)
234
Section7.08:Oaths
Oath to interpreter for a deaf juror97

Do you solemnly swear [or afrm] that you will accurately interpret from the English language into the sign language understood by the juror, who is deaf, and from that language as used by the juror into the English language; that, while you are present in the jury room during the jurys deliberations, your communications with that juror and the other jurors will be limited to translating for the deaf juror what the other jurors say and for the others what the deaf juror says, so that you will not express any of your own ideas, opinions, or observations or otherwise participate yourself in the jurys deliberations; and that you will keep secret all that you hear in the jury room and will not discuss with anyone the testimony or merits of the case unless ordered differently by the court or authorized by the deaf juror after the trial is nished to disclose anything he or she said during the deliberations, so help you God?
NOTE Inadditiontotheini tialoath,theTenth Circuithasstatedthat beforetheverdictis announced,[thecourt] shouldinquire... whethertheinter preterabidedbyher oathtoactstrictlyas aninterpreterandnot toparticipateinthe deliberations.Ideally, thejudgeshouldthen questionthejurorsto thesameeffect.U.S. v.Dempsey,830F.2d 1084,1092(10thCir. 1987).
Oath to jurors in civil cases (including condemnation cases)

Do each of you solemnly swear [or afrm] that you will well and truly try the matters in issue now on trial and render a true verdict according to the law and the evidence, so help you God?
Oath to jurors in criminal case

(Thisoathmayalsobeadministeredtoalternatejurorsbysubstituting fortherstline:Doyou,asanalternatejuror.) Do each of you solemnly swear [or afrm] that you will well and truly try, and true deliverance make, in the case now on trial and render a true verdict according to the law and the evidence, so help you God?
9 .ThissampleoathistakenlargelyfromNewYorkv.Green,561N.Y.S.2d130 97 (N.Y.CountyCt.1990).Itisprovidedasoneexampleoftheformforsuchan oath.
(March 2000 rev.)
235
Section7.08:Oaths
Oath to master
Do you solemnly swear [or afrm] that you will well and truly hear and determine the facts and true ndings according to the evidence, so help you God?
Oath to reporter or stenographer

(for grand jury proceedings, to be administered by the grand jury foreperson) Do you solemnly swear [or afrm] that you will well and truly take and record the evidence about to be presented to this grand jury; that you will translate such testimony as required; and that you will keep secret all information you receive as reported at these grand jury proceedings, except on order of the court, so help you God?
Oath to witness
Do you solemnly swear [or afrm] that all the testimony you are about to give in the case now before the court will be the truth, the whole truth, and nothing but the truth, so help you God?
Oath of allegiance
(naturalizationproceedings,8U.S.C.1448(a)) I, _________________, do solemnly swear [or afrm] to support the Constitution of the United States, to renounce and abjure absolutely and entirely all allegiance and delity to any foreign prince, potentate, state, or sovereignty of which or to whom I have previously been a subject or citizen; to support and defend the Constitution and the laws of the United States against all enemies, foreign and domestic, and to bear true faith and allegiance to the same; and to bear arms on behalf of the United States when required by law [or to perform noncombatant service in the Armed Forces of the United States when required by law] [or to perform work of national importance under civilian direction when required by law], so help me God.
NOTE Ifthepetitionerrefuses tobeararms,ascertain whetherthereisclear andconvincingevi dencethattherefusal isbasedonreligious trainingandbelief.8 U.S.C.1448(a).
(March 2000 rev.)
236
Section7.08:Oaths
Oath to justices, judges, and magistrate judges

I, ___________________, do solemnly swear [or afrm] that I will administer justice without respect to persons, and do equal right to the poor and to the rich, and that I will faithfully and impartially discharge and perform all the duties incumbent upon me as ___________ under the Constitution and laws of the United States. So help me God. [28U.S.C.453]
Oath to public ofcials (giventoallindividuals,exceptthePresident,whoareelected orappointedtoanofceofhonororprotinthecivilserviceor uniformedservices,5U.S.C.3331)

I, _____________________, do solemnly swear [or afrm] that I will support and defend the Constitution of the United States against all enemies, foreign and domestic; that I will bear true faith and allegiance to the same; that I take this obligation freely, without any mental reservation or purpose of evasion; and that I will well and faithfully discharge the duties of the ofce on which I am about to enter. So help me God. [5U.S.C. 3331]
Table of authorities
Followingisabriefcompilationofauthoritieswithrespecttothe takingofanoathorafrmation afrmationinlieuofoath authoritytoadminister bankruptcy authoritytoadminister clerksanddeputies oathofofce authoritytoadministeroaths Fed.R.Civ.P.43(d) Fed.R.Crim.P.54(c) 5U.S.C.2903 11U.S.C.343 28U.S.C.951 28U.S.C.953
(March 2000 rev.)
237
Section7.08:Oaths
deposition takenbeforeanofceror otherpersonsoappointed grandjuryforeperson authoritytoadministeroaths interpretertotakeoath interrogatories toanswerunderoath jurors,alternate totakesameoathas regularjurors justicesandjudges oathofofce authoritytoadministeroaths magistratejudge oathofofce authoritytoadministeroaths master mayadministeroath naturalizationproceedings oathofallegiance perjury publicofcer oathofofce reporter totakeoath waiverofoath
Fed.R.Civ.P.28(a) Fed.R.Crim.P.6(c) Fed.R.Evid.604 Fed.R.Civ.P.33(b)(1)
Fed.R.Crim.P.24(c) 28U.S.C.453 28U.S.C.459 28U.S.C.631(g) 28U.S.C.636(a)(2) Fed.R.Civ.P.53(c) 8U.S.C.1448(a) 18U.S.C.1621 5U.S.C.3331 28U.S.C.753(a) Wilcoxonv.United States,231F.2d384 (10thCir.1956)
(March 2000 rev.)
238
Section7.08:Oaths
witness requiredtotakeoath
Fed.R.Evid.603
(March 2000 rev.)
239
Appendix: FJC publications

TheFederalJudicialCenterpublishesnumerousmanuals,refer enceworks, monographs, periodicals,and researchreports on criminal litigation and the sentencing process, civil litigation, casemanagement,thehistoryofthefederalcourtsystem,and federal judicial administration. In addition to this Benchbook, theCenter sendsselected publications andperiodicals to new circuit and district judges upon their nomination and to new bankruptcy and magistrate judges upon their appointment. Someofthesepublicationsarelistedbelow. TheCenteralsosendsits AnnualReport anditspublications andmediacatalogstoalljudges.TheCatalogofPublicationslists morethan150Centerpublications,includingreportsoftheCen tersempiricalresearchandmonographsonsubstantiveareasof law such as bankruptcy, copyright, employment litigation, patent, and securities litigation. All items listed in the catalog maybeobtainedfromtheCentersInformationServicesOfce. Many Center publications can also be downloaded from the Centers World Wide Web site on the Internet at the address http://www.fjc.gov. Some are also available online through WESTLAW inthedatabaselefjc.TheCatalogofAudiovisualMe diaProductions listsmorethan800mediaprograms,including Centerproducedaudiotapesandvideotapesandcommercially produced instructional media programs. These materials are available on loan through the Centers media library. Many judgesndparticularlyhelpfultheaudiocassetterecordings of presentationsatCenterseminarsandworkshops.Thecollection iscontinuallyupdated. Newdistrictjudgesalsoreceiveapamphletfrom theCenter entitled Individual Orientation for Newly Appointed District Judges.Thispamphletcontainsachecklistofsubjectsonwhich new district judges most commonly need help and guidance, with annotations to Center publications and media programs, AdministrativeOfcepublications,andothermaterialsthatbear ontheparticularsubject.Thischecklistmayalsoserveasause fulreferencelistforotherjudges,andmaybeobtainedbyre
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questingtheIndividualOrientationpamphletfromtheCenters InformationServicesOfce.
Select publications, by topic Bankruptcy
CaseManagementManualforUnitedStatesBankruptcyJudges (1995)(apublicationoftheJudicialConferenceCommittee ontheAdministrationoftheBankruptcySystem,produced with the assistance of the Center and the Administrative OfceoftheU.S.Courts)(distributedtocircuitanddistrict judgesbytheCenter;tobankruptcyjudgesbytheAdminis trativeOfce)
Case management (mainly civil)
AwardingAttorneysFeesandManagingFeeLitigation(1994) TheElementsofCaseManagement(1991) ManualforComplexLitigation,Third(1995) ManualforLitigationManagementandCostandDelayReduc tion(1992)

Criminal litigation and sentencing (Thefollowingpublicationsaredistributedtocircuit,district,andmag istratejudges.)
TheBailReformActof1984(2ded.1993) GuidelineSentencing:AnOutlineofAppellateCaseLawonSe lectedIssues(updatedperiodically) GuidelineSentencingUpdate(periodicalsummarizingrecentap pellatedecisionsonguidelinesentencingissues) DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials(4thed.1996)

Evidence
ReferenceManualonScienticEvidence(1994)
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Federal judicial administration and history
Chambers Handbook for Judges Law Clerks and Secretaries (1994) CreatingtheFederalJudicialSystem(2ded.1994) AGuidetothePreservationofFederalJudgesPapers(1996) OriginsoftheElementsofFederalCourtGovernance(1992)
Opinion writing
JudicialWritingManual(1991)
Prisoner litigation
Resource Guide for Managing Prisoner Civil Rights Litigation (1996) Habeas&PrisonLitigationCaseLawUpdate(periodicalsumma rizingselectedfederalcourtdecisionsinterpretingthe1996 federallegislationonhabeaspetitionsandprisonlitigation) (distributedtocircuit,district,andmagistratejudges)(pub lishedfromJune1996toSeptember1998;thirteenissuesto tal)
Other periodicals
Bench Comment (analyses of emerging areas of appellate case law) ChamberstoChambers (caseandchambersmanagementinno vations) FJCDirections(occasionaljournalreportingCenterresearchand educationactivities)
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Index
ACQUITTAL byreasonofinsanity competencyafter,57 motionforjudgmentofacquittal,107 ADMISSIONS delinquencyproceedings determiningawarenessofconsequencesofadmission,47 takingadmissionordenial,48 voluntarinessofadmission,48 revocationofprobationorsupervisedrelease,138 AFFIRMATION form,221 ALIENS naturalizationproceedings,215 oath,215,226 ALLEGIANCE oath,215,226 ANONYMOUSJURIES juryselectioncriminal,88 APPEALS righttoappeal noticeofrightatsentencing,134 waiver,73 APPEARANCES criminalproceedings defendantsinitialappearance,1 delinquencyproceedings,42 initialappearanceincriminalproceedings,1 offensescommittedinanotherdistrict,13 ARRAIGNMENT adultoffenders,23 bymagistratejudge,63 juveniles,45 offensescommittedinanotherdistrict,14 pleas,24
ARREST benchwarrants arrestforfailuretoappear,18
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ARRESTOFJUDGMENT motionforarrestofjudgment,110 ASSIGNMENTOFCOUNSEL seeRIGHTTOCOUNSEL ATTORNEYS assignmentofcounsel seeRIGHTTOCOUNSEL oath,221 standbycounselforprosedefendant,5 seeJOINTREPRESENTATIONOFCODEFENDANTS BAIL seeSETTINGBAIL BAILIFFS oath,222 BATSONMOTIONS,87,165 BENCHWARRANTS commitmenttoanotherdistrict,18 arrestforfailuretoappear,18 BONDS,SURETY bail,8 temporaryrestrainingorders,199 BURDENOFPROOF contempt,191 grantofimmunity,147 invokingFifthAmendment,147 juryinstructions capitalcases,118,122 civilproceedings,171,176 criminalproceedings,96,100 revocationofprobationorsupervisedrelease,139 CAPITALOFFENSES indictments waiverprecluded,19 seeDEATHPENALTYPROCEDURES CITIZENSHIP naturalizationproceedings,215 oath,215,226 CIVILCASES generally,15984 referralstomagistratejudges,183 trialoutline,159 CLERKSOFCOURT oathforclerksanddeputies,221
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CLOSEDHEARINGS motions decisionbycourt,218 findingsandorder,218 hearing,217 noticeofmotion,217 sealedorder,219 COMMITMENTTOANOTHERDISTRICT arrestforfailuretoappear,18 hearings,16 probationerorsupervisedreleasee,17 removalproceedings,15 settingbail,16 COMPETENCY defendants arraignment,23 jointrepresentationofcodefendants,26 mentalcompetency,53 afteracquittalforinsanity,57 bearingonsentence,58 civilcommitment,60 tobesentenced,57 tocommitcrimecharged,56 topleadguilty,55,68 tostandtrial,53 waiverofindictment,19 waiverofjurytrial,31 juveniles,47,59 delinquencyproceedings,46 CONCLUSIONSOFLAWANDFINDINGSOFFACT civilproceedings conclusionsandfindingsmadefrombench,163 conclusionsnotrequired,162 conclusionsrequired,161 dispositivemotions,162 formandsubstance,162 adoptingconclusionsandfindingssubmittedbycounsel,163 frombench,163 ifopinionormemorandumled,162 lengthandstyleofopinion,163 stipulations,163 temporaryrestrainingorder,198 judgmentonpartialndings,161 magistratejudges,proposedfindings,184 stipulations,163 voluntarydismissal,161
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criminalproceedings form,85 pleataking,75,79 releaseordetentionpendingtrial,11 sentencing,13134 whenrequired,85 waiverofjurytrial,33 delinquencyproceedings,49 magistratejudge criminalmatters,64 CONFIDENTIALITY closedhearings,217 grandjury,210 CONFLICTSOFINTEREST jointrepresentationofcodefendants,26 CONTEMPT civilcontempt background,193 burdenofproof,195 controllingstatuteandrule,193 procedure,194 recalcitrantwitnesses,149 righttocounsel,194 righttotrial,194 criminalcontempt background,185 behaviornotobservedbycourt,189 behaviorpersonallyobservedbycourt,186 controllingstatuteandrule,185 dispositionuponnoticeandhearing,186,189 procedures,186 recalcitrantwitnesses,149 righttocounsel,190 righttotrial,187 summarydisposition,185 CORPORATIONS pleasofguiltyornolocontendere,77 COUNSEL seeRIGHTTOCOUNSEL CRIERS(BAILIFFS) oath,222 CRIMINALCASES findingsoffactandconclusionsoflaw,85 juryselection,87102 pretrial,166 sentencing,
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deathpenalty,115 generally,129 seeSENTENCING specialtrialproblems,14357 takingpleas,6779 trialandposttrialmotions,107 trialoutline,81 verdict,103 DEATHPENALTYPROCEDURES,11527 afterguiltyverdictorplea,120 aggravatingfactors,12123 exhibits,useof,121 hearing,120 jury dischargingalternates,124 excusingjurors,124 impaneling,120 instructionsto,120 sentencingformfor,125 verdict,122 mitigatingfactors,12223 sentencing,124 form,125 trialtranscript,useof,121 beforeandduringtrial,116 appointmentofcounsel,116 jurors alternates,117,120 excusingforcause,119 explanationofdecisionprocessto,117 selection,117 voirdire,119 noticeofintenttoseekdeathpenalty,116 formforsentencingfindings,125 DEFENDANTS allocutionatsentencing,132,139,141 appearances initialappearance,1 arraignment,23 bail seeRELEASEORDETENTION capitalcases seeDEATHPENALTYPROCEDURES commitmenttoanotherdistrict,15 competency
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seeCOMPETENCY conictsofinterest jointrepresentationofcodefendants,26 criminalcontempt,185 disruptivebehavior,143 exclusionorremovalfromcourtroom,143 extradition,213 initialappearance,1 indictment,waiverof,19 jointrepresentationofcodefendants,26 juveniles seeDELINQUENCYPROCEEDINGS mentalcompetency,5360 motions formistrial,155 trialandposttrial,107 oath,68 form,223 offensecommittedinanotherdistrict,13 pleas corporations,77 defendants,67 seePLEAS proserepresentation,3 probation seeREVOCATIONOFPROBATIONORSUPERVISEDRELEASE releaseordetention seeRELEASEORDETENTION removalproceedings,15 righttocounsel seeRIGHTTOCOUNSEL righttotrial,73 sentencing,129 settingbail seeSETTINGBAIL SpeedyTrialAct,37 supervisedrelease seeREVOCATIONOFPROBATIONORSUPERVISEDRELEASE waiverofcounsel,3 waiverofjurytrial generally,31 preliminaryquestionsofdefendant,32 DELINQUENCYPROCEEDINGS admissions determiningawarenessofconsequencesofadmissions,47 takingadmissionordenial,48
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voluntarinessofadmission,48 arraignmentofjuvenile,45 calendarofevents,52 closedhearings,41,219 competencyofjuveniles generally,59 tomakeadmission,46 detentionpriortodisposition,50 disposition hearing,50 observationandstudy,51 optionsofcourt,43 sentence,51 timingofhearing,50 underFederalJuvenileDelinquencyAct,43 electingtoproceedasadultorjuvenile,43 findings,49 hearing,50 indictment,43 informations,42 jurisdictionofcourt,41 JuvenileDelinquencyAct,43 juvenilerecords,50 mentalcompetency,59 preliminaryprocedures,41 proceedingasadult mandatory,45 motionbyAttorneyGeneral,44 recordofproceedings findingsfortherecord,49 juvenilerecords,50 rightsofadults,42 rightsofjuveniles,42 sentence,51 timelimits calendarofevents,52 hearings,50 trialbyjury,42 DEPARTURES seeSENTENCING DEPOSITIONS oath,223 DISRUPTIVEDEFENDANT exclusionorremovalfromcourtroom,143 prosedefendant,144
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DRUGOFFENDERS sentencing seeSENTENCING EVIDENCE burdenofproof juryinstructions civilproceedings,172,175 criminalproceedings,96,100 grandjury oraltestimonyofwitnessesandwrittendocuments,207 hearsaytestimony grandjury,207 EXCLUDINGPUBLICFROMCOURTPROCEEDINGS burdenofproof,217 closureuponcourtsmotion,217 decisionbycourt,218 findingsandorder,218 hearing,217 notice,217 EXTRADITION magistratejudgerole,65 procedure,213 FINDINGSOFFACT seeCONCLUSIONSOFLAWANDFINDINGSOFFACT FINES civilcontempt,195 criminalcontempt,187 sentencing,133 FIFTHAMENDMENT invokingtheFifthAmendment procedures,147 recalcitrantwitnesses,149 FORFEITURE preliminaryorderafterguiltyplea,76 FOREIGNEXTRADITIONPROCEEDINGS procedure,213 FORMS oaths seeOATHS waiverofindictment,21 waiverofjurytrial,33,35 GRANDJURY alternates,201
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chargetojury,204 closedhearings,217 deliberations,208 evidence oraltestimonyofwitnessesandwrittendocuments,207 grantsofimmunity,145 foreperson appointment,203 duties,206,209 oath,223 hearsaytestimony,207 independenceofgrandjury,209 lengthofterm,202 natureanddutiesofgrandjury,205 numberofmembers,201,206 oath forms,203,223 preliminarymatters,202 procedures,201,205,211 quorum,201,209 secrecy,210 selection,203 specialgrandjury,211 U.S.Attorney,roleof,206 voirdire,203 voting,209 witnesses,207 assistanceofcounsel,208 grantsofimmunity,145 questioning,207 recalcitrantwitnesses,152 GRANTSOFIMMUNITY procedure,145 relevantstatutes,145 sealedorder,146 GUILTYPLEAS mentalcompetency,55 offensescommittedinanotherdistrict,14 preliminaryorderofforfeiture,76 takingplea corporations,77 defendants,67 seePLEAS HEARINGS arraignment,23
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closedhearings,217 commitmenttoanotherdistrict,15 contempt civil,194 criminal,185 recalcitrantwitness,150 deathpenaltycases,121 extraditionproceedings,213 identityhearing,1518 juveniles,41 mentalcompetency,53 offensecommittedinanotherdistrict,13 plea,68,77 releaseordetentionpendingtrial,7 releaseordetentionpendingsentenceorappeal,113 revocationofprobationorsupervisedrelease,137 temporaryrestrainingorder,197 waiverofindictment,19 waiverofjurytrial,32 waiverofrighttocounsel,4 HEARSAYTESTIMONY grandjury,207 IMMIGRATION naturalizationproceedings,215 IMMUNITY grantsofimmunity procedures,145 relevantstatutes,145 INDICTMENTS delinquencyproceedings,42 findingandorder,21 righttocounsel,19 SpeedyTrialAct timelimitforlingindictment,37 waiver,19 offensecommittedinanotherdistrict,13 INFORMATIONS delinquencyproceedings,42 SpeedyTrialAct timelimitforling,37 INITIALAPPEARANCE incriminalproceedings,1 offensescommittedinanotherdistrict,13 INJUNCTIONS temporaryrestrainingorder,197
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INSANITY mentalcompetency,57 notificationofdefense,56 INSTRUCTIONS seeJURYINSTRUCTIONS INTERPRETERS appointmentofcertifiedinterpreters,1,3,7,13,15,19,23,32,42 ingrandjuryroom,212 interpreterfordeafjuror,225 oath,224,225 INVOKINGTHEFIFTHAMENDMENT procedures,147 recalcitrantwitnesses,149,152 JOINTREPRESENTATIONOFCODEFENDANTS competency determining,26 disadvantages,27 hearing,26 pretrial,27 sentencing,28 trial,28 waiver,28 JUDGMENTS arrestofjudgmentmotion,110 civilverdicts,179 revocationofprobation,139 revocationofsupervisedrelease,139,141 sentencing entryofjudgment,135 JURISDICTION delinquencyproceedings,41 offensecommittedinanotherdistrict,14 removalproceedings,15 venue seeVENUE JURORS alternatejurors,82,120,125 oath,223,225 JURYINSTRUCTIONS civilproceedings burdenofproof,172,176 conductofjury,173 courseoftrial,173 deadlockedjury,160 generalinstructionstojuryatendoftrial,175
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notetaking,173 preliminaryinstructions,171 settlinguponcourtsinstructionstojury,175 summaryofapplicablelaw,173 criminalproceedings burdenofproof,96,100 conductofjury,97 deadlockedjurycharge,82 deliberations,101 evidence,95,100 generalinstructionsatendoftrial,99 notetaking,97 preliminaryinstructions,95 settlinguponcourtsinstructionstojury,99 writtencopyortranscript,101 verdict,101 JURYSELECTION alternatejurors,82 Batsonchallenges,87,165 civilproceedings,165 peremptorychallenges,165 criminalproceedings,87 anonymousjuries,88 peremptorychallenges,87 voirdire civilproceedings,167 criminalproceedings,91 JURYTRIAL communicationsduringdeliberation,82 delinquencyproceedings,43 trialoutline civil,159 criminal,81 waiver,31 form,35 hearing,32 JUSTICESANDJUDGES oath,226 JUVENILEDELINQUENCYACT closedhearings,41 delinquencyproceedings seeDELINQUENCYPROCEEDINGS MAGISTRATEJUDGES oath,226 referringcivilmattersto,184
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referringcriminalmattersto,63 MASTERS oath,225 MENTALCOMPETENCY criminalmatters,53 MINORS delinquencyproceedings seeDELINQUENCYPROCEEDINGS MOTIONS civil dispositivemotions,162 judgmentonpartialfindings,161 temporaryrestrainingorder,197 voluntarydismissal,161 criminal acquittal,107 arrestofjudgment,110 closedhearings,217 grantofimmunity,145 mistrial,155 newtrial,108 NATURALIZATIONPROCEEDINGS oath,215,226 procedure,215 NEWTRIAL motionfor,108 NOLOCONTENDERE courtsdiscretioninacceptingplea,74 offensescommittedinanotherdistrict,14 takingplea corporations,77 defendants,67,74 NOTICE closedhearings motiontoexcludepublic,217 sentencing righttoappeal,134 temporaryrestrainingorder,197 OATHS afrmation,221 allegiance,226 attorneys,221 clerksanddeputies,221 criers(bailiffs),222 defendants,223
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depositions,223 grandjury,223 foreperson,223 guides,222 interpreters,224 fordeafjurors,225 jurors,225 justicesandjudges,226 magistratejudges,226 masters,225 publicofficials,227 reporters,226 stenographers,226 tableofauthorities,227 venirepersons,224 witnesses,226 OFFENSECOMMITTEDINANOTHERDISTRICT consentcolloquy,14 preliminaryprocedure,13 OPINIONS findingsoffactandconclusionsoflaw civilcases,163 criminalcases,85 ORDERS closedhearings,218 commitmenttoanotherdistrict,15 contemptproceedings,188,195 grantsofimmunity,145 revocationofsupervision,142 temporaryrestrainingorder,197 waiverofindictment,21 PEREMPTORYCHALLENGES Batsonchallenges,87,165 civil,165 criminal,87 PLEAS arraignment,24 guiltyornolocontendere,67,77 acceptingorrejectingaplea,75 Alfordplea,74 competenceofdefendanttoplead,55,68 corporations,77 maximumpenalty,71 natureofcharges,74 nolocontendere,74,79
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offensescommittedinanotherdistrict,14 pleaagreements,69,75 deferringacceptanceof,67 possibleconsequencesofplea,70 preliminaryquestions,68 presentencereport,75 releaseordetentionpendingsentencing,76 restitution,71 righttocounsel,68 SentencingGuidelineseffect,72 specialassessment,72 stipulations,69 supervisedrelease,71 voluntarinessofpleaandpleaagreement,69 waiverofappeal,73 notguiltyplea,73 POLLINGTHEJURY seeVERDICT POSTTRIALMOTIONS acquittal,107 arrestofjudgment,110 newtrial,108 PRELIMINARYHEARINGS closedhearings,217 informingdefendantofrights,1 seeHEARINGS PRESENTENCEINVESTIGATIONREPORTS,67,75,129 PRESUMPTIONOFINNOCENCE juryinstructions,96,100 PRETRIALINVESTIGATIONS jointrepresentationofcodefendants,27 PROBATION seeREVOCATIONOFPROBATIONORSUPERVISEDRELEASE PROSEREPRESENTATION defendantswaivercolloquy,4 righttoselfrepresentation,3 standbycounsel,5 RECALCITRANTWITNESSES beforegrandjury,152 duringtrial,149 hearing,150,153 RECORDOFPROCEEDINGS civilcasesandmotions,163 criminalcasesandmotions,85 delinquencyproceedings,49
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temporaryrestrainingorder,199 RELEASEORDETENTION Pendingappeal Bydefendant,112 Bygovernment,113 Pendingsentence,76,111 Pendingtrial,7 seeSETTINGBAIL REMOVALPROCEEDINGS seeCOMMITMENTTOANOTHERDISTRICT REPORTERS oath,226 RETRIAL motionfornewtrial,108 SpeedyTrialAct,38 REVOCATIONOFPROBATIONORSUPERVISEDRELEASE admissions,138 allocution,139,141 denialofallegedviolations,138 judgmentororder,142 mandatoryrevocation,137,140,141 preGuidelinesprobation,140 preliminaryhearing,137 reimpositionofsupervisedrelease,141 roleofmagistratejudge,64,138 sentencingoptions,139 RIGHTTOAPPEAL sentencing notice,73,134 waiverof,73 RIGHTTOCOUNSEL arraignment,23 assignmentofcounselorproserepresentation,3 commitmenttoanotherdistrict,15 contemptproceedings,187,190,194 corporations,78 delinquencyproceedings,42 financialaffidavit,3 initialappearance,1 juveniles,42 offensecommittedinanotherdistrict,13 recalcitrantwitness,15053 takingpleasofguiltyornolocontendere,68 waiverof,3 waiverofindictment,19
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RIGHTTOTRIAL contemptproceedings,187,190,194 corporations,78 juveniles,42 takingpleasofguiltyornolocontendere,73 waiverof,31 SECURITY temporaryrestrainingorder,199 SELFINCRIMINATION invokingFifthAmendment,147 recalcitrantwitnesses,149,152 SENTENCING allocutionbydefendant,132,139,141 contempt civil,195 criminal,187,190 recalcitrantwitnesses,15153 GuidelineSentencing allocution,132 appealofsentence notice,l34 waiver,73 departure,129,132 entryofjudgment,135 evidentiaryhearing,131 factualdisputes,131 fine,133 hearing,129 jointrepresentationofcodefendants,25 judgment entry,135 mentalcompetency,57 notice departure,129 righttoappeal,135 pleaagreement,130 presentencereports,75,129 copiesof,135 informationnotrevealedtodefendant,130 releaseordetentionafterimpositionofsentence,111,134 restitution,133 statementofreasons,133 transcriptorwrittenrecord,135 victimstatement,132 juvenilecases
cclix
disposition,50 sentence,51 magistratejudgeformisdemeanors,63 preGuidelineSentencing revocationofprobation,140 revocationofprobation,139 revocationofsupervisedrelease,141 SETTINGBAIL bailinquiry,7 commitmenttoanotherdistrict,16 delinquencyproceedings,42 findings,11 initialappearancebydefendant,1,7 magistratejudgerole,63 preliminaryquestions,7 pretrialdetention,11 releaseordetention afterimpositionofsentence,111 pendingappeal,112 pendingsentencing,76 removalproceedings,16 securedorsuretybond,8 settingconditions,9 temporarydetention,10 SPEEDYTRIAL basictimelimits,37 indictmentorinformation,37 retrial,38 trial,38 commencementlimitations,38 dismissal failuretocomplywithtimelimits,37 waiverbydefendant,37 excludableperiods,39 STENOGRAPHERS oath,226 STIPULATIONS findingsoffact,civilcase,163 SUPERVISEDRELEASE seeREVOCATIONOFPROBATIONORSUPERVISEDRELEASE TEMPORARYRESTRAININGORDER contentsoforder,198 controllingrule,197 expiration,198 hearingrecord,199
cclx
motionfordissolutionafternotice,199 notice,197 grantingwithoutnotice,197 requirementsforgranting,197 security,199 TIMELIMITS arrestofjudgmentmotion,110 delinquencyproceedings calendarofevents,52 hearings,50 judgmentofacquittalmotion,107 naturalizationproceedings,215 newtrialmotion,108 speedytrial,37 TRIAL civil findingsoffactandconclusionsoflaw,161 juryinstructions,171177 juryselection,16569 outline,159 verdict,179 criminal juryinstructions,95102 juryselection,87102 capitalcases,11719 outline,81 specialtrialproblems,14357 trialandposttrialmotions,107 verdict,103 mentalcompetencytostand,53 mistrialmotionbycriminaldefendant,155 newtrial motionfor,108 SpeedyTrialAct,37 TRIALBYJURY delinquencyproceedings,43 waiverofright,31 form,35 TRIALOUTLINE civilcases,159 criminalcases,81 VENUE jurisdiction seeJURISDICTION offensecommittedinanotherdistrict,14
cclxi
removalproceedings,15 VERDICTS civilproceedings pollingjury,179 sealedverdicts,180 unsealedverdicts,179 criminalproceedings pollingthejury,83,103,105 sealedverdicts,104 unsealedverdicts,103 juryinstructions civilproceedings,177 criminalproceedings,102 VOIRDIRE anonymousjury,89 bymagistratejudge,64,184 capitalcases,117 grandjury,203 oath,224 standardquestions civilproceedings,167 criminalproceedings,92 WAIVER defendantswaiverofcounsel,3 foreignextraditionproceedings waiverofhearing,213 indictment,13,19 jurytrial,31 form,35 ofrightofappeal,73 ofrighttoseparatecounsel,28 speedytrial,37 WARRANTS benchwarrants arrestforfailuretoappear,18 foreignextraditionproceedings,213 WITNESSES delinquencyproceedings,43 FifthAmendment invoking,147 grandjury,207 grantsofimmunity,145 hearsaytestimony grandjury,207 invokingFifthAmendment,147
cclxii
oath,226 recalcitrantwitnesses,149
cclxiii

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Foreword

Section 1Criminal pretrial

Section 2Plea taking/criminal trial

benchbook for u.s. district court judges

Section 3Capital cases

Section 5 Special trial problems

Section 6Civil Proceedings

Section 7Miscellaneous proceedings

Appendix: FJC publications Index

1.01 Initial appearance

NOTE Iftheallegedoffense wascommittedinan otherdistrict,see1.05: Commitmenttoan otherdistrict(removal proceedings)

F. Ifthepersonisbeforethecourtforviolatingprobationorsu pervisedrelease,seeFed.R.Crim.P.32.1.Morrisseyv.Brever, 408U.S.471(1972);Gagnonv.Scarpelli,411U.S.778(1973).

1.02 Assignment of counsel or pro se representation

benchbook for u.s. district court judges

NOTE: $25ifaClassAmisde meanor,$10ifClassB, $5ifClassCorinfrac tion.

[Askdefendantasimilarquestionforeachcrimewith whichheorshemaybechargedintheindictmentor information.]

benchbook for u.s. district court judges

Itisprobablyadvisabletoappointstandbycounsel,who canassistdefendantorcanreplacedefendantifthecourt determinesduringtrialthatdefendantcannolongerbe permittedtoproceedprose.

benchbook for u.s. district court judges

benchbook for u.s. district court judges

1.03 Release or detention pending trial

benchbook for u.s. district court judges

(a) thenatureandcircumstancesoftheoffensecharged, includingwhethertheoffenseisacrimeofviolenceor involvesnarcotics; (b) theweightoftheevidenceagainsttheaccused; (c) thehistoryandcharacteristicsoftheaccused,includ ing

benchbook for u.s. district court judges

benchbook for u.s. district court judges

benchbook for u.s. district court judges

benchbook for u.s. district court judges

1.04 Offense committed in another district

[Ifdefendanthasanattorney,askcounselifheorshehas beenabletocommunicatewithdefendantinEnglish.If you doubt defendants capacity to understand English, useacertifiedinterpreter.See28U.S.C.1827.]

[Iftheanswertoeitherquestionisyes,pursuethesubject withdefendantandwith counseltodeterminethatde fendantiscurrentlycompetenttowaiveproceedingsin thedistrictwheretheoffensewascommitted.]

[Ifheorshedoesnothaveanattorney,informdefendant oftherighttocounselandappointcounselifdefendant qualies.See 1.02:Assignmentofcounselorproserep resentation.]

benchbook for u.s. district court judges

benchbook for u.s. district court judges

1.05 Commitment to another district (removal proceedings)

(d) righttoanidentityhearingifchargesarebasedonin dictmentorinformation;

benchbook for u.s. district court judges

benchbook for u.s. district court judges

Section1.05:Commitmenttoanotherdistrict withchargingdistrict,photographs,probationofcers testimony,etc.

benchbook for u.s. district court judges

benchbook for u.s. district court judges

1.06 Waiver of indictment

NOTE Anoffensethatmaybe punishablebydeath mustbeprosecutedby indictmentandthere foreprecludeswaiver ofindictmentunder Fed.R.Crim.P.7(a).

[Ifdefendanthasanattorney,askcounselifheorshehas beenabletocommunicatewithdefendant.Ifyoudoubt defendantscapacitytounderstandEnglish,useacerti fiedinterpreter.See28U.S.C.1827.]

[Iftheanswertoeitherquestionisyes,pursuethesubject withdefendantandwith counseltodeterminethatde fendantiscurrentlycompetenttowaiveindictment.]

benchbook for u.s. district court judges

C. Explainindetailthecharge(s)againstdefendantandmake clearthatheorsheischargedwithcommittingafelony. D. Askdefendant:

benchbook for u.s. district court judges

benchbook for u.s. district court judges

1.07 Arraignment and plea

[Ifdefendanthasanattorney,askcounselifheorshehas beenabletocommunicatewithdefendant.Ifyoudoubt defendantscapacitytounderstandEnglish,useacerti fiedinterpreter.See28U.S.C.1827.]

[Iftheanswertoeitherquestionisyes,pursuethesubject withdefendantandwith counseltodeterminethatde fendantiscurrentlycompetenttoenteraplea.]

benchbook for u.s. district court judges

benchbook for u.s. district court judges

1.08 Joint representation of codefendants

benchbook for u.s. district court judges

3. Statendingonrecordofdefendantscompetence. B. Emphasizetheseriousnessofthecharges.Telldefendantthe maximumpunishmentforeachcount. C. Telldefendant:

benchbook for u.s. district court judges

benchbook for u.s. district court judges

benchbook for u.s. district court judges

Other FJC sources

DonaldS.Voorhees,ManualonRecurringProblemsinCriminal Trials67(4thed.1996) ManualforComplexLitigation,Third26768(1995)

benchbook for u.s. district court judges

1.09 Waiver of jury trial (suggested procedures, questions, and statements)

IacknowledgethatIwasfullyinformedofmyrighttotrialby juryinthiscause.Iherebywaivethatright,requestthecourtto tryallissuesoffactandlawwithoutajury,andwaivemyrightto specialfindings. Datedat___,thisdayof,19.