Opinion ID: 166962
Heading Depth: 2
Heading Rank: 3

Heading: Allen Instruction to Jury

Text: Following closing arguments, the jury began deliberations at 3:50 p.m. and ended at 6:30 p.m. The next morning, it reconvened and deliberated another three hours before sending the district court a note signed by all twelve jurors stating, “What happens with a ‘hung jury?’ We are 6-guilty 6-not guilty and no one feels they can be swayed.” The judge presented both counsel with a proposed Allen instruction and told them he would answer the jury’s specific question by explaining, “if they remain deadlocked, it is necessary to declare a mistrial and that the case would have to be set for a second trial.” Mr. Hebah’s counsel objected to use of the Allen instruction because it included references to the cost of litigation, including the money, effort, and time expended in a second trial and also objected to the district court’s reference to a new trial, arguing a new trial might not be imminent if the government decided against prosecuting the matter a second time. The district court overruled the objections and gave the jury the proposed Allen instruction, along with additional verbal instruction intended to answer the specific question posed. After receiving the Allen instruction, the jury deliberated just under two hours and returned a unanimous verdict of guilty. -14- On appeal, Mr. Hebah provides the entire text of the lengthy instruction, 2 2 While we determine the appropriateness of only those portions of the instruction which Mr. Hebah contests, we view them in the context of the entire instruction to the jury, which was as follows: The Court wishes to suggest a few thoughts to you which you may consider in your deliberations. You should think about these concepts, along with the evidence received during the trial and all of the instructions previously given to you. This is an important case. The trial has required time, effort and money from both the defense and the prosecution. If you should fail to agree on a verdict, the case is left open and undecided. Like all cases, it must be resolved at some time. There is no reason to believe that a second trial would not be costly to both sides. Nor does there appear any reason to believe that the case can be tried again by either side better or more exhaustively than it has been tried before you. There is no reason to believe that more evidence or better evidence would be produced at a second trial. Any future jury would be selected in the same manner and from the same source as you were chosen. So there appears no reason to believe that the case could ever be submitted to 12 people more conscientious, more impartial or more competent to decide. These concepts are, of course, clear to all of us who have participated in this trial. The only reason I mention these facts now is because some of them may have escaped your attention while you have been fully occupied in reviewing the evidence in this case in the light of the instructions with your fellow jurors. These are all matters which remind us how desirable it is that you unanimously agree upon a verdict. As stated in the instructions given at the time the case was first submitted to you for instruction, you should not surrender your honest beliefs as to the weight or effect of evidence solely because of the opinion of other jurors or for the mere purpose of returning a unanimous verdict. -15- However, it is your duty as jurors to consult with one another and to deliberate with a view to reaching an agreement, if you can do so without violence to individual judgment. Each of you must decide the case for yourself, but you should do so only after consideration of the evidence in the case with your fellow jurors. In the course of your deliberations you should not hesitate to reexamine your own views and change your opinion if convinced it is erroneous. In order to bring 12 minds to a unanimous result, you must examine the question submitted to you with candor and frankness and with proper deference to and conferring together, each of you should pay due attention and respect to the views of the others and listen to each other’s arguments with a disposition to reexamine your own views. If a greater majority of you are for a conviction, each dissenting juror ought to consider whether a doubt in his or her mind is a reasonable one, since it makes no effective impression upon the minds of so many equally honest and equally conscientious fellow jurors who bear the same responsibility, serve under the same oath, and have heard the same evidence, with, we may assume, the same attention and with an equal desire to arrive at the truth. If, on the other hand, a majority or even a lesser number of you are for acquittal, other jurors ought to seriously ask themselves again and most thoughtfully whether they do not have a reason to doubt the correctness of the judgment which is not concurred in by so many of their fellow jurors beyond a reasonable doubt. As I’ve told you before, you’re not partisans. You’re judges. You’re judges of the facts of this case. Your sole interest here is to determine whether the Government has proven each essential element of the charge concerning the defendant beyond a reasonable doubt. You are the exclusive judges of the credibility of all of the witnesses and of the weight and effect of the evidence. Remember at all times that no juror is expected to yield a conscientious belief he or she may have as to the weight or effect of evidence. But remember also that after full deliberation and consideration of all of the evidence in the case, it is your duty to agree -16- upon a verdict if you can do so without yielding–without violating, rather, your individual judgment and your conscience. Remember, too, if the evidence in the case fails to establish guilt beyond a reasonable doubt, the defendant should have your unanimous verdict of not guilty. In order to make a decision more practicable, the law imposes the burden of proof on one party or the other in all cases. And in a criminal case, the burden of proof is upon the Government. Above all, keep constantly in mind that unless your final, conscious appraisal of the evidence in the case clearly requires it, the defendant should never be exposed to the risk of having to twice run the gauntlet of criminal prosecution and to endure a second time the mental, emotional and financial strain of a criminal trial. You may conduct your deliberations as you choose, of course, but I suggest that you now carefully reexamine and reconsider all of the evidence in the case bearing upon the questions before you in the light of the Court’s instructions on the law. You may be as leisurely in your deliberations as the occasion may require, and you may take all of the time this afternoon that you feel is necessary. And you may now retire and continue your deliberations in such manner as shall be determined by your good and conscientious judgment as reasonable men and women. Now, I really didn’t directly answer your question which was what happens with a hung jury. It is implied in the instruction, a copy of which will go to the jury room with you. If the jury becomes hopelessly deadlocked and the Court so concludes, the Court will then declare a mistrial in this case and that means that the defendant has not then been placed in jeopardy. We have a concept of what is called a double jeopardy. A person can’t be placed in double jeopardy. So then the case is rescheduled for a second trial at the convenience of the Court. And I don’t know what my schedule or docket is for the next three or four months, but we would have to fit it in someplace -17- but fails to point to the specific portion of the instruction to which he objects, stating only that the instruction inappropriately referred to the importance of reaching a verdict and the costs incurred with a second trial. Assumably, he is referring to portions of the first and last parts of the instruction, which state: This is an important case. The trial has required time, effort and money from both the defense and the prosecution. There is no reason to believe that a second trial would not be costly to both sides. .... ... Above all, keep constantly in mind that unless your final, conscious appraisal of the evidence in the case clearly requires it, the defendant should never be exposed to the risk of having to twice run the gauntlet of criminal prosecution and to endure a second time the mental, emotional and financial strain of a criminal trial. Mr. Hebah also argues the district court erred by limiting the time for jury deliberations to only one afternoon, by stating to the jury: You may conduct your deliberations as you choose, of course, but I suggest that you now carefully reexamine and reconsider all of the evidence in the case bearing upon the questions before you in the light of the Court’s instructions on the law. You may be as leisurely in your deliberations as the occasion may require, and you may take all of the time this afternoon that you feel is necessary. (Emphasis added.) Next, he contests the district court’s verbal instruction there. So that's the best I can tell you. -18- addressing the jurors’ specific question, in which it stated: Now, I really didn’t directly answer your question which was what happens with a hung jury. It is implied in the instruction, a copy of which will go to the jury room with you. If the jury becomes hopelessly deadlocked and the Court so concludes, the Court will then declare a mistrial in this case and that means that the defendant has not then been placed in jeopardy. We have a concept of what is called a double jeopardy. A person can’t be placed in double jeopardy. So then the case is rescheduled for a second trial at the convenience of the Court. And I don’t know what my schedule or docket is for the next three or four months, but we would have to fit it in someplace there. So, that's the best I can tell you. He suggests the district court’s comments on rescheduling for a second trial “unquestionably put the jury in the difficult position of ‘inconveniencing’ the court if they were unable to reach a verdict,” and its comments on double jeopardy were confusing and “improperly place[d] a legal burden upon the jury, ... i.e., reflecting on the concept of double jeopardy and the effect of a mistrial upon that right.” Mr. Hebah also contends the timing of the Allen instruction, which was not included with the other jury instructions, caused the jury to view it in isolation, increasing the possibility of coercion; the district court’s coerciveness is evidenced by the fact the jury reached its verdict only two hours after receiving the Allen instruction; 3 and the district court’s verbal statements laid a “guilt trip” 3 Mr. Hebah did not raise some of these contentions at the trial level, including issues related to the Allen instruction not being given with other instructions, the jury arriving at its verdict only two hours after receiving that instruction, and the district court -19- on the jury. An Allen instruction derives its name from jury instructions approved by the Supreme Court in Allen v. United States, 164 U.S. 492 (1896), and it is used for the purpose of encouraging: unanimity (without infringement upon the conscientious views of each individual juror) by urging each juror to review and reconsider the evidence in the light of the views expressed by other jurors, in a manner evincing a conscientious search for truth rather than a dogged determination to have one’s own way in the outcome of the deliberative process. United States v. Smith, 857 F.2d 682, 683-84 (10th Cir. 1988). A modified Allen instruction, like the one used here, is one directed to all the members of the jury, not just those in the minority view. United States v. Alcorn, 329 F.3d 759, 766 (10th Cir. 2003). This court has long sanctioned the use of a modified Allen instruction, while also traditionally urging caution in its use. Id. at 766; Gilbert v. Mullin, 302 F.3d 1166, 1173 (10th Cir. 2002). We review an Allen instruction “in its context and under all the circumstances,” Gilbert, 302 F.3d at 1173, improperly limiting the time for their deliberations and instructing them on double jeopardy. Given these issues were not raised before the district court, we may review them for plain error. See United States v. Hernandez-Garcia, 901 F.2d 875, 876 (10th Cir. 1990). Plain error in the context of an Allen instruction involves an error that “affects the defendant’s fundamental right to a fair and impartial trial.” Id. at 876 (quotation marks, alteration, and citation omitted). In any event, in this case, regardless of whether we apply either a plain or harmless error standard of review, we reject Mr. Hebah’s contentions. -20- considering whether it “was erroneously given on a case-by-case basis with a view towards determining whether the instruction had a coercive effect on the jury.” United States v. Rodriguez-Mejia, 20 F.3d 1090, 1091 (10th Cir. 1994). Whether an Allen instruction was improperly coercive is a mixed question of law and fact. Gilbert, 302 F.3d at 1171. In determining whether the Allen instruction was coercive, we consider: (1) the language of the instruction; (2) its incorporation with other instructions; (3) the timing of the instruction; and (4) the length of the jury’s subsequent deliberations. See id. at 1173. First, with respect to the language of the Allen instruction, we reject Mr. Hebah’s objection to selected portions of the instruction. When included with the language directed at the entire jury and cautioning no juror to surrender his or her conscientious conviction, this court has approved the same or similar language contested by Mr. Hebah that “[t]his is an important case,” see Gilbert, 302 F.3d at 1172; United States v. Reed, 61 F.3d 803, 805 n.5 (10th Cir. 1995); United States v. McKinney, 822 F.2d 946, 950 n.2 (10th Cir. 1987), and the trial has required “time, effort and money to both the defense and the prosecution,” see Reed, 61 F.3d at 805 n.5; United States v. Ellzey, 936 F.2d 492, 499 n.1, 501 n.2 (10th Cir. 1991). -21- Similarly, in viewing the instruction as a whole, we have sanctioned the use of language that another or second trial would be costly to both sides, see Reed, 61 F.3d at 805 n.5, and a like reference to the “mental, emotional and financial strain” of a second trial, see, e.g., United States v. Arney, 248 F.3d 984, 987-88 n.3 (10th Cir. 2001) (considering instruction, which included statement “[y]our failure to agree upon a verdict will necessitate another trial and require the parties once again to undergo the investment of time and effort and the stress of trial”); Smith, 857 F.2d at 684 (considering italicized words in instruction statement, explaining, “If you fail to reach a verdict, the parties will be put to the expense of another trial and will once again have to endure the mental and emotional strain of a trial.”). 4 Applying the requisite standard of review, and considering the contested language in view of the entire Allen instruction given, we find no coerciveness in its use. The instruction as a whole was “evenhanded, it did not presume that the majority favored a guilty verdict; and it emphasized that no juror was expected to yield a conscientious conviction on the evidence.” Reed, 61 F.3d at 805. 4 It does not appear Mr. Hebah is specifically renewing his trial objection that the Allen instruction inappropriately mentioned a new trial given the government might decide not to prosecute. Even if we consider his objection, we reject it, noting we have rejected similar claims before. See Hernandez-Garcia, 901 F.2d at 876-77; Smith, 857 F.2d at 682, 685. -22- With respect to the time the instruction was tendered, we have stated a preference to tender an Allen instruction at the same time as other instructions, but it is not, per se, error to tender such an instruction after deliberations have begun and the jury notifies the court it is having trouble reaching a unanimous verdict. See Arney, 248 F.3d at 989; Rodriguez-Mejia, 20 F.3d at 1092. Similarly, with regard to the amount of time the jury deliberated after receiving the Allen instruction in this case, it deliberated just under two hours before arriving at a unanimous verdict. We find this fact, in consideration with all the circumstances presented, is not determinative of coerciveness, and in so doing, point out this court has upheld guilty verdicts arrived at in less time after receiving an Allen instruction which, like here, did not contain coercive or otherwise faulty language. See, e.g., Arney, 248 F.3d at 987, 990 (upholding guilty verdict in as little as one hour after receiving the instruction); Ellzey, 936 F.2d at 501 n.2 (upholding verdict rendered approximately one and one-half hours after Allen instruction tendered). But see United States v. McElhiney, 275 F.3d 928, 946 (10th Cir. 2001) (finding of coerciveness in circumstance where, in part, instruction was defective and jury reached a unanimous verdict within as little as one hour and thirty minutes after instruction was tendered). Finally, we consider Mr. Hebah’s contentions the district court improperly -23- gave verbal instructions which: (1) limited the jury’s deliberation time to only that afternoon; (2) made the jury feel it would inconvenience the court if a mistrial occurred; (3) placed the legal burden on the jury in its reference to “double jeopardy”; and (4) otherwise laid a “guilt trip” on them. To begin, we find no error in the district court’s disputed verbal comment to jurors “[y]ou may be as leisurely in your deliberations as the occasion may require, and you may take all of the time this afternoon that you feel is necessary.” (Emphasis added.) Given the written Allen instruction contained only the statement “[y]ou may be as leisurely in your deliberations as the occasion may require and you may take all the time which you feel is necessary,” and the district court likewise informed the jurors they could leisurely deliberate, we do not believe the district court’s additional verbal comment for the jurors to “take all of the time this afternoon that you feel is necessary,” would coerce a jury to reach a verdict by the end of that afternoon without regard to the instruction’s explicit cautions that no juror should yield a conscientious conviction on the evidence. Our decision is buttressed by the fact the jury arrived at its verdict at 2:10 p.m., well before the afternoon ended, so the jurors could have taken more time if necessary, even if they somehow believed they only had that afternoon to reach a decision. As to Mr. Hebah’s contention the district court improperly remarked on the -24- issue of “double jeopardy” and therefore inappropriately placed a legal burden on the jury, we believe the remark was fairly generic and did not impose any such burden. Given the remark followed the Allen instruction, and was therefore given in context with an instruction not requiring any deliberation on the concept of “double jeopardy,” we do not believe the reference to “double jeopardy” in this case caused any coerciveness, or even any confusion. Next, the district court judge’s verbal comment concerning his upcoming trial schedule would not likely cause a juror to forfeit his or her own conviction just for the convenience of the court, especially since the Allen instruction thoroughly explained and emphasized that no juror should yield his or her conscientious conviction on the evidence. As to Mr. Hebah’s statement the district court laid a “guilt trip” on the jury, the appropriate standard in which we view arguments related to Allen instructions is for coerciveness. Under the circumstances as a whole, viewing the record together with the Allen instruction given by the district court and any verbal comments accompanying it, the record does not indicate, and Mr. Hebah has not shown, the district court coerced the jury into the verdict rendered.