HANDBOOKHANDBOOKHANDBOOKHANDBOOKHANDBOOKFOR TRIALFOR TRIALFOR TRIALFOR TRIALFOR TRIAL

JURORSJURORSJURORSJURORSJURORSSERVING IN THESERVING IN THESERVING IN THESERVING IN THESERVING IN THEUNITED STATESUNITED STATESUNITED STATESUNITED STATESUNITED STATES

DISTRICTDISTRICTDISTRICTDISTRICTDISTRICTCOURTSCOURTSCOURTSCOURTSCOURTS

Prepared for the use of trial jurors servingin the United States district courts under thesupervision of the Judicial Conference of theUnited States. Published by the AdministrativeOffice of the United States Courts, Washington,D.C. 20544.

Purpose of This HandbookThe purpose of this handbook is to acquaint

trial jurors with the general nature and importanceof their role as jurors. It explains some of thelanguage and procedures used in court, and itoffers some suggestions helpful to jurors inperforming this important public service.

Nothing in this handbook is to be regarded byjurors as instructions of law to be applied by themin any case in which they serve. The judge willinstruct the jury in each separate case as to the lawof that case. For example, in each criminal case,the judge will tell the jury, among other things, thata defendant charged with a crime is presumed tobe innocent and the burden of proving his guiltbeyond a reasonable doubt is upon theGovernment. Jurors must follow only theinstructions of law given to them by the trial judgein each particular case.

Importance of Jury ServiceJurors perform a vital role in the American

system of justice. The protection of our rights andliberties is largely achieved through the teamworkof judge and jury who, working together in acommon effort, put into practice the principles ofour great heritage of freedom. The judgedetermines the law to be applied in the case whilethe jury decides the facts. Thus, in a veryimportant way, jurors become a part of the courtitself.

Jurors must be men and women possessed ofsound judgment, absolute honesty, and a completesense of fairness. Jury service is a high duty ofcitizenship. Jurors aid in the maintenance of lawand order and uphold justice among their fellowcitizens. Their greatest reward is the knowledgethat they have discharged this duty faithfully,honorably, and well. In addition to determiningand adjusting property rights, jurors may also beasked to decide questions involving a crime for

1

which a person may be fined, placed on probation,or confined in prison. In a very real sense,therefore, the people must rely upon jurors for theprotection of life, liberty, and the pursuit ofhappiness.

The CourtsIn this country, there are two systems of

courts. They are the courts of the individual 50States and the District of Columbia and the courtsof the Federal Government. This book is writtenfor jurors selected to serve in the trial court of theFederal Government, the United States DistrictCourt. The types of cases which can be brought inthis court have been fixed by the United StatesCongress according to our Federal Constitution.

Cases in the United States District Courts aredivided into two general classes. These are calledcriminal cases and civil cases.

Criminal cases are those in which individualsor organizations are charged with breaking thecriminal laws. Typical criminal charges in a federalcourt are those involving violation of the federalincome tax and narcotics laws, mail theft, andcounterfeiting.

Civil cases are suits in which persons whodisagree over their rights and duties come intocourt to settle the matter. A typical example of acivil case is one involving a broken contract. Oneparty may claim that it should be paid under theterms of the contract, while the other side mayassert a defense to the claim, such as the lack of abinding contract. The court is asked to decide whois right. This depends on the law as laid down bythe judge and the facts as decided by the jury.

The Criminal CaseThe person charged with a violation of the

law is the defendant. The charge against thedefendant may be brought in two ways. One wayis by means of an indictment; the other is by an

2

information.

An indictment is a written accusation by agrand jury that charges the defendant withcommitting an offense against the law. Eachoffense charged will usually be set forth in aseparate count of the indictment.

An information is the name given to a writtencharge against the defendant filed by the UnitedStates Attorney and not by the grand jury. Buteven in cases where the defendant has the right tohave a grand jury consider the charges presented,the defendant may agree to give up this right andconsent to the filing of an information.

After the indictment or information is filed,the defendant appears in open court where thecourt advises the defendant of the charge and askswhether the defendant pleads “guilty” or “notguilty.” This procedure is called the arraignment.

No trial is needed if the defendant pleadsguilty and admits to committing the crime. But ifthe defendant pleads not guilty he or she will thenbe placed on trial.

The judge in a criminal case tells the jurywhat the law is. The jury must determine what thetrue facts are. On that basis the jury has only todetermine whether the defendant is guilty or notguilty as to each offense charged. What happensthereafter is not for the jury’s consideration, but isthe sole responsibility of the judge. In other words,the sentence is not to be considered in any way bythe jury in arriving at an impartial verdict as to theguilt or innocence of the defendant.

The jury must consider separately each of thecharges against the defendant, after which it mayfind the person: not guilty of any of the charges,guilty of all the charges, or guilty of some of thecharges and not guilty of others.

The Civil CaseThe following is an example of the kind of

3

civil case jurors in a United States District Courtwill help decide.

Let us call the case John Smith v. XYCompany. This means that John Smith has filed acase against the XY Company.

John Smith is called the plaintiff, the personwho begins the case. The XY Company is thedefendant. The plaintiff and the defendant are theparties.

The plaintiff, John Smith, states his claim in apaper called the complaint. The defendant, XYCompany, replies to the complaint in a paper calledthe answer. The complaint and the answer are themain pleadings in the case. The points in thepleadings upon which the parties disagree make upthe issues of fact and law. Sometimes these issuesare set forth in a pre-trial order. This is an orderdrawn up by the judge after consulting with theattorneys for the parties.

The Voir Dire ExaminationTo begin a jury trial, a panel of prospective

jurors is called into the courtroom. This panel willinclude a number of persons from whom a jurywill be selected to try the case. In criminal trials,alternate jurors may be chosen to take the place ofjurors who become ill during the trial.

The panel members are sworn to answerquestions about their qualifications to sit as jurorsin the case. This questioning process is called thevoir dire. This is an examination conducted by thejudge and sometimes includes participation bycounsel. A deliberately untruthful answer to anyfair question could result in serious punishment tothe person making it.

The voir dire examination opens with a shortstatement about the case. The purpose is toinform the jurors of what the case is about and toidentify the parties and their lawyers.

Questions are then asked to find out whether

4

any individuals on the panel have any personalinterest in the case or know of any reason whythey cannot render an impartial verdict. The courtalso wants to know whether any member of thepanel is related to or personally acquainted withthe parties, their lawyers, or the witnesses who willappear during trial. Other questions willdetermine whether any panel members have aprejudice or a feeling that might influence them inrendering a verdict. Any juror having knowledge ofthe case should explain this to the judge.

Parties on either side may ask that a memberof the panel be excused or exempted from serviceon a particular jury. These requests, or demands,are called challenges.

A person may be challenged for cause if theexamination shows he or she might be prejudiced.The judge will excuse an individual from the panelif the cause raised in the challenge is sufficient.There is no limit to the number of challenges forcause which either party may make.

The parties also have a right to a certainnumber of challenges for which no cause isnecessary. These are called peremptorychallenges. Each side usually has a predeterminednumber of peremptory challenges. Theperemptory challenge is a legal right longrecognized by law as a means of giving both sidessome choice in the make-up of a jury. Jurorsshould clearly understand that being eliminatedfrom the jury panel by a peremptory challenge isno reflection upon their ability or integrity.

In some courts the peremptory challenges aremade openly in the hearing of the jury. In others,they are made from the jury list out of the jury’ssight.

The Jurors’ Solemn OathAfter the voir dire is completed, the jurors

selected to try the case will be sworn in. The judgeor the clerk will state to the jury:

5

“Members of the Jury, you will rise, hold upyour right hands, and be sworn to try this case.”

The jurors then rise and hold up their righthands. The jurors face the judge or the clerk whois to administer the oath. That official slowly,solemnly, and clearly repeats the oath. The jurorsindicate by their responses and upraised handsthat they take this solemn oath.

Jurors not wishing to take an oath mayrequest to affirm instead of swear. In somedistricts the jury is sworn upon the Bible and notby uplifted hand.

The Eight Stages of TrialThe trial proceeds when the jury has been

sworn. There are usually eight stages of trial incivil cases. They are:

(1) The lawyers present opening statements.Sometimes the opening statements onbehalf of one or more parties areomitted.

(2) Plaintiff calls witnesses and producesevidence to prove its case.

(3) Defendant may call witnesses andproduce evidence to disprove theplaintiffs case and to prove thedefendant’s claims.

(4) Plaintiff may call rebuttal witnesses todisprove what was said by thedefendant’s witnesses.

(5) Closing arguments are made by thelawyer on each side.

(6) The judge instructs or charges the juryas to the law.

(7) The jury retires to deliberate.

(8) The jury reaches its verdict.

During the trial, witnesses called by either

6

side may be cross-examined by the lawyers on theother side.

Throughout the trial, the judge may be askedin the presence of the jury to decide questions oflaw. Usually these questions concern objections totestimony that either side wants to present.Occasionally, the judge may ask jurors to leave thecourtroom briefly while the lawyers present theirlegal arguments for and against such objections.The law requires that the judge decide suchquestions.

A ruling by the judge does not indicate thatthe judge is taking sides. He or she is merelysaying, in effect, that the law does, or else doesnot, permit that question to be asked.

It is possible that the judge may decide everyobjection favorably to the plaintiff or thedefendant. That does not mean the case should bedecided by the jury for the plaintiff or thedefendant. Even where the judge decides everyobjection favorably to the plaintiff or thedefendant, the jury should maintain its objectivityand base its verdict strictly upon the testimony andexhibits received in evidence at trial.

The juror takes an oath to decide the case“upon the law and the evidence.” The law is whatthe judge declares the law to be. The evidencewhich you will consider consists of the testimonyof witnesses and the exhibits admitted in evidence.What evidence is proper for the jury to consider isbased upon the law of evidence.

The Arguments of CounselAfter presentation of the evidence is

completed, the lawyers have the opportunity todiscuss the evidence in their closing arguments.This helps the jurors recall testimony that mighthave slipped their memory.

The chief purpose of the argument is topresent the evidence in logical and comprehensible

7

order. The lawyers fit the different parts of thetestimony together and connect up the facts.

It must be remembered that each attorneypresents the view of the case that is most favorableto his or her own client. Each lawyer’s sideappears to be right to that lawyer. Each lawyer’sstatement may be balanced by the statement ofthe lawyers on the other side.

The Charge to the JuryThe charge of a judge to a jury in a United

States District Court frequently is much more thana statement of the rules of law. Sometimes it maycontain a summary of the facts or some of thefacts.

It is the jury’s duty to reach its ownconclusion. This is done upon the evidence. Theverdict is reached without regard to what may bethe opinion of the judge as to the facts, though asto the law the judge’s charge controls.

The judge may point out and may alsoexplain what basic facts are in dispute, and whatfacts do not actually matter in the case. In otherwords, the judge may try to direct the jury’sattention to the real merits of the case andimpartially summarize the evidence bearing on thequestions of fact. The judge will state the lawrelated to the facts presented to the jury.

The Jury’s VerdictIn both civil and criminal cases, it is the jury’s

duty to decide the facts in accordance with theprinciples of law laid down in the judge’s charge tothe jury. The decision is made on the evidenceintroduced, and the jury’s decision on the facts isusually final.

Courtroom EtiquetteA court session begins when the court official

raps for order. Everyone in the court rises. Thejudge takes his or her place on the bench, and the

8

court official announces the opening of court. Asimilar procedure is used when court adjourns.

Common courtesy and politeness are safeguides as to the way jurors should act. Of course,no juror will be permitted to read a newspaper ormagazine in the courtroom. Nor should a jurorcarry on a conversation with another juror in thecourtroom during the trial.

Jurors will be treated with consideration.Their comfort and convenience will be servedwhenever possible. They should bring to theattention of the judge any matter affecting theirservice and should notify the court of anyemergencies. In the event of a personalemergency, a juror may send word to the judgethrough any court personnel, or may ask to see thejudge privately.

Conduct of the Jury during the TrialJurors should give close attention to the

testimony. They are sworn to disregard theirprejudices and follow the court’s instructions. Theymust render a verdict according to their bestjudgment.

Each juror should keep an open mind.Human experience shows that, once persons cometo a preliminary conclusion as to a set of facts, theyhesitate to change their views. Therefore, it is wisefor jurors not to even attempt to make up theirmind on the facts of a case until all the evidencehas been presented to them, and they have beeninstructed on the law applicable to the case.Similarly, jurors should not discuss the case evenamong themselves until it is finally concluded.

During the trial the jury may hear referencesto the rules of evidence. Some of these rules mayappear strange to a person who is not a lawyer.However, each rule has a purpose. The rules haveevolved from hundreds of years of experience inthe trial of cases.

9

The mere fact that a lawsuit was begun is notevidence in a case. The opening and closingstatements of the lawyers are not evidence. A jurorshould disregard any statements made by a lawyerin argument that have not been proved by theevidence. A juror should also disregard anystatement by a lawyer as to the law of the case if itis not in accord with the judge’s instructions.

Jurors are expected to use all the experience,common sense and common knowledge theypossess. But they are not to rely on any privatesource of information. Thus they should becareful, during the trial, not to discuss the case athome or elsewhere. Information that a juror getsfrom a private source may be only half true, orbiased or inaccurate. It may be irrelevant to thecase at hand. At any rate, it is only fair that theparties have a chance to know and comment uponall the facts that matter in the case.

If it develops during the trial that a jurorlearns elsewhere of some fact about the case, he orshe should inform the court. The juror should notmention any such matter in the jury room.

Individual jurors should never inspect thescene of an accident or of any event in the case. Ifan inspection is necessary, the judge will have thejurors go as a group to the scene.

Jurors must not talk about the case withothers not on the jury, even their spouses orfamilies, and must not read about the case in thenewspapers. They should avoid radio andtelevision broadcasts that might mention the case.The jury’s verdict must be based on nothing elsebut the evidence and law presented to them incourt.

Breaking these rules is likely to confuse ajuror. It may be hard to separate in one’s mind thecourt testimony and reports coming from othersources.

Jurors should not loiter in the corridors or

10

vestibules of the courthouse. Embarrassingcontacts may occur there with persons interestedin the case. If juror identification badges areprovided, they should be worn in the courthouse atall times.

If any outsider attempts to talk with a jurorabout a case in which he or she is sitting, the jurorshould do the following:

(1) Tell the person it is improper for a jurorto discuss the case or receive anyinformation except in the courtroom.

(2) Refuse to listen if the outsider persists.

(3) Report the incident at once to the judge.

Jurors have the duty to report to the judge anyimproper behavior by any juror. They also havethe duty to inform the judge of any outsidecommunication or improper conduct directed atthe jury by any person.

Jurors on a case should refrain from talkingon any subject--even if it is not related to thematter being tried--with any lawyer, witness, orparty in the case. Such contact may make a newtrial necessary.

Some cases may arouse much publicdiscussion. In that event the jury may be kepttogether until the verdict is reached. Thisprocedure is used to protect the jurors againstoutside influences.

In the Jury RoomIn some districts the judge selects the

foreperson of the jury. In other districts the jurorselect their foreperson and in still other districts thefirst juror to enter the jury box becomes theforeperson automatically. The judge will informjurors which method is used in the district.

The foreperson presides over the jury’sdeliberations and must give every juror a fairopportunity to express his or her views.

11

Jurors must enter the discussion with openminds. They should freely exchange views. Theyshould not hesitate to change their opinions if thedeliberations have convinced them they werewrong initially.

In a criminal case all jurors must agree on theverdict. This is also required in a civil case, unlessthe jury is otherwise instructed by the court.

The jurors have a duty to give fullconsideration to the opinion of their fellow jurors.They have an obligation to reach a verdictwhenever possible. However, no juror is requiredto give up any opinion which he or she isconvinced is correct.

It would be dishonest for a judge to decide acase by tossing a coin. It would be just asdishonest for a juror to do so.

The members of the jury are sworn to passjudgment on the facts in a particular case. Theyhave no concern beyond that case. They violatetheir oath if they render their decision on the basisof the effect their verdict may have on othersituations.

After the TrialAfter the jurors return their verdict and are

dismissed by the judge, they are free to go abouttheir normal affairs, although in some districtsjurors must check with jury office personnel to seeif their service is concluded. They are under noobligation to speak to any person about the caseand may refuse all requests for interviews orcomments. Nevertheless, the court may enter anorder in a specific case that during any suchinterview, jurors may not give any information withrespect to the vote of any other juror.

ConclusionTo decide cases correctly, jurors must be

honest and intelligent. They must have both

12

integrity and good judgment. The jury system isbased on these attributes. The continued vitality ofthe jury system depends on them.

To meet their responsibility, jurors mustdecide the facts and apply the law impartially.They must not favor the rich or the poor. Theymust treat alike all men and women, corporationsand individuals. Justice should be rendered to allpersons without regard to race, color, religion orsex.

The performance of jury service is thefulfillment of a high civic obligation. Conscientiousservice brings its own reward in the satisfaction ofan important task well done. There is no morevaluable work that the average citizen can performin support of our Government than the full andhonest discharge of jury duty.

The effectiveness of the democratic systemitself is largely measured by the integrity, theintelligence, and the general quality of citizenshipof the jurors who serve in our courts.

13

Administrative Officeof the

United States CourtsWashington, D.C. 20544

HB100