Smith et al v. City of Santa Clara et al

Filing 233

FINAL VERSION OF PRELIMINARY JURY INSTRUCTIONS TO BE READ TO THE JURY. Signed by Judge Lucy Koh on 12/6/2013. (lhklc2, COURT STAFF) (Filed on 12/6/2013)

1
2
3
4
5
6
7
8

UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF CALIFORNIA
SAN JOSE DIVISION

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17

JOSEPHINE SMITH, an individual, and A.S., a )
)
minor,
)
)
Plaintiffs,
)
)
v.
)
CITY OF SANTA CLARA, a public entity, and )
)
CLAY ROJAS, an individual,
)
)
Defendants.
)

Case No.: 11-CV-3999-LHK

18
19

PRELIMINARY JURY INSTRUCTIONS

20
21

Dated: December 6, 2013

_______________________________
LUCY H. KOH
United States District Judge

22
23
24
25
26
27
28

1
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 1
DUTY OF JURY

1
2

Ladies and gentlemen: You are now the jury in this case. It is my duty to instruct you on the law.
3
4
5
6

These instructions are preliminary instructions to help you understand the principles that apply to
civil trials and to help you understand the evidence as you listen to it. You will be allowed to keep
this set throughout the trial to which to refer. This set of instructions is not to be taken home and
must remain in the jury room when you leave in the evenings. At the end of the trial, I will give
you a final set of instructions. It is the final set of instructions which will govern your
deliberations.

7
8

United States District Court
For the Northern District of California

9
10
11
12
13

You must not infer from these instructions or from anything I may say or do as indicating that I
have an opinion regarding the evidence or what your verdict should be.
It is your duty to find the facts from all the evidence in the case. To those facts you will apply the
law as I give it to you. You must follow the law as I give it to you whether you agree with it or
not. And you must not be influenced by any personal likes or dislikes, opinions, prejudices, or
sympathy. That means that you must decide the case solely on the evidence before you. You will
recall that you took an oath to do so.
In following my instructions, you must follow all of them and not single out some and ignore
others; they are all important.

14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

2
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 2
BURDEN OF PROOF -- PREPONDERANCE OF THE EVIDENCE

2
3
4

When a party has the burden of proof on any claim by a preponderance of the evidence, it means
you must be persuaded by the evidence that the claim is more probably true than not true.
You should base your decision on all of the evidence, regardless of which party presented it.

5
6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

3
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 3
TWO OR MORE PARTIES -- DIFFERENT LEGAL RIGHTS

2
3

You should decide the case as to each party separately. Unless otherwise stated, the instructions
apply to all parties.

4
5
6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

4
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 4
WHAT IS EVIDENCE

1
2

The evidence you are to consider in deciding what the facts are consists of:
3
4

1. The sworn testimony of any witness;

5

2. The exhibits which are received into evidence; and

6

3. Any facts to which the lawyers have agreed.

7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

5
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 5
WHAT IS NOT EVIDENCE

2
3
4
5
6

In reaching your verdict, you may consider only the testimony and exhibits received into evidence.
Certain things are not evidence, and you may not consider them in deciding what the facts are. I
will list them for you:
1. Arguments and statements by lawyers are not evidence. The lawyers are not witnesses. What
they have said in their opening statements, will say in their closing arguments, and at other times is
intended to help you interpret the evidence, but it is not evidence. If the facts as you remember
them differ from the way the lawyers have stated them, your memory of them controls.

7
8

United States District Court
For the Northern District of California

9
10
11
12
13

2. Questions and objections by lawyers are not evidence. Attorneys have a duty to their clients to
object when they believe a question is improper under the rules of evidence. You should not be
influenced by the objection or by the court’s ruling on it.
3. Testimony that has been excluded or stricken, or that you have been instructed to disregard, is
not evidence and must not be considered. In addition sometimes testimony and exhibits are
received only for a limited purpose; when I give a limiting instruction, you must follow it.
4. Anything you may have seen or heard when the court was not in session is not evidence. You
are to decide the case solely on the evidence received at the trial.

14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

6
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 6
EVIDENCE FOR A LIMITED PURPOSE

2

Some evidence may be admitted for a limited purpose only.
3
4

When I instruct you that an item of evidence has been admitted for a limited purpose, you must
consider it only for that limited purpose and for no other.

5
6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

7
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 7
DIRECT AND CIRCUMSTANTIAL EVIDENCE

2
3
4
5

Evidence may be direct or circumstantial. Direct evidence is direct proof of a fact, such as
testimony by a witness about what that witness personally saw or heard or did. Circumstantial
evidence is proof of one or more facts from which you could find another fact. You should
consider both kinds of evidence. The law makes no distinction between the weight to be given to
either direct or circumstantial evidence. It is for you to decide how much weight to give to any
evidence.

6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

8
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 8
RULING ON OBJECTIONS

2
3
4
5

There are rules of evidence that control what can be received into evidence. When a lawyer asks a
question or offers an exhibit into evidence and a lawyer on the other side thinks that it is not
permitted by the rules of evidence, that lawyer may object. If I overrule the objection, the question
may be answered or the exhibit received. If I sustain the objection, the question cannot be
answered, and the exhibit cannot be received. Whenever I sustain an objection to a question, you
must ignore the question and must not guess what the answer might have been.

6
7
8

Sometimes I may order that evidence be stricken from the record and that you disregard or ignore
the evidence. That means that when you are deciding the case, you must not consider the evidence
that I told you to disregard.

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

9
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 9
CREDIBILITY OF WITNESSES

1
2
3
4

In deciding the facts in this case, you may have to decide which testimony to believe and which
testimony not to believe. You may believe everything a witness says, or part of it, or none of it.
Proof of a fact does not necessarily depend on the number of witnesses who testify about it.

5

In considering the testimony of any witness, you may take into account:

6

1. The opportunity and ability of the witness to see or hear or know the things testified to;

7

2. The witness’s memory;

8

3. The witness’s manner while testifying;

United States District Court
For the Northern District of California

9

4. The witness’s interest in the outcome of the case and any bias or prejudice;

10

5. Whether other evidence contradicted the witness’s testimony;
11
12
13
14

6. The reasonableness of the witness’s testimony in light of all the evidence; and
7. Any other factors that bear on believability.
The weight of the evidence as to a fact does not necessarily depend on the number of witnesses
who testify about it.

15
16
17
18
19
20
21
22
23
24
25
26
27
28

10
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 10
CONDUCT OF THE JURY

1
2
3

I will now say a few words about your conduct as jurors.

4

First, keep an open mind throughout the trial, and do not decide what the verdict should be until
you and your fellow jurors have completed your deliberations at the end of the case.

5
6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13

Second, because you must decide this case based only on the evidence received in the case and on
my instructions as to the law that applies, you must not be exposed to any other information about
the case or to the issues it involves during the course of your jury duty. Thus, until the end of the
case or unless I tell you otherwise:
Do not communicate with anyone in any way and do not let anyone else communicate with you in
any way about the merits of the case or anything to do with it. This includes discussing the case in
person, in writing, by phone or electronic means, via e-mail, text messaging, or any Internet chat
room, blog, Web site or other feature. This applies to communicating with your fellow jurors until
I give you the case for deliberation, and it applies to communicating with everyone else including
your family members, your employer, and the people involved in the trial, although you may notify
your family and your employer that you have been seated as a juror in the case. But, if you are
asked or approached in any way about your jury service or anything about this case, you must
respond that you have been ordered not to discuss the matter and to report the contact to the court.

14
15
16
17
18
19
20

Because you will receive all the evidence and legal instruction you properly may consider to return
a verdict: do not read, watch, or listen to any news or media accounts or commentary about the
case or anything to do with it; do not do any research, such as consulting dictionaries, searching the
Internet or using other reference materials; and do not make any investigation or in any other way
try to learn about the case on your own.
The law requires these restrictions to ensure the parties have a fair trial based on the same evidence
that each party has had an opportunity to address. A juror who violates these restrictions
jeopardizes the fairness of these proceedings. If any juror is exposed to any outside information,
please notify the court immediately.

21
22
23
24
25
26
27
28

11
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 11
NO TRANSCRIPT AVAILABLE TO JURY

2
3
4
5

During deliberations, you will have to make your decision based on what you recall of the
evidence. You will not have a transcript of the trial. I urge you to pay close attention to the
testimony as it is given.
If at any time you cannot hear or see the testimony, evidence, questions or arguments, let me know
so that I can correct the problem.

6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

12
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 12
TAKING NOTES

1
2
3
4
5
6

If you wish, you may take notes to help you remember the evidence. If you do take notes, please
keep them to yourself until you and your fellow jurors go to the jury room to decide the case. Do
not let note taking distract you. When you leave, your notes should be left in the courtroom. No
one will read your notes. They will be destroyed at the conclusion of the case.
Whether or not you take notes, you should rely on your own memory of the evidence. Notes are
only to assist your memory. You should not be overly influenced by your notes or those of your
fellow jurors.

7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

13
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 13
BENCH CONFERENCES AND RECESSES

2
3
4
5
6
7
8

From time to time during the trial, it may become necessary for me to talk with the attorneys out of
the hearing of the jury, either by having a conference at the bench when the jury is present in the
courtroom, or by calling a recess. Please understand that while you are waiting, we are working.
The purpose of these conferences is not to keep relevant information from you, but to decide how
certain evidence is to be treated under the rules of evidence and to avoid confusion and error.
Of course, we will do what we can to keep the number and length of these conferences to a
minimum. I may not always grant an attorney’s request for a conference. Do not consider my
granting or denying a request for a conference as any indication of my opinion of the case or of
what your verdict should be.

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

14
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 14
STIPULATIONS OF FACT

1
2
3

The Parties have agreed to certain facts to be placed in evidence. You should therefore treat
these facts as having been proved.

4
5
6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

15
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 15
DEPOSITION IN LIEU OF LIVE TESTIMONY

2
3
4
5
6
7
8

A deposition is the sworn testimony of a witness taken before trial. The witness is placed
under oath to tell the truth and lawyers for each party may ask questions. The questions and
answers are recorded. When a person is unavailable to testify at trial, the deposition of that person
may be used at the trial.
You should consider deposition testimony, presented to you in court in lieu of live
testimony, insofar as possible, in the same way as if the witness had been present to testify.
Do not place any significance on the behavior or tone of voice of any person reading the
questions or answers.

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

16
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

1

INSTRUCTION NO. 16
IMPEACHMENT EVIDENCE – WITNESS

2
3
4

The evidence that a witness has been convicted of a crime may be considered, along with
all other evidence, in deciding whether or not to believe the witness and how much weight to give
to the testimony of the witness and for no other purpose.

5
6
7
8

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

17
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS

INSTRUCTION NO. 17
OUTLINE OF TRIAL

1
2
3
4
5

Trials proceed in the following way: First, each side may make an opening statement. An opening
statement is not evidence. It is simply an outline to help you understand what that party expects
the evidence will show. A party is not required to make an opening statement.
The plaintiff will then present evidence, and counsel for the defendant may cross examine. Then
the defendant may present evidence, and counsel for the plaintiff may cross examine.

6
7
8

After the evidence has been presented, I will instruct you on the law that applies to the case and the
attorneys will make closing arguments.
After that, you will go to the jury room to deliberate on your verdict.

United States District Court
For the Northern District of California

9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28

18
Case No.: 11-CV-3999-LHK
PRELIMINARY JURY INSTRUCTIONS