A Manual on Jury Trial Procedures

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Transcript of A Manual on Jury Trial Procedures

  • MANUAL ON JURY TRIAL PROCEDURES

    Prepared by The Jury Instructions Committee of

    the Ninth Circuit

    Members:Senior District Judge John W. Sedwick, Chair

    Senior Circuit Judge A. Wallace TashimaDistrict Judge Cormac J. Carney

    Chief District Judge Susan Oki MollwayDistrict Judge Benjamin Hale Settle

    Senior District Judge Robert H. WhaleySenior District Judge Thomas J. Whelan

    Magistrate Judge Alicia G. Rosenberg

    Reporter:Joe Franaszek

    Staff:Debra Landis

  • FOREWORD

    This is the fourth edition of A Manual on Jury Trial Procedures. It updates and replaces the 2004 edition. Like previous editions, thismanual provides a reliable reference to issues that recur in theconduct of federal civil and criminal jury trials in the Ninth Circuit. While not exhaustive in its treatment, it does provide a starting pointto help guide more detailed research. This edition reflects revisionsmade through November 2012.

    As with previous editions, this manual focuses on the law,procedures and practices in the Ninth Circuit governing jury trials. Accordingly, it continues the previous practice of citing primarilySupreme Court and Ninth Circuit case law, when available. Consistent with the current practices in the Circuit, the manualprovides practical suggestions to aid the conduct of such trials.

    The Jury Instructions Committee of the Ninth Circuit expressesits appreciation to the Office of the Circuit Executive for its supportand for publishing this new edition.

  • TABLE OF CONTENTS

    TABLE OF CONTENTS

    Chapter One: Pretrial Considerations. . . . . . . . . . . . . . . . . . . . 1

    1.1 Right to Jury Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

    A. Civil Actions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3B. Criminal Actions. . . . . . . . . . . . . . . . . . . . . . . . . . . 5

    1.2 Double Jeopardy (Criminal). . . . . . . . . . . . . . . . . . . . 8

    A. Protections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8B. Attachment.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8C. Termination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

    1.3 Speedy Trial Act Issues18 U.S.C. 3161 et seq.(Criminal). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

    A. Tolling of Speedy Trial Act. . . . . . . . . . . . . . . . . . 10B. Voir Dire. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15C. Dismissal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15D. No Waiver of Speedy Trial Act. . . . . . . . . . . . . . . 16

    1.4 Other Delays. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

    1.5 Sanctions and Assessment of Costs. . . . . . . . . . . . . 18

    A. Sources of Authority to Impose Sanctions.. . . . . . 18B. Types of Sanctions. . . . . . . . . . . . . . . . . . . . . . . . . 21C. Assessment of Costs. . . . . . . . . . . . . . . . . . . . . . . 25

    1.6 Presence of Defendant (Criminal). . . . . . . . . . . . . . 27

    A. Defendants Presence Generally. . . . . . . . . . . . . . 27B. Pretrial Conference.. . . . . . . . . . . . . . . . . . . . . . . . 29C. Voir DireSidebar Conferences with

    Prospective Juror. . . . . . . . . . . . . . . . . . . . . . . . . . 29

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  • TABLE OF CONTENTS

    D. Sidebar Conferences During Trial. . . . . . . . . . . . . 31E. Child Witness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31F. Jury Instruction Conferences. . . . . . . . . . . . . . . . . 32G. Readbacks During Deliberations. . . . . . . . . . . . . . 32H. Waiver. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

    1.7 Delegation of District Judges Trial Responsibilitiesto Magistrate Judge. . . . . . . . . . . . . . . . . . . . . . . . . 35

    A. Criminal Proceedings. . . . . . . . . . . . . . . . . . . . . . . 35B. Civil Proceedings. . . . . . . . . . . . . . . . . . . . . . . . . . 37

    1.8 Pretrial Order Governing Procedure at Trial (Civil).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

    1.9 Pretrial Order Governing Procedure at Trial (Criminal). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

    1.10 Pre-Voir Dire Jury Panel Questionnaires. . . . . . . . 40

    Chapter Two: Jury Selection. . . . . . . . . . . . . . . . . . . . . . . . . . . 43

    2.1 Qualifications of Federal Jurors.. . . . . . . . . . . . . . . 45

    2.2 Voir Dire Regarding Pretrial Publicity. . . . . . . . . . 46

    2.3 Closed Proceedings Generally.. . . . . . . . . . . . . . . . . 49

    2.4 Anonymous Juries. . . . . . . . . . . . . . . . . . . . . . . . . . . 50

    2.5 Attorney Participation in Voir Dire. . . . . . . . . . . . . 52

    2.6 Voir Dire Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

    A. Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53B. Voir Dire Open to Public. . . . . . . . . . . . . . . . . . . . 53C. Closed Voir Dire. . . . . . . . . . . . . . . . . . . . . . . . . . 53

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  • TABLE OF CONTENTS

    D. Statements by Prospective JurorsRisk of Infectionof Panel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

    E. Criminal Voir Dire.. . . . . . . . . . . . . . . . . . . . . . . . 54F. Civil Voir Dire. . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

    2.7 Challenges for Cause. . . . . . . . . . . . . . . . . . . . . . . . . 58

    A. In General.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58B. Law Governing . . . . . . . . . . . . . . . . . . . . . . . . . . . 58C. Erroneous Overruling of Challenge for Cause

    Cured by Exercise of Peremptory Challenge. . . . . 58

    2.8 Hardship Excusals. . . . . . . . . . . . . . . . . . . . . . . . . . . 59

    2.9 Peremptory Challenges. . . . . . . . . . . . . . . . . . . . . . . 60

    A. Civil. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60B. Criminal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60

    2.10 Batson Challenges. . . . . . . . . . . . . . . . . . . . . . . . . . . 63

    A. In General.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63B. Batson Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . 64

    2.11 Number of Jurors and Alternate Jurors. . . . . . . . . 67

    A. Civil Trials. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67B. Criminal Trials. . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

    2.12 Dual Juries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

    Chapter Three: The Trial Phase. . . . . . . . . . . . . . . . . . . . . . . . 71

    3.1 Setting Trial ScheduleOptions. . . . . . . . . . . . . . . 73

    3.2 Jury Admonitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . 74

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  • TABLE OF CONTENTS

    3.3 Preliminary Instructions and Orientation of the Jury. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

    3.4 Notetaking by Jurors. . . . . . . . . . . . . . . . . . . . . . . . . 76

    3.5 Juror Questions of Witnesses During Trial.. . . . . . 77

    3.6 Judges Examining Witnesses. . . . . . . . . . . . . . . . . . 79

    A. Civil Jury Cases. . . . . . . . . . . . . . . . . . . . . . . . . . . 79B. Criminal Jury Cases. . . . . . . . . . . . . . . . . . . . . . . . 79

    3.7 Interpreters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

    A. Use and Competency. . . . . . . . . . . . . . . . . . . . . . . 81B. Translations of Disputed Documents. . . . . . . . . . . 82C. Necessity of Oath. . . . . . . . . . . . . . . . . . . . . . . . . . 83D. Cautionary Instruction to Bilingual Jurors. . . . . . . 83

    3.8 Restrictions on Cross-Examination.. . . . . . . . . . . . 84

    A. In General.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84B. Scope of Redirect and Recross-Examination. . . . 85

    3.9 Managing Exhibits. . . . . . . . . . . . . . . . . . . . . . . . . . . 86

    3.10 Summaries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

    A. Summary Exhibits and Charts. . . . . . . . . . . . . . . . 87B. Summary of Testimony. . . . . . . . . . . . . . . . . . . . . 88C. Summary Witness Using Charts and Exhibits. . . . 89D. Summaries of Evidence by Counsel. . . . . . . . . . . 89E. Judicial Comment on the Evidence. . . . . . . . . . . . 89

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  • TABLE OF CONTENTS

    3.11 Recordings and Transcripts. . . . . . . . . . . . . . . . . . . 91

    A. Recordings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91B. Transcripts of Recordings. . . . . . . . . . . . . . . . . . . 91C. Sending Recordings or Transcripts to Jury

    Room. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

    3.12 Jury Examination of Demonstrative Evidence. . . . 94

    A. Jury View of Scene. . . . . . . . . . . . . . . . . . . . . . . . 94B. Jury Examination of Other Demonstrative

    Evidence.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96

    3.13 Incompetent Jurors; Late or Missing Jurors. . . . . 97

    A. Civil. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97B. Criminal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

    3.14 Juror Exposure to Extrinsic Influences. . . . . . . . . . 99

    A. Categories of Extraneous Influences. . . . . . . . . . . 99B. Evidentiary Hearing. . . . . . . . . . . . . . . . . . . . . . . 100

    3.15 Removal of Counts or Defendants (Criminal).. . . 101

    3.16 Curative Instructions.. . . . . . . . . . . . . . . . . . . . . . . 102

    A. During Trial. . . . . . . . . . . . . . . . . .