1. 1. QUESTION

   Summarize the court case below in your own words.

   Report writing requirements:

   Format your text consistently throughout the document, taking care to cite correctly the works used.
   One page of double-spaced text = approximately 250 words.
   A title page and the Bibliography do not count in the word count for the document.
   The total word count for your report is: 250-500 words.
   United States Court of Appeals for the 11th Circuit 233 F.3d 1285 (11th Cir. 2000)

   BARKETT, Circuit Judge:

   Phyllis Richardson appeals her conviction for embezzlement, money laundering, and mail fraud….

   A. Jury Questioning

   At the outset of Richardson’s trial, the district court instructed the jury that if they did not understand a part of a witness’ testimony they could submit written questions to the court after the lawyers ended the examination of that witness. The court explained to the jurors that some of their submitted questions might not be asked because the question might be improper under the rules of evidence and instructed them not to speculate on what the answer to such questions might be or why the court did not ask a particular question. Richardson did not object to this practice at the time.

   Throughout the trial, in accordance with the judge’s instructions, jurors occasionally submitted one or more questions for a witness. Upon receipt, the district court would review the questions with the lawyers at sidebar in order to hear, discuss and rule on objections, and then address those questions that were permitted to the witness. At mid-trial, Richardson objected to any future questions by the jury, arguing that the questions demonstrated that the jurors were becoming adversarial and engaging in premature deliberation. The district court disagreed with both of Richardson’s contentions and overruled her objection. The court, however, again instructed the jury, explaining that they were allowed to ask questions only for the purpose of clarifying a witness’ testimony; that jurors should not become advocates for either side; and that they must decide the case after they retired to the jury room based only on the evidence presented to them in court.

   During the course of the six-week trial, the court asked witnesses twenty- three sets of questions that had been submitted by the jury. Prior to Richardson’s objection, the court had addressed questions to five witnesses based on ten sets of questions submitted by jurors. Following Richardson’s objection, jurors submitted thirteen sets of questions to the court, twelve of which were addressed to two witnesses. Most of these questions came during the government’s case-in-chief, and the jurors did not ask any questions of Richardson. On appeal, Richardson first argues that permitting jurors to ask any questions at all deprived her of her constitutional right to a fair trial. Alternatively, Richardson argues that at least ten of the questions—all asked after her objection—were specifically prejudicial to her.

   Because Richardson did not object to the practice of jury questioning until mid-trial, two standards of review apply. Questions submitted prior to Richardson’s objection are reviewed for plain error, … while questions submitted after Richardson’s objection are reviewed for abuse of discretion…. “Plain error, when examined in the context of the entire case, is so obvious that failure to notice it would seriously affect the fairness, integrity and public reputation of judicial proceedings….” Thus, in order to establish plain error, Richardson must demonstrate prejudice—that is, she must demonstrate that the error affected the outcome of the district court proceedings….

   As an initial matter, under either standard, we reject outright Richardson’s argument that permitting juror questioning of witnesses is per se error. Indeed, every circuit to consider the practice has permitted it, holding that the decision to allow juror questioning rests within the discretion of the trial judge…. In addition, virtually every state court to consider the issue has permitted jurors to ask questions of witnesses, and the legislatures of Arizona and Florida have enacted statutes specifically mandating the practice….

   In American jurisprudence, a jury serves to “assure a fair and equitable resolution of factual issues…. ” In order to discharge this duty, it is incumbent upon jurors to listen to the evidence, taking care to understand it so that the facts can be determined and then applied to the relevant law. The underlying rationale for the practice of permitting jurors to ask questions is that it helps jurors clarify and understand factual issues, especially in complex or lengthy trials that involve expert witness testimony or financial or technical evidence. If there is confusion in a juror’s mind about factual testimony, “it makes good common sense to allow a question to be asked about it….” “Juror-inspired questions may serve to advance the search for truth by alleviating uncertainties in the jurors’ minds, clearing up confusion, or alerting the attorneys to points that bear further elaboration….” Indeed, “[t]here may be cases … in which the facts are so complicated that jurors should be allowed to ask questions in order to perform their duties as fact-finders….” Moreover, juror questioning leads to more attentive jurors and thereby leads to a more informed verdict….

   At the same time, in conjunction with the practice’s near unanimous acceptance, courts have cautioned district courts about the possible danger of juror questioning. In particular, courts have expressed concern that juror questioning risks distorting the adversarial process by “turning jurors into advocates, [thereby] compromising their neutrality….” Courts have also expressed concern that juror questioning may be “a subliminal invitation to launch prematurely into evaluating the evidence….” Moreover, courts have noted that the practice can “impale attorneys on the horns of a dilemma” when confronted by an improper juror question…. In such a situation, attorneys are faced with the prospect of either “objecting to questions proffered by the arbiters that [they] are attempting to influence” and risk alienating the jury, or foregoing objections and waiving all but the most egregious errors….

   Thus, to guard against abuses of discretion, district courts have been directed to employ measures that will protect against these risks. For example, in determining whether to permit juror questioning, the trial court should “weigh the potential benefit to the jurors against the potential harm to the parties, especially when one of those parties is a criminal defendant….” Questions should be permitted to clarify factual issues when necessary, especially in complex cases. However, the questioning procedure should not be used to test legal theories, to fill in perceived gaps in the case, or occur so repeatedly that they usurp the function of lawyer or judge, or go beyond the jurors’ role as fact finders. Care should be taken that the procedure utilized is fair, and permits all the parties to exercise their rights. To this end, jurors should not be permitted to directly question a witness but rather should be required to submit their questions in writing to the trial judge, who should pose the questions to the witness in a neutral manner…. Written submission of questions eliminates the possibility that a witness will answer an improper question and prevents jurors from hearing prejudicial comments that may be imbedded in improper questions…. This procedure also allows the attorneys to make and argue objections without fear of alienating the jury. Moreover, the jury should be instructed throughout the trial regarding the limited purpose of the questions, the proper use of the procedure and should be constantly cautioned about the danger of reaching conclusions or taking a position before all of the evidence has been received or speculating about answers to unasked questions. Finally, the district court should make clear to the jury “that questions are to be reserved for important points, that the rules of evidence may frequently require the judge to eschew certain questions, and that no implication should be drawn if a juror-inspired question withers on the vine….”

   Ultimately, however, whether juror questioning constitutes an abuse of discretion is a factually intense inquiry requiring a case-by-case analysis. Thus, we turn to Richardson’s specific claims in this case. At the outset, we note that the record reflects that the district court was well aware of the risks inherent in the juror questioning and went to great lengths to guard against them. First, the district court employed all of the recommended prophylactic measures, requiring written submissions, providing counsel with the opportunity to object privately, and exercising discretion in selectively choosing which questions were permissible and which questions would not be asked. Second, several times throughout the trial, the district court instructed the jury as to the limited purpose of the questions, the proper use of the procedure, and cautioned them about the danger of reaching conclusions before all of the evidence had been received. Finally, this was a factually complex case, involving allegations of money laundering, fraud and embezzlement. The trial in this matter spanned over six weeks, and the government’s case-in-chief involved numerous witnesses and the introduction of hundreds of documentary exhibits. Because of the complexity of this case and the precautions taken by the district court, we cannot say that the district court’s determination that the benefits to be gained by juror questioning in this case outweighed risk of prejudice constituted an abuse of discretion.

   Notwithstanding the care taken by the district court, Richardson argues that the juror questioning led to premature deliberation by the jurors by encouraging them to talk with each other and to form premature conclusions about the evidence and the case, thereby depriving her of an impartial trial. Richardson, however, cites no record evidence indicating that the jurors actually talked to each other about the questions they planned to ask, and the questions posed do not reflect any opinion the jurors may have held regarding either the credibility of any single witness, or the guilt or innocence of Richardson. The questions asked were generally factual in nature and for the purposes of clarification and do not evidence premature deliberation by the jury, but rather reflect the desire to have a witness elaborate on a certain factual point…. Richardson has failed to present any evidence of prejudice resulting from the juror questioning, and has failed to demonstrate that the district court abused its discretion in allowing the practice. Accordingly, we find no error based upon permitting the jurors to submit questions in this case.

Related Samples