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ÝÔ_Ôà€Ê!Ê!G(#à4.00 `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€æ!æ!G(#à4.02 Ñ `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ€&x—%XXÔà€æ!æ!G(#à4.10 CÝ ƒ,C*ÝÝ  ÝÔ_Ôà€´ ´ E(#à12.07M `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ€&x—%XXÔà€æ!æ!G(#à4.11 Ò oÝ ƒ.C'ÝÝ  ÝÔ_Ôà@¡ ¡ ìàò òFinal€Instructions:€€Criminal€Responsibilityó ó AÝ ƒ,C*ÝÝ  ÝÔ_Ôà€Ê!Ê!G(#à5.00 ‹Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔÔ‡Z&w,X%&x—ÔÓ  Óà€Ê!Ê!G(#à5.02 CÝ ƒ,C*ÝÝ  ÝÔ_Ôà€Ö Ö E(#à12.07N Ó ŒÝ ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔÔ‡Z&w,X%&x—ÔÓ  Óà€P!P!F(#à5.06E CÝ ƒ,C*ÝÝ  ÝÔ_Ôà€Ö Ö E(#à12.07O Ô CÝ ƒ,C*ÝÝ  ÝÔ_Ôà€ö ö E(#à12.07P Õ BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.08 Ö × Ø BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.09 Ù BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.10 Ú BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.11 Û BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.12 Ü BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.13 Ý BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.14 Þ JÝ ƒ,C*ÝÝ  ÝÔ_Ôà€þþ>(#à12.15€„€12.19 ß BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.20 à BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.21 á BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€f!f!F(#à12.22 â ã ä å æ ç è é ê ë ì í î ï ð ñ ò ó ô õ ö ÷ ø ù ú û ü ý þ ÿ                `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€æ!æ!G(#à2.02 `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€æ!æ!G(#à2.03 AÝ ƒ,C*ÝÝ  ÝÔ_Ôà€Ê!Ê!G(#à2.04 `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€æ!æ!G(#à2.05 aÝ ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€b!b!F(#à2.06A BÝ ƒ,C*ÝÝ  ÝÔ_Ôà€F!F!F(#à2.06B `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€æ!æ!G(#à2.07 `Ý ƒ,C*ÝÝ  ÝÔ_ÔÔ‡&x—%XXÔà€æ!æ!G(#à2.08 ZÝ ƒ–üÝ$Ýà  àòòÚ  Ú1Ú  ÚóóÝ  ÝÔ_ÔCongress€amended€31€U.S.C.€ðð€5322(a)€to€eliminate€the€applicability€of€the€provisionððsÐ ° Ðmens€rea€requirement€to€offenses€committed€under€section€5324,€thereby€superceding€by€statuteÐ œì Ðthe€narrow€holding€in€òòRatzlafóó. 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" # $(ÍO$——ÔÿÔòòóóÔÿÔÝ ƒ!ÝÝ  ÝÔ_ÔÙÙÑ  ÑÔY<ìÔÌÌÌÌÌà@ˆˆ&ìàò òMANUAL€OFˆÐ L Ø  ÐÌà@JJ#ìàMODEL€CRIMINALˆÐ $ °  ÐÌà@ÏÏ"ìàJURY€INSTRUCTIONSˆÐ ü ˆ  ÐÌÌà@ÎÎ'ìàfor€theˆÐ ÀL  ÐÌà@¾¾ìàDISTRICT€COURTS€OF€THEˆÐ ˜$ ÐÌà@ŒŒ#ìàEIGHTH€CIRCUITó óˆÐ pü ÐÌÌÌÌÌà@%ìàPrepared€byˆÐ ø„ ÐÌà@CCìàJudicial€Committee€on€ModelˆÐ Ð\ Ðà@SS"ìàJury€InstructionsˆÐ ¼H Ðà@““ìàfor€the€Eighth€CircuitˆÐ ¨4 ÐÌà@øø%ìà__________ˆÐ €   ÐÌÌà@ää$ìà2011€EditionˆÐ D!Ð# ÐÔY<ìEÔÐ  0"ø!( ÐØØÑ8€w,XdìdÈ8ÑÔ[<ìÔà@ ìàò òTO€THE€JUDGES€AND€MEMBERS€OF€THE€BAR€OFˆÐ °< Ðà@£ £ ìàTHE€EIGHTH€JUDICIAL€CIRCUITó óˆÐ œ( Ðà@øø%ìà__________ˆÐ ˆ ÐÌÓ €Óà  àThe€Eighth€Circuit€Judicial€Committee€on€Model€Jury€Instructions€herewith€submits€itsÐ `ì Ð2011€edition€of€the€Manual€of€Model€Criminal€Jury€Instructions.€€It€supersedes€all€prior€editions.Ð L Ø  Ðà  àThe€purpose€of€this€Manual€is€stated€in€its€introduction.€€We€recognize€that€the€manner€ofÐ ® :  Ðinstructing€a€jury€varies€widely€among€judges,€but€these€models€are€offered€as€clear,€brief€andÐ š &  Ðsimple€instructions€calculated€to€maximize€jury€comprehension.€€They€are€available€to€judges€andÐ †   Ðlitigants€to€be€used€in€their€discretion€in€tailoring€the€instructions€in€a€particular€case.€€These€areÐ r þ  Ðintended€to€be€model,€not€mandatory,€instructions€and€should€be€modified€as€appropriate€to€moreÐ ^ê  Ðclearly€and€precisely€present€issues€to€the€jury.€€Ð JÖ  Ðà  àAlthough€the€Eighth€Circuit€cannot€give€prior€approval€to€the€instructions,€we€are€gratefulÐ ¬8 Ðfor€the€support€they€have€provided€to€us€in€this€endeavor.€€We€are€also€grateful€to€the€judges,Ð ˜$ Ðlawyers,€prosecutors€and€federal€practice€committees€throughout€the€Circuit€who€assisted€theÐ „ ÐCriminal€Jury€Instructions€Subcommittee.€€This€subcommittee€drafted€the€vast€majority€of€theseÐ pü Ðinstructions,€notes€and€committee€comments.€€They€meet€regularly€and€the€substantialÐ \è Ðcontribution€they€make€is€obvious€from€the€instructions€which€are€included.€€The€names€andÐ HÔ Ðaddresses€of€the€committee€and€subcommittee€members€are€attached.Ð 4À Ðà  àWe€also€express€special€thanks€to€Kay€Bode,€Judicial€Assistant€to€Judge€Whitworth,€whoÐ –" Ðretyped€many€of€the€instructions€and€edited€them€for€consistency.€€Her€careful€attention€to€detailÐ ‚ Ðwas€essential€in€discovering€and€eliminating€errors€which€might€otherwise€have€been€included.Ð nú Ðà  àThese€instructions€are€available€to€you€on€the€Eighth€Circuit€Jury€Instructions€Website€atÐ Ð\ ÐÔ4‚ÊÝ °ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ôhttp://www.juryinstructions.ca8.uscourts.gov/Ô6à ÔÝ‚Ù ÍOô ƒÝóóÔÿÔÝ  ÝÔ7Ý ú" Ô.€€The€Committee€plans€to€continue€in€operation€toÐ ¼H Ðmake€the€instructions€more€clear€to€jurors€and€to€add€instructions€on€the€substantive€law€forÐ ¨4  Ðoffenses€that€are€frequently€tried€in€the€Eighth€Circuit.€€As€these€instructions€are€used,€if€a€judgeÐ ” ! Ðor€lawyer€believes€improvement€can€be€made€in€the€clarity€of€any€instruction,€or€that€a€particularÐ € " Ðinstruction€is€in€error,€we€would€appreciate€hearing€from€you.Ð lø# Ðà  àThe€Committee€sincerely€hopes€these€instructions€will€be€of€some€help€to€judges€in€theirÐ Î Z% Ðcommunications€with€the€jury,€thereby€improving€the€quality€of€justice€we€all€endeavor€to€attain.Ð º!F& Ðà  àThis€volume€is€dedicated€to€the€Honorable€William€A.€Knox,€who€was€a€member€of€theÐ #¨ ( ÐCommittee€and€served€as€Chairman€of€both€the€Civil€and€Criminal€Subcommittees€for€24€years.€Ð $”!) ÐA€dedication€page€is€included€herein.Ð ô$€"* ÐÌÓ €Óà  àà ` àà ¸ àà  àà h àà À àRespectfully€submitted,Ð ¸'D%. Ðà  àà ` àà ¸ àà  àà h àà À àBILL€R.€WILSONÐ ¤(0&/ Ðà  àà ` àà ¸ àà  àà h àà À àChairmanÐ  )'0 Ðà@bb%ìàò òDEDICATIONó óˆÐ ° ÐÌÓ €Óà  àThe€Committee€is€honored€to€dedicate€these€Instructions€to€the€Honorable€William€A.Ð ˆØ ÐKnox.€€Judge€Knox€was€a€member€of€the€Committee€and€served€as€Chairman€of€both€the€CivilÐ tÄ Ðand€Criminal€Subcommittees€for€more€than€24€years€before€his€retirement€in€January€2010.€€Ð `° ÐJudge€Knox€continues€to€be€an€active€member€of€both€Subcommittees,€even€in€retirement.€€As€aÐ L œ Ðformer€law€professor€at€the€University€of€Missouri,€Judge€Knox€has€superb€knowledge€of€the€lawÐ 8 ˆ Ðand€his€many€contributions€to€this€project€have€been€invaluable€and€have€played€a€huge€role€in€itsÐ $ t Ðsuccess.€€Ð  ` Ðà  àIt€is€a€great€privilege€for€the€Committee€to€recognize€Judge€Knoxððs€work€on€theÐ r   ÐInstruction€Committee€and€Subcommittees€and€dedicate€these€Instructions€in€recognition€of€hisÐ ^®  Ðoutstanding€contributions.€Ð  Jš  ÐÓ €Óà@ï ï ìàò òCOMMITTEE€ON€MODEL€JURY€INSTRUCTIONSˆÐ ° Ðà@ŒŒ#ìàEIGHTH€CIRCUITó óˆÐ œì ÐÌCHAIRMAN:à0 ` àà0¸ ` (#` (#àÔ‡ZXw,XXXÔHonorable€Bill€R.€WilsonÐtĸ (#¸ (# Ðà0  àà0` (#(#àà0¸ ` (#` (#àUnited€States€Senior€District€JudgeÐ`°¸ (#¸ (# Ðà0  àà0` (#(#àà0¸ ` (#` (#àRichard€S.€Arnold€U.S.€CourthouseÐL œ¸ (#¸ (# Ðà0  àà0` (#(#àà0¸ ` (#` (#à500€W.€Capitol€Avenue,€Suite€D„444Ð8 ˆ¸ (#¸ (# Ðà0  àà0` (#(#àà0¸ ` (#` (#àLittle€Rock,€Arkansas€€72201Ð$ t¸ (#¸ (# Ðà0  àà0` (#(#àà0¸ ` (#` (#àà0¸ (#¸ (#à(501)€604„5140Ð `(#(# Ðà0  àà0` (#(#àà0¸ ` (#` (#àà0¸ (#¸ (#à(501)€604„5149€(fax)Ðü L (#(# ÐÔ#†Xw,XXZXw,#ÔÌMEMBERS:Ð Ô$  ÐÒ(X°(#°(#(ÒÔ‡ZXw,XXXw,Ôà0  àHonorable€Laurie€Smith€CampÐÀ ÀÀ Ðà0  àUnited€States€District€JudgeЬü ÀÀ Ðà0  àRoman€L.€Ô_ÔHruskaÔ_Ô€U.S.€CourthouseИè ÀÀ Ðà0  à111€S.€Eighteenth€Plaza,€Suite€3210Ð„Ô ÀÀ Ðà0  àOmaha,€Nebraska€€68102ÐpÀÀÀ Ðà0  àà0` ÀÀà(402)€661„7323Ð\¬` À` À Ðà0  àà0` ÀÀà(402)€661„7326€(fax)ÐH˜` À` À ÐÔ#†Xw,XXZXw,„#ÔÌà0  àHonorable€Patrick€A.€ConmyÐ pÀÀ Ðà0  àUnited€States€Senior€District€JudgeÐ \ÀÀ Ðà0  àWilliam€L.€Guy€U.S.€CourthouseÐøHÀÀ Ðà0  à220€E.€Rosser€Avenue,€Suite€160Ðä4ÀÀ Ðà0  àBismarck,€North€Dakota€€58501ÐÐ ÀÀ Ðà0  àà0` ÀÀà(701)€530„2315м ` À` À Ðà0  àà0` ÀÀà(701)€530„2318€(fax)Шø` À` À ÐÌà0  àHonorable€Beth€M.€DeereЀÐÀÀ Ðà0  àUnited€States€Magistrate€JudgeÐl¼ÀÀ Ðà0  àRichard€S.€Arnold€U.S.€Courthouse€ÐX ¨ÀÀ Ðà0  à500€W.€Capitol,€Suite€C„150ÐD!”ÀÀ Ðà0  àLittle€Rock,€Arkansas€72201Ð0"€ ÀÀ Ðà0  àà0` ÀÀà(501)€604„5110Ð#l!` À` À Ðà0  àà0` ÀÀà(501)€604„5117€(fax)Ð$X"` À` À ÐÌà0  àHonorable€Ralph€R.€EricksonÐà%0!$ÀÀ Ðà0  àChief€United€States€District€JudgeÐÌ&"%ÀÀ Ðà0  àQuentin€N.€Ô_ÔBurdickÔ_Ô€U.S.€Courthouseи'#&ÀÀ Ðà0  à655€First€Avenue€N,€Suite€410Ф(ô#'ÀÀ Ðà0  àFargo,€North€Dakota€€58102Ð)à$(ÀÀ Ðà0  àà0` ÀÀà(701)€297„7080Ð|*Ì%)` À` À Ðà0  àà0` ÀÀà(701)€297„7085€(fax)Ðh+¸&*` À` À Їà0 p àHonorable€John€A.€JarveyÐÀ *p(#p(# Ðà0 p àUnited€States€District€JudgeЬü +p(#p(# Ðà0 p à131€E.€Fourth€Street,€Suite€252Иè ,p(#p(# Ðà0 p àDavenport,€Iowa€€52801Ð„Ô -p(#p(# Ðà0 p àà0Èp(#p(#à(563)€884„7727ÐpÀ.È(#È(# Ðà0 p àà0Èp(#p(#à(563)€884„7729€(fax)Ð\¬/È(#È(# ÐÌà0 p àHonorable€Richard€H.€KyleÐ4„1p(#p(# Ðà0 p àUnited€States€Senior€District€JudgeÐ p2p(#p(# Ðà0 p àWarren€E.€Burger€Federal€BuildingÐ \3p(#p(# Ðà0 p à316€N.€Robert€Street,€Suite€772ÐøH4p(#p(# Ðà0 p àSt.€Paul,€Minnesota€€55101Ðä45p(#p(# Ðà0 p àà0Èp(#p(#à(651)€848„1160ÐÐ 6È(#È(# Ðà0 p àà0Èp(#p(#à(651)€848„1162€(fax)м 7È(#È(# ÐÌà0 p àHonorable€Nanette€K.€LaughreyДä9p(#p(# Ðà0 p àUnited€States€District€JudgeЀÐ:p(#p(# Ðà0 p àChristopher€S.€Bond€U.S.€CourtÐ l¼; ÐHouseÐX ¨<p(#p(# Ðà0 p à80€Lafayette€Street,€Suite€4111ÐD!”=p(#p(# Ðà0 p àJefferson€City,€Missouri€€65101Ð0"€>p(#p(# Ðà0 p àà0Èp(#p(#à(573)€632„6623Ð#l?È(#È(# Ðà0 p àà0Èp(#p(#à(573)€636„5108€(fax)Ð$X@È(#È(# ÐÌÐ à%0!B Ðà0  àHonorable€Stephen€N.€Ô_ÔLimbaughÔ_Ô,€Jr.аÀÀ Ðà0  àUnited€States€District€JudgeÐœìÀÀ Ðà0  àRush€H.€Ô_ÔLimbaughÔ_Ô,€Sr.,€U.S.Ð ˆØ ÐCourthouseÐtÄÀÀ Ðà0  à555€Independence€StreetÐ`°ÀÀ Ðà0  àCape€Girardeau,€Missouri€€63703ÐL œÀÀ Ðà0  àà0` ÀÀà(573)€331„8873Ð8 ˆ` À` À Ðà0  àà0` ÀÀà(573)€331„8874€(fax)Ð$ t` À` À ÐÌà0  àHonorable€Ann€D.€MontgomeryÐü L ÀÀ Ðà0  àUnited€States€District€JudgeÐè 8 ÀÀ Ðà0  àU.S.€CourthouseÐÔ$ ÀÀ Ðà0  à300€S.€Fourth€Street,€Suite€13„WÐÀ ÀÀ Ðà0  àMinneapolis,€Minnesota€€55415Ьü ÀÀ Ðà0  àà0` ÀÀà(612)€664„5090Иè ` À` À Ðà0  àà0` ÀÀà(612)€664„5097€(fax)Ð„Ô ` À` À ÐÌà0  àHonorable€James€M.€MoodyÐ\¬ÀÀ Ðà0  àUnited€States€Senior€District€JudgeÐH˜ÀÀ Ðà0  àRichard€S.€Arnold€U.S.€CourthouseÐ4„ÀÀ Ðà0  à500€W.€Capitol€Avenue,€Suite€C„446Ð pÀÀ Ðà0  àLittle€Rock,€Arkansas€€72201Ð \ÀÀ Ðà0  àà0` ÀÀà(501)€604„5150ÐøH` À` À Ðà0  àà0` ÀÀà(501)€604„5373€(fax)Ðä4` À` À ÐÌà0  àHonorable€Karen€E.€Schreierм ÀÀ Ðà0  àChief€United€States€District€JudgeШøÀÀ Ðà0  àU.S.€CourthouseДäÀÀ Ðà0  à400€S.€Phillips€Avenue,€Suite€233ЀÐÀÀ Ðà0  àSioux€Falls,€South€Dakota€€57104Ðl¼ÀÀ Ðà0  àà0` ÀÀà(605)€330„6670ÐX ¨` À` À Ðà0  àà0` ÀÀà(605)€330„6671€(fax)ÐD!”` À` À ÐÌà0  àHonorable€Matt€Jeffrey€WhitworthÐ#l!ÀÀ Ðà0  àUnited€States€Magistrate€JudgeÐ$X"ÀÀ Ðà0  àChristopher€S.€Bond€U.S.€CourtÐ ô$D # ÐHouseÐà%0!$ÀÀ Ðà0  à80€Lafayette€Street,€Suite€3108ÐÌ&"%ÀÀ Ðà0  àJefferson€City,€Missouri€€65101и'#&ÀÀ Ðà0  àà0` ÀÀà(573)€634„3418Ф(ô#'` À` À Ðà0  àà0` ÀÀà(573)€636„5208€(fax)Ð)à$(` À` À ÐÐ °( ÐÒ(X°À°À(ÒÐ  |*Ì%( Ðà@D D ìàò òSubcommittee€on€Model€Criminal€Jury€Instructionsó óˆÐ ° ÐÌHon.€Matt€J.€Whitworth€(Chairman)Ð ˆØ ÐUnited€States€Magistrate€JudgeÐ tÄ ÐChristopher€S.€Bond€U.S.€Court€HouseÐ `° Ð80€Lafayette€Street,€Suite€3108Ð L œ ÐJefferson€City,€Missouri€€65101Ð 8 ˆ Ðà0  à(573)€634„3418Ð$ t(#(# Ðà0  à(573)€636„5208€(fax)Ð `(#(# ÐÌÔ‡ÌXw,XXXw,ÔÒ(€X€°(#°(#(ÒKevin€C.€CurranÐ è 8  ÐAssistant€Federal€Public€DefenderÐ Ô$  Ð1010€Market€Street,€Suite€200Ð À  ÐSt.€Louis,€Missouri€€63101Ð ¬ü  Ðà0  à(314)€241„1255Иè ÀÀ Ðà0  à(314)€421„3177€(fax)Ð„Ô ÀÀ ÐÔ#†Xw,XXÌXw,7#ÔÌNicole€A.€EngischÐ \¬ ÐAssistant€United€States€AttorneyÐ H˜ ÐUnited€States€CourthouseÐ 4„ Ð300€S.€Fourth€Street,€Suite€600Ð  p ÐMinneapolis,€Minnesota€€55415Ð  \ Ðà0  à(612)€664„5702ÐøHÀÀ Ðà0  à(612)€664„5786€(fax)Ðä4ÀÀ ÐÌJenniffer€M.€HoranÐ ¼  ÐFederal€Public€DefenderÐ ¨ø Ð1401€W.€Capitol,€Suite€490Ð ”ä ÐLittle€Rock,€Arkansas€€72201Ð €Ð Ðà0  à(501)€324„6116Ðl¼ÀÀ Ðà0  à(501)€324„6128€(fax)ÐX ¨ÀÀ ÐÌÔ‡ÌXw,XXXw,ÔHon.€Jerome€T.€KearneyÐ 0"€  ÐUnited€States€Magistrate€JudgeÐ #l! ÐRichard€S.€Arnold€U.S.€CourthouseÐ $X" Ð500€W.€Capitol€Avenue,€Suite€C„459Ð ô$D # ÐLittle€Rock,€Arkansas€€72201Ð à%0!$ Ðà0  à(501)€604„5170ÐÌ&"%ÀÀ Ðà0  à(501)€604„5178€(fax)и'#&ÀÀ ÐÔ#†Xw,XXÌXw,9;#ÔÌÔ‡ÌXw,XXXw,ÔÐ )à$( ÐHon.€William€A.€KnoxÐ è 8 ( ÐUnited€States€Magistrate€JudgeÐ Ô$ ) ÐChristopher€S.€Bond€U.S.€Court€HouseÐ À * Ð80€Lafayette€Street,€Suite€3208Ð ¬ü + ÐJefferson€City,€Missouri€€65101Ð ˜è , Ðà0 p à(573)€634„3418Ð„Ô -p(#p(# Ðà0 p à(573)€636„5208€(fax)ÐpÀ.p(#p(# ÐÔ#†Xw,XXÌXw,ð<#ÔÌJoseph€M.€LandoltÐ H˜0 ÐAssistant€United€States€AttorneyÐ 4„1 ÐThomas€F.€Eagleton€U.S.€CourthouseÐ  p2 Ð111€S.€Tenth€Street,€20òòthóó€FloorÐ  \3 ÐSt.€Louis,€Missouri€€63102Ð øH4 Ðà0 p à(314)€539„6891Ðä45p(#p(# Ðà p à(314)€539„2196€(fax)Ð Ð 6 ÐÌLinda€Parker€MarshallÐ ¨ø8 ÐAssistant€United€States€AttorneyÐ ”ä9 ÐCharles€Evans€Whittaker€U.S.€CourthouseÐ €Ð: Ð400€E.€Ninth€Street,€5òòthóó€FloorÐ l¼; ÐKansas€City,€Missouri€€64106Ð X ¨< Ðà p à(816)€426„4230€(direct)Ð D!”= Ðà p à(816)€426„3126€(fax)Ð 0"€> ÐÌÔ‡ÌXw,XXXw,ÔKatherine€M.€Ô_ÔMenendezÔ_ÔÐ $X@ ÐAssistant€Federal€Public€DefenderÐ ô$D A Ð300€S.€Fourth€Street,€Suite€107Ð à%0!B ÐMinneapolis,€Minnesota€55415Ð Ì&"C Ðà0 p à(612)€664„5858и'#Dp(#p(# Ðà0 p à(612)€664„5850€(fax)Ф(ô#Ep(#p(# ÐÔ#†Xw,XXÌXw,šA#ÔÌÐ |*Ì%G ÐGene€PorterÐ ° ÐAssistant€United€States€AttorneyÐ œì ÐCharles€Evans€Whittaker€U.S.€CourthouseÐ ˆØ Ð400€E.€Ninth€Street,€5òòthóó€FloorÐ tÄ ÐKansas€City,€Missouri€€64106Ð `° Ðà0  à(816)€426„4313€(direct)ÐL œÀÀ Ðà0  à(816)€426„4322Ð8 ˆÀÀ ÐÌTroy€K.€StabenowÐ  ` ÐAssistant€Federal€Public€DefenderÐ ü L  Ð221€Bolivar€Street,€Suite€104Ð è 8  ÐJefferson€City,€Missouri€€65101Ð Ô$  Ðà  à(573)€636-8747Ð À  Ðà  à(573)€636-9161€(fax)Ð ¬ü  ÐÌJames€R.€Wyrsch,€Esq.€Ð „Ô  ÐWyrsch€Hobbs€&€Mirakian,€P.C.Ð pÀ Ð1000€Walnut€Street,€Suite€1600Ð \¬ ÐKansas€City,€Missouri€€64106Ð H˜ Ðà0  à(816)€221„0080Ð4„ÀÀ Ðà0  à(816)€221„3280€(fax)Ð pÀÀ ÐÐ  ° ÐÒ(€X€°À°À(Òà@o o ìàò òSubcommittee€on€Model€Death€Penalty€Jury€Instructionsó óˆÐ ° ÐÌHon.€Matt€J.€Whitworth€(Chairman)Ð ˆØ ÐUnited€States€Magistrate€JudgeÐ tÄ ÐChristopher€S.€Bond€U.S.€Court€HouseÐ `° Ð80€Lafayette€Street,€Suite€3108Ð L œ ÐJefferson€City,€Missouri€€65101Ð 8 ˆ Ðà0  à(573)€634„3418Ð$ t(#(# Ðà0  à(573)€636„5208€(fax)Ð `(#(# ÐÌÒ(€X€°(#°(#(ÒKevin€C.€CurranÐ è 8  ÐAssistant€Federal€Public€DefenderÐ Ô$  Ð1010€Market€Street,€Suite€200Ð À  ÐSt.€Louis,€Missouri€€63101Ð ¬ü  Ðà  à(314)€241„1255Ð ˜è  Ðà  à(314)€421„3177€(fax)Ð „Ô  ÐÌJoseph€M.€LandoltÐ \¬ ÐAssistant€United€States€AttorneyÐ H˜ ÐThomas€S.€Eagleton€U.S.€CourthouseÐ 4„ Ð111€S.€Tenth€Street,€20òòthóó€FloorÐ  p ÐSt.€Louis,€Missouri€€63102Ð  \ Ðà0  à(314)€539„6891€(direct)ÐøHÀÀ Ðà0  à(314)€539„2196€(fax)Ðä4ÀÀ ÐÌLarry€C.€PaceÐ ¼  ÐAsst.€Federal€Public€DefenderÐ ¨ø Ð818€Grand€Avenue,€Suite€300Ð ”ä ÐKansas€City,€Missouri€€64106„1910Ð €Ð Ðà0  à(816)€471„8282Ðl¼ÀÀ Ðà0  à(816)€471„8008€(fax)ÐX ¨ÀÀ ÐÌÐ 0"€  ÐCharles€M.€Rogers,€Esq.Ð è 8  ÐWyrsch€Hobbs€&€Mirakian,€P.C.Ð Ô$ ! Ð1000€Walnut€Street.€Suite€1600Ð À " ÐKansas€City,€Missouri€€64106„2140Ð ¬ü # Ðà0 p à(816)€221„0080Иè $p(#p(# Ðà0 p à(816)€221„3280€(fax)Ð„Ô %p(#p(# ÐÐ pÀ& ÐÒ(€X€°À°À(ÒÐ  $X& Ðà@ÌÌ$ìàò òINTRODUCTIONó óˆÐ ° ÐÌÓ €Óà  àThese€instructions€have€been€prepared€to€help€judges€communicate€more€effectively€withÐ ˆØ Ðjuries.€€The€Manual€is€meant€to€provide€judges€and€lawyers€with€models€of€clear,€brief€andÐ tÄ Ðsimple€instructions€calculated€to€maximize€juror€comprehension.€€They€are€not€intended€to€beÐ `° Ðtreated€as€the€only€method€of€properly€instructing€a€jury.€€òòSeeóó€òòUnited€States€v.€Ridingeróó,€805€F.2dÐ L œ Ð818,€821€(8th€Cir.€1986).€€"The€Model€Instructions€.€.€.€are€not€binding€on€the€district€courts€ofÐ 8 ˆ Ðthis€circuit,€but€are€merely€helpful€suggestions€to€assist€the€district€courts."€€òòUnited€States€v.Ð $ t ÐNortonóó,€846€F.2d€521,€525€(8th€Cir.€1988).€€òòSee€alsoóó€òòUnited€States€v.€Jonesóó,€23€F.3d€1407€(8thÐ  ` ÐCir.€1994).Ð ü L  Ðà  àEvery€effort€has€been€made€to€assure€conformity€with€current€Eighth€Circuit€law;Ð ^®  Ðhowever,€it€cannot€be€assumed€that€all€of€these€model€instructions€in€the€form€given€willÐ Jš  Ðnecessarily€be€appropriate€under€the€facts€of€a€particular€case.€€The€Manual€covers€issues€onÐ 6†  Ðwhich€instructions€are€most€frequently€given,€but€because€each€case€turns€on€unique€facts,Ð "r  Ðinstructions€should€be€drafted€or€adapted€to€conform€to€the€facts€in€each€case.€Ð ^  Ðà  àIn€drafting€instructions,€the€Committee€has€attempted€to€use€simple€language,€shortÐ pÀ Ðsentences€and€the€active€voice€and€omit€unnecessary€words.€€We€have€tried€to€use€plain€languageÐ \¬ Ðbecause€giving€the€jury€the€statutory€language,€or€language€from€appellate€court€decisions,€isÐ H˜ Ðoften€confusing.€Ð 4„ Ðà  àIt€is€our€position€that€instructions€should€be€as€brief€as€possible€and€limited€to€what€theÐ –æ Ðjury€needs€to€know€for€the€case.€€We€also€recommend€sending€a€copy€of€the€instructions€as€givenÐ ‚Ò Ðto€the€jury€room.€Ð n¾ Ðà  àCounsel€are€reminded€of€the€dictates€of€Criminal€Rule€30(d)€which€provides,€ð ð[a]€partyÐ Ð  Ðwho€objects€to€any€portion€of€the€instructions€or€to€a€failure€to€give€a€requested€instruction€mustÐ ¼  Ðinform€the€court€of€the€specific€objection€and€the€grounds€for€the€objection€before€the€jury€retiresÐ ¨ø Ðto€deliberate.ðð€€òòSeeóó€òòUnited€States€v.€Hechtóó,€705€F.2d€976,€978€(8th€Cir.€1983).€€Simply€offeringÐ ”ä Ðinstructions€without€making€specific€objections€does€not€satisfy€Rule€30.€€òòId.óó€at€978-79.€Ð €Ð ÐMoreover,€merely€offering€a€requested€instruction€to€the€trial€judge€for€his€or€her€consideration€isÐ l¼ Ðnot€Ô_ÔnotÔ_Ô€sufficient€to€preserve€an€error€based€on€a€judge's€failure€to€use€the€instruction.€€òòId.óó€atÐ X ¨  Ð978-79.€€A€requested€instruction€must€set€out€a€correct€declaration€of€law€and€be€supported€by€theÐ D!”! Ðevidence.€€òòUnited€States€v.€Brakeóó,€596€F.2d€337,€339€(8th€Cir.€1979).€Ð  0"€" ÐÓ €Óà@««!ìàò òDIRECTIONS€FOR€USEó óˆÐ ° ÐÌÓ €Óà  àThe€suggested€instructions€in€this€volume€do€not€attempt€to€take€into€account€all€of€theÐ ˆØ Ðvariations€of€a€particular€statute€or€all€of€the€factual€variations€that€may€occur€in€a€particular€trial.€Ð tÄ ÐThese€instructions€may€have€to€be€modified€to€reflect€the€facts€of€the€case.Ð `° Ðà  àIn€some€of€the€Comments€and€Notes,€the€Committee€has€used€terminology€such€asÐ   Ð"should€be€given"€or€"should€be€defined."€€Unless€there€is€case€law€requiring€such,€this€does€notÐ ® þ Ðmean€that€it€would€be€error€not€to€give€or€define€the€suggested€instruction€or€that€the€suggestedÐ š ê Ðinstruction€would€be€appropriate€in€every€context.€€Rather,€the€use€of€such€terms€simply€meansÐ † Ö  Ðthat€it€is€the€Committee's€belief€that€to€achieve€clarity,€completeness€or€consistency,€such€anÐ r   Ðinstruction€would€be€appropriately€given.€Ð ^®  Ðà  àFurther,€in€some€factual€situations,€it€may€be€helpful€to€define€certain€terms€or€conceptsÐ À  Ðwhich€the€Committee€has€not€defined.€€In€this€regard,€the€Committee€Comments€may€be€helpfulÐ ¬ü  Ðin€finding€proper€definitions€of€these€terms€and€concepts.€Ð ˜è  Ðà  àThe€Committee€Comments€are€meant€to€be€helpful,€but€not€all€inclusive.€€No€significanceÐ úJ Ðis€to€be€given€to€the€inclusion€or€exclusion€of€any€matter€in€the€Comments.€Ð æ6 Ðà  àBrackets€[€€]€are€used€to€indicate€words,€phrases€or€sentences€which€should€be€used€orÐ H˜ Ðeliminated€in€accordance€with€the€actual€charges€in€the€individual€case.€€Example:Ð 4„ Ðà0  à"òòOneóó,€the€defendant€made€a€[false]€[fictitious]€[fraudulent]€[statement]€[representation]€inÐ –æ Ða€matter,€etc."€Ð‚Ò(#(# ÐWhere€more€than€one€manner€of€violating€a€statute€is€charged,€the€disjunctive€"or"€should€beÐ ä4 Ðused€in€the€instructions:€Ð Ð  Ðà0  à"òòOneóó,€the€defendant€made€a€false,€fictitious€or€fraudulent€statement€or€representation€in€aÐ 2‚ Ðmatter,€etc."€Ðn(#(# ÐHowever,€if€the€defendant€was€charged€only€with€making€false€statements,€the€instruction€wouldÐ €Ð  Ðread:Ð l¼! Ðà0  à"òòOneóó,€the€defendant€made€a€false€statement€in€a€matter,€etc."€ÐÎ #(#(# Ðà  àParentheses€(€€)€are€used€to€indicate€a€direction€to€insert€some€specific€matter€at€that€pointÐ 0"€% Ðin€the€instruction.€€This€is€usually€factual€matter€particular€to€a€given€case.€Ð  #l& ÐÓ €Óà@µµ"ìàò òTABLE€OF€CONTENTSó óˆÐ ° ÐÓ€)Ý ÓÓ  ÓÝ‚-VmÿÝÌÝ  ÝÝ‚-Vm:gÝà0  àà ° àÝ  Ýò ò1.00.€€PRELIMINARY€INSTRUCTIONS€BEFORE€OPENING€STATEMENTSÐ ˆØ ÐÐ ÐIntroductory€Commentó óà‚#Ä"Ä"J(#.ÖÖ#(#(##àÔ4‚Î Ä"ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô1Ô6&hÔÝ‚Ù ÍO:hFurtÝóóÔÿÔÝ  ÝÔ7 (#hhÔ݃-Vm:gVgÝŒˆÐ `° ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùiÝà0  àà0` (#(#àà  àÝ  Ý0.01.€€INSTRUCTIONS€BEFORE€VOIR€DIREà‚#Ä"Ä"J(#.ÜÜ3` (#` (##àÔ4‚Ò Ä"ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô2Ô6²iÔÝ‚Ù ÍOÆiFurtÝóóÔÿÔÝ  ÝÔ7 (#ôiÔ݃l!ùi!iÝŒˆÐ P   ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù’jÝà0  àà0` (#(#àà  àÝ  Ý0.02.€€INSTRUCTIONS€AT€END€OF€VOIR€DIREà‚#Ä"Ä"J(#.ææ6` (#` (##àÔ4‚Ô Ä"ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô4Ô6AkÔÝ‚Ù ÍOUkFurtÝóóÔÿÔÝ  ÝÔ7 (#ƒkÔ݃l!ù’j­jÝŒˆÐ < Œ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù!lÝà0  àà0` (#(#àà  àÝ  Ý1.01.€€GENERAL:€€NATURE€OF€CASE;€NATURE€OF€INDICTMENT;€Ð ( x ÐBURDEN€OF€PROOF;€PRESUMPTION€OF€INNOCENCE;€Ð  d ÐDUTY€OF€JURY;€CAUTIONARYà‚#Ä"Ä"J(#.pp,` (#` (##àÔ4‚Ý Ä"ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô5Ô6OmÔÝ‚Ù ÍOcmFurtÝóóÔÿÔÝ  ÝÔ7 (#‘mÔ݃l!ù!l>+` (#` (##àÔ4‚á Ä"ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô8Ô6gpÔÝ‚Ù ÍO{pFurtÝóóÔÿÔÝ  ÝÔ7 (#©pÔ݃l!ùÃoÞoÝŒˆÐ Ø(  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùGqÝà0  àà0` (#(#àà  àÝ  Ý1.04.€€DIRECT€AND€CIRCUMSTANTIAL€EVIDENCEà‚#`"`"I(#.ÌÌ8` (#` (##àÔ4‚ö àÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô10Ô6øqÔÝ‚Ù ÍO rFurtÝóóÔÿÔÝ  ÝÔ7 à:rÔ݃l!ùGqbqÝŒˆÐ Ä  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùÙrÝà0  àà0` (#(#àà  àÝ  Ý1.05.€€CREDIBILITY€OF€WITNESSESà‚#`"`"I(#.||.` (#` (##àÔ4‚÷ àÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô11Ô6€sÔÝ‚Ù ÍO”sFurtÝóóÔÿÔÝ  ÝÔ7 àÂsÔ݃l!ùÙrôrÝŒˆÐ °  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùatÝà0  àà0` (#(#àà  àÝ  Ý1.06A.€€NO€TRANSCRIPT€AVAILABLE€„€NOTE„TAKINGà‚#`"`"I(#.00<` (#` (##àÔ4‚þ àÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô12Ô6uÔÝ‚Ù ÍO*uFurtÝóóÔÿÔÝ  ÝÔ7 àXuÔ݃l!ùat|tÝŒˆÐ œì  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù÷uÝà0  àà0` (#(#àà  àÝ  Ý1.06B.€€QUESTIONS€BY€JURORSà‚#`"`"I(#.66*` (#` (##àÔ4‚ àÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô13Ô6švÔÝ‚Ù ÍO®vFurtÝóóÔÿÔÝ  ÝÔ7 àÜvÔ݃l!ù÷uvÝŒˆÐ ˆØ  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù{wÝà0  àà0` (#(#àà  àÝ  Ý1.07.€€BENCH€CONFERENCES€AND€RECESSESà‚#`"`"I(#.>>4` (#` (##àÔ4‚  àÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô15Ô6(xÔÝ‚Ù ÍO>+` (#` (##àÔ4‚u(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô54Ô6„©ÔÝ‚Ù ÍO˜©àà ÝóóÔÿÔÝ  ÝÔ7(#Æ©Ô݃l!ùà¨û¨ÝŒˆÐ `° ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùeªÝà0  àà0` (#(#àà  àÝ  Ý3.04.€€CREDIBILITY€OF€WITNESSESà‚#`"`"I(#.||.` (#` (##àÔ4‚v(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô56Ô6 «ÔÝ‚Ù ÍO «àà ÝóóÔÿÔÝ  ÝÔ7(#N«Ô݃l!ùeª€ªÝŒˆÐ Lœ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùí«Ýà0  àà0` (#(#àà  àÝ  Ý3.05.€€DESCRIPTION€OF€CHARGE;€INDICTMENT€NOT€EVIDENCE;€Ð 8ˆ ÐPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€Ð $t Ð(Single€Defendant,€Single€Count)à‚#`"`"I(#.ÐÐ4` (#` (##àÔ4‚w(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô60Ô6"­ÔÝ‚Ù ÍO6­àà ÝóóÔÿÔÝ  ÝÔ7(#d­Ô݃l!ùí«¬ÝŒˆÐ ` ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù®Ýà0  àà0` (#(#àà  àÝ  Ý3.06.€€DESCRIPTION€OF€CHARGES;€INDICTMENT€NOT€EVIDENCE;€Ð üL ÐPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€Ð è8 Ð(Single€Defendant,€Multiple€Counts)à‚#`"`"I(#.ÒÒ7` (#` (##àÔ4‚x(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô62Ô6<¯ÔÝ‚Ù ÍOP¯àà ÝóóÔÿÔÝ  ÝÔ7(#~¯Ô݃l!ù®®ÝŒˆÐ Ô$ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù°Ýà0  àà0` (#(#àà  àÝ  Ý3.07.€€DESCRIPTION€OF€CHARGES;€INDICTMENT€NOT€EVIDENCE;€Ð À ÐPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€Ð ¬ü Ð(Multiple€Defendants,€Single€Count)à‚#`"`"I(#.ÒÒ7` (#` (##àÔ4‚z(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô64Ô6V±ÔÝ‚Ù ÍOj±àà ÝóóÔÿÔÝ  ÝÔ7(#˜±Ô݃l!ù°8°ÝŒˆÐ ˜è ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù7²Ýà0  àà0` (#(#àà  àÝ  Ý3.08.€€DESCRIPTION€OF€CHARGES;€INDICTMENT€NOT€EVIDENCE;€Ð „Ô ÐPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€Ð pÀ Ð(Multiple€Defendants,€Multiple€Counts)à‚#`"`"I(#.ÔÔ:` (#` (##àÔ4‚{(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô65Ô6s³ÔÝ‚Ù ÍO‡³àà ÝóóÔÿÔÝ  ÝÔ7(#µ³Ô݃l!ù7²R²ÝŒˆÐ \ ¬ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùT´Ýà0  àà0` (#(#àà  àÝ  Ý3.09.€€ELEMENTS€OF€OFFENSE€„€BURDEN€OF€PROOFà‚#`"`"I(#.ŽŽ;` (#` (##àÔ4‚}(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô67Ô6µÔÝ‚Ù ÍOµàà ÝóóÔÿÔÝ  ÝÔ7(#JµÔ݃l!ùT´o´ÝŒˆÐ H!˜ ÐŒÝ  ÝÝ‚p›‚ÿÝÝ  ÝÝ‚p›‚éµÝà0  àà0` (#(#àà0¸ ` (#` (#àà ` àÝ  ÝAppendix€Aà‚#`"`"I(#.8 8 ¸ (#¸ (##àÔ4‚~(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô70Ô6¶ÔÝ‚Ù ÍO£¶àà ÝóóÔÿÔÝ  ÝÔ7(#ѶÔ݃p›‚鵶݌ˆÐ 4"„  ÐŒÝ  ÝÝ‚p›‚ÿÝÝ  ÝÝ‚p›‚p·Ýà0  àà0` (#(#àà0¸ ` (#` (#àà ` àÝ  ÝAppendix€Bà‚#`"`"I(#., , ¸ (#¸ (##àÔ4‚€(#ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô71Ô6¸ÔÝ‚Ù ÍO*¸àà ÝóóÔÿÔÝ  ÝÔ7(#X¸Ô݃p›‚p·‹·ÝŒˆÐ  #p! 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ÐDRUG€SALES€TO€MINORS€(18€U.S.C.€ðððð€3592(c)(13),€(d)(5)(6)€and€(7);€Ð Ô$  Ð21€U.S.C.€ðð€848(n)(11);€21€U.S.C.€ðððð€802(8)€(11))à‚#ü!ü!H(#.E` (#` (##àÔ4‚ÓÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô606Ô6nLÔÝ‚Ù ÍO‚LÔ‹ÝÝóóÔÿÔÝ  ÝÔ7°LÔ݃l!ùK KÝŒˆÐ À  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùPMÝà0  àà0` (#(#àà  àÝ  Ý12.07N.€€COMMISSION€OF€THE€OFFENSE€AGAINST€A€HIGH€PUBLIC€OFFICIALÐ ¬ü  Ðà‚#ü!ü!H(#.` ` ` (#` (##àÔ4‚Ôü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô607Ô6/NÔÝ‚Ù ÍOCNÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#qNÔ݃l!ùPMkMÝŒˆÐ ˜è  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùOÝà0  àà0` (#(#àà  àÝ  Ý12.07O.€€DEFENDANTððS€PREVIOUS€CONVICTION€FOR€Ð „Ô  ÐSEXUAL€ASSAULT,€CHILD€MOLESTATION€(18€U.S.C.€ðð€3592(c)(15))à‚#ü!ü!H(#.â â O` (#` (##àÔ4‚Õü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô608Ô6PÔÝ‚Ù ÍO1PÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#_PÔ݃l!ùO,OÝŒˆÐ pÀ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùÿPÝà0  àà0` (#(#àà  àÝ  Ý12.07P.€€MULTIPLE€KILLINGS€OR€ATTEMPTED€KILLINGS€Ð \¬ Ð(18€U.S.C.€ðð€3592(c)(16);€18€U.S.C.€ðð€3591(a)(2)(A))à‚#ü!ü!H(#.**H` (#` (##àÔ4‚Öü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô609Ô6RÔÝ‚Ù ÍORÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#JRÔ݃l!ùÿPQÝŒˆÐ H˜ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùêRÝà0  àà0` (#(#àà  àÝ  Ý12.08.€€NONSTATUTORY€AGGRAVATING€FACTORSà‚#ü!ü!H(#.ZZ7` (#` (##àÔ4‚×ü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô611Ô6šSÔÝ‚Ù ÍO®SÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#ÜSÔ݃l!ùêRSÝŒˆÐ 4„ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù|TÝà0  àà0` (#(#àà  àÝ  Ý12.09.€€MITIGATING€FACTORSà‚#ü!ü!H(#.¶¶)` (#` (##àÔ4‚Øü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô619Ô6UÔÝ‚Ù ÍO2UÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#`UÔ݃l!ù|T—TÝŒˆÐ  p ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùVÝà0  àà0` (#(#àà  àÝ  Ý12.10.€€MITIGATING€FACTORS€ENUMERATED€(18€U.S.C.€ðð€3592(a))à‚#ü!ü!H(#.HHJ` (#` (##àÔ4‚Ùü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô622Ô6ÆVÔÝ‚Ù ÍOÚVÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#WÔ݃l!ùVVÝŒˆÐ  \ ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù¨WÝà0  àà0` (#(#àà  àÝ  Ý12.11.€€WEIGHING€AGGRAVATION€AND€MITIGATIONà‚#ü!ü!H(#.øø:` (#` (##àÔ4‚Úü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô624Ô6[XÔÝ‚Ù ÍOoXÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#XÔ݃l!ù¨WÃWÝŒˆÐ øH ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù=YÝà0  àà0` (#(#àà  àÝ  Ý12.12.€€CONSEQUENCES€OF€DELIBERATIONS€(18€U.S.C.€ðð€3594)à‚#ü!ü!H(#.**G` (#` (##àÔ4‚Ûü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô627Ô6ZÔÝ‚Ù ÍOZÔ‹ÝÝóóÔÿÔÝ  ÝÔ7(#BZÔ݃l!ù=YXYÝŒˆÐ ä4 ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùâZÝà0  àà0` (#(#àà  àÝ  Ý12.13.€€JUSTICE€WITHOUT€DISCRIMINATION€(18€U.S.C.€ðð€3593(f))à‚#ü!ü!H(#.ÆÆK` (#` (##àÔ4‚Üü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô629Ô6©[ÔÝ‚Ù ÍO½[Ô‹ÝÝóóÔÿÔÝ  ÝÔ7(#ë[Ô݃l!ùâZýZÝŒˆÐ Ð  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù‹\Ýà0  àà0` (#(#àà  àÝ  Ý12.14.€€DEFENDANTððS€RIGHT€NOT€TO€TESTIFYà‚#ü!ü!H(#.¢¢7` (#` (##àÔ4‚Ýü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô630Ô6>]ÔÝ‚Ù ÍOR]Ô‹ÝÝóóÔÿÔÝ  ÝÔ7(#€]Ô݃l!ù‹\¦\ÝŒˆÐ ¼  ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù ^Ýà0  àà0` (#(#àà  àÝ  Ý12.15€„€12.19.€€[Reserved€for€Future€Use]à‚#ü!ü!H(#.òò8` (#` (##àÔ4‚Þ_ü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô631Ô6Ñ^ÔÝ‚Ù ÍOå^‹ÝÝóóÔÿÔÝ  ÝÔ7_(#_Ô݃l!ù ^;^ÝŒˆÐ ¨ø ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ù³_Ýà0  àà0` (#(#àà  àÝ  Ý12.20.€€SPECIAL€VERDICT€(18€U.S.C.€ðð€3593(d);€21€U.S.C.€ðð€848(k),€(q))à‚#ü!ü!H(#.ÈÈU` (#` (##àÔ4‚ß_ü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô632Ô6‡`ÔÝ‚Ù ÍO›`‹ÝÝóóÔÿÔÝ  ÝÔ7_(#É`Ô݃l!ù³_Î_ÝŒˆÐ ”ä ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùiaÝà0  àà0` (#(#àà  àÝ  Ý12.21.€€CONCLUDING€INSTRUCTIONà‚#ü!ü!H(#.ÞÞ-` (#` (##àÔ4‚à_ü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô633Ô6bÔÝ‚Ù ÍO#b‹ÝÝóóÔÿÔÝ  ÝÔ7_(#QbÔ݃l!ùia„aÝŒˆÐ €Ð ÐŒÝ  ÝÝ‚l!ùÿÝÝ  ÝÝ‚l!ùñbÝà0  àà0` (#(#àà  àÝ  Ý12.22.€€SPECIAL€VERDICT€FORMà‚#ü!ü!H(#.||+` (#` (##àÔ4‚á_ü!ÔÝ‚Ù ÍOÝÔÿÔòòÝ  ÝÔ5  Ô634Ô6•cÔÝ‚Ù ÍO©c‹ÝÝóóÔÿÔÝ  ÝÔ7_(#×cÔ݃l!ùñb cÝŒˆÐ l¼ ÐŒÝ  ÝÓ .gÓÔ[<ìƒÔÐ  X ä" ÐØØÙÙÖ€µÿÿÖÔr<ìÔšÖ€¶ÿÿÖÑ  Ñà@¥¥ìàÔ% €â ÔÔ  Ôò ò1.00.€€PRELIMINARY€INSTRUCTIONS€BEFORE€OPENING€STATEMENTSˆÐ °< ÐÌÓ €Óà@ ìàIntroductory€CommentÔ FEBeÔó óˆÐ ˆ Ðà  àPreliminary€instructions€are€given€at€the€beginning€of€trial€prior€to€opening€statements€toÐ êv Ðhelp€orient€the€jurors€to€their€function€in€that€trial€by€explaining€the€nature€and€scope€of€the€jury'sÐ Öb  Ðduties,€listing€some€of€the€basic€ground€rules€and€identifying€the€issues€to€be€decided.€€òòSeeÐ  N  Ðgenerallyóó€òòUnited€States€v.€Bynumóó,€566€F.2d€914,€923-24€(5th€Cir.€1978).€€PreliminaryÐ ® :  Ðinstructions€are€not€a€substitute€for€final€instructions.€€òòUnited€States€v.€Ruppelóó,€666€F.2d€261,€274Ð š &  Ð(5th€Cir.€1982).€Ð †   Ðà  àIn€addition€to€the€preliminary€instructions€set€out€in€this€Manual,€other€examples€ofÐ è t  Ðpreliminary€instructions€can€be€found€inš€1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rOi#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r™i#Ô€PÔ‡Û%rÚXXw,ÔRACTICEÐ Ô`  ÐANDÔ#†Xw,XÚÛ%rài#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rCj#Ô:€€Criminal€ðððð€10.01-.09€(5th€ed€2000);€Fifth€Circuit€Pattern€Jury€InstructionsÐ ÀL  Ð(Criminal€Cases)€ðððð€1.01,€1.02€(€2001);€Pattern€Criminal€Federal€Jury€Instructions€for€theÐ ¬8 ÐSeventh€Circuit€ðððð€1.01„.10€(1998);€Ninth€Cir.€Criminal€Jury€Instructions€ðð€1.1-.14€(2000);Ð ˜$ ÐEleventh€Circuit€Pattern€Jury€Instructions:€€Criminal€ðððð€1.1,€1.2,€2.1,€2.2€(1997);€Federal€JudicialÐ „ ÐCenter,€Pattern€Criminal€Jury€Instructions€ðððð€1-4€(1988).€€Some€of€these€cover€matters€notÐ pü Ðaddressed€in€this€manual,€such€as€sequestration,€pretrial€publicity,€and€questions€from€the€jury.Ð  \èg ÐÖ€¸µìÖÑ8€w,XXdìXdì8ÑÓ €Óà@  ìàò òÔ% €ã ÔÔ  Ô0.01.€€INSTRUCTIONS€BEFORE€VOIR€DIREÔ erÙmÔó óˆÐ d ÐÌÓ€Óà  àMembers€of€the€Jury€Panel,€if€you€have€a€cell€phone,€PDA,€Blackberry,€smart€phone,Ð <Ø ÐI-phone€and€any€other€wireless€communication€device€with€you,€please€take€it€out€now€and€turn€itÐ ž : Ðoff.€€Do€not€turn€it€to€vibration€or€silent;€power€it€down.€€[During€jury€selection,€you€must€leave€itÐ  œ Ðoff.]€€(Pause€for€thirty€seconds€to€allow€them€to€comply,€then€tell€them€the€following:)€Ð b þ Ðà  àIf€you€are€selected€as€a€juror,€(briefly€advise€jurors€of€your€courtððs€rules€concerningÐ Ä `  ÐÔ_ÔcellphonesÔ_Ô,€cameras€and€any€recording€devices).Ð &  Ðà  àI€understand€you€may€want€to€tell€your€family,€close€friends€and€other€people€about€yourÐ ˆ$  Ðparticipation€in€this€trial€so€that€you€can€explain€when€you€are€required€to€be€in€court,€and€youÐ ê†  Ðshould€warn€them€not€to€ask€you€about€this€case,€tell€you€anything€they€know€or€think€they€knowÐ Lè  Ðabout€it,€or€discuss€this€case€in€your€presence.€€You€must€not€post€any€information€on€a€socialÐ ®J Ðnetwork,€or€communicate€with€anyone,€about€the€parties,€witnesses,€participants,€[claims]Ð ¬ Ð[charges],€evidence,€or€anything€else€related€to€this€case,€or€tell€anyone€anything€about€the€juryððsÐ r Ðdeliberations€in€this€case€until€after€I€accept€your€verdict€or€until€I€give€you€specific€permission€toÐ Ôp Ðdo€so.€€If€you€discuss€the€case€with€someone€other€than€the€other€jurors€during€deliberations,€youÐ 6Ò Ðmay€be€influenced€in€your€verdict€by€their€opinions.€€That€would€not€be€fair€to€the€parties€and€itÐ ˜4 Ðwould€result€in€a€verdict€that€is€not€based€on€the€evidence€and€the€law.€€Ð ú–  Ðà  àWhile€you€are€in€the€courthouse€and€until€you€are€discharged€in€this€case,€do€not€provideÐ \ø" Ðany€information€to€anyone€by€any€means€about€this€case.€€Thus,€for€example,€do€not€talkÐ ¾Z$ Ðface-to-face€or€use€any€electronic€device€or€media,€such€as€the€telephone,€a€cell€or€smart€phone,Ð  !¼& Ðcamera,€recording€device,€Blackberry,€PDA,€computer,€the€Internet,€any€Internet€service,€any€textÐ ‚"( Ðor€instant€messaging€service,€any€Internet€chat€room,€Ô_ÔblogÔ_Ô,€or€Website€such€as€Ô_ÔFacebookÔ_Ô,Ð ä#€* ÐÔ_ÔMySpaceÔ_Ô,€Ô_ÔYouTubeÔ_Ô,€or€Twitter,€or€any€other€way€to€communicate€to€anyone€any€informationÐ F%â, Ðabout€this€case€until€I€accept€your€verdict€or€until€you€have€been€excused€as€a€juror.Ð ¨&D . Ðà  àDo€not€do€any€research€„„€on€the€Internet,€in€libraries,€in€the€newspapers,€or€in€any€otherÐ  (¦!0 Ðway€„„€or€make€any€investigation€about€this€case€on€your€own.€€Do€not€visit€or€view€any€placeÐ l)#2 Ðdiscussed€in€this€case€and€do€not€use€Internet€programs€or€other€device€to€search€for€or€to€viewÐ Î*j$4 Ðany€place€discussed€in€the€testimony.€€Also,€do€not€research€any€information€about€this€case,€theÐ 0,Ì%6 Ðlaw,€or€the€people€involved,€including€the€parties,€the€witnesses,€the€lawyers,€or€the€judge€untilÐ d Ðyou€have€been€excused€as€jurors.Ð Æb Ðà  àThe€parties€have€a€right€to€have€this€case€decided€only€on€evidence€they€know€about€andÐ ( Ä Ðthat€has€been€presented€here€in€court.€€If€you€do€some€research€or€investigation€or€experiment€thatÐ Š & Ðwe€donððt€know€about,€then€your€verdict€may€be€influenced€by€inaccurate,€incomplete€orÐ ì ˆ Ðmisleading€information€that€has€not€been€tested€by€the€trial€process,€including€the€oath€to€tell€theÐ N ê  Ðtruth€and€by€cross„examination.€€Each€of€the€parties€is€entitled€to€a€fair€trial,€rendered€by€anÐ °L  Ðimpartial€jury,€and€you€must€conduct€yourself€so€as€to€maintain€the€integrity€of€the€trial€process.€Ð ®  ÐIf€you€decide€a€case€based€on€information€not€presented€in€court,€you€will€have€denied€the€partiesÐ t  Ða€fair€trial€in€accordance€with€the€rules€of€this€country€and€you€will€have€done€an€injustice.€€It€isÐ Ör  Ðvery€important€that€you€abide€by€these€rules.€€Failure€to€follow€these€instructions€could€result€inÐ 8Ô  Ðthe€case€having€to€be€retried.Ð š6 Ðà  à[Are€there€any€of€you€who€cannot€or€will€not€abide€by€these€rules€concerningÐ ü˜ Ðcommunication€with€others€in€any€way,€shape€or€form€during€this€trial?]€€(And€then€continue€withÐ ^ú Ðother€voir€dire.)Ð  À\ ÐÓ€ÓÖ€¹¸ìÖÑ8€Ìw,ÌXdìXXdì8Ñà@” ” ìàò òÔ% €ä ÔÔ  Ô0.02.€€INSTRUCTIONS€AT€END€OF€VOIR€DIREÔ Ý ‡Ôó óˆÐ d ÐÌÓ€Óà  àDuring€this€recess,€and€every€other€recess,€do€not€discuss€this€case€among€yourselves€orÐ <Ø Ðwith€anyone€else,€including€your€family€and€friends.€€Do€not€allow€anyone€to€discuss€the€caseÐ ž : Ðwith€you€or€within€your€hearing.€€ð ðDo€not€discussðð€also€means€do€not€e„mail,€send€text€messages,Ð  œ ÐÔ_ÔblogÔ_Ô€or€engage€in€any€other€form€of€written,€oral€or€electronic€communication,€as€I€instructed€youÐ b þ Ðbefore.€€Ð Ä `  Ðà  àDo€not€read€any€newspaper€or€other€written€account,€watch€any€televised€account,€orÐ &  Ðlisten€to€any€radio€program€on€the€subject€of€this€trial.€€Do€not€conduct€any€Internet€research€orÐ ˆ$  Ðconsult€with€any€other€sources€about€this€case,€the€people€involved€in€the€case,€or€its€generalÐ ê†  Ðsubject€matter.€€You€must€keep€your€mind€open€and€free€of€outside€information.€€Only€in€this€wayÐ Lè  Ðwill€you€be€able€to€decide€the€case€fairly€based€solely€on€the€evidence€and€my€instructions€on€theÐ ®J Ðlaw.€€If€you€decide€this€case€on€anything€else,€you€will€have€done€an€injustice.€€It€is€veryÐ ¬ Ðimportant€that€you€follow€these€instructions.Ð r Ðà  àI€may€not€repeat€these€things€to€you€before€every€recess,€but€keep€them€in€mind€until€youÐ Ôp Ðare€discharged.€€Ð  6Ò ÐÖ€»¹ØÖÓ€Óà@ÙÙìàò òÔ% €å ÔÔ  Ô1.01.€€GENERAL:€€NATURE€OF€CASE;€NATURE€OF€INDICTMENT;€ˆÐ d Ðà@º º ìàBURDEN€OF€PROOF;€PRESUMPTION€OF€INNOCENCE;€ˆÐ Pì Ðà@!!ìàDUTY€OF€JURY;€CAUTIONARYÔ Ýü‡Ôó óˆÐ <Ø ÐÌÓ€Óà  àLadies€and€gentlemen:€€I€shall€take€a€few€moments€now€to€give€you€some€initialÐ  ° Ðinstructions€about€this€case€and€about€your€duties€as€jurors.€€At€the€end€of€the€trial€I€shall€giveÐ v  Ðyou€further€instructions.€€I€may€also€give€you€instructions€during€the€trial.€€Unless€I€specificallyÐ Ø t Ðtell€you€otherwise,€all€such€instructions€-€both€those€I€give€you€now€and€those€I€give€you€later€-Ð :Ö  Ðare€equally€binding€on€you€and€must€be€followed.€€Ð œ8  Ðà  à[Describe€your€courtððs€policy,€such€as€ð ðYou€must€leave€your€cell€phone,€PDA,Ð þš  ÐBlackberry,€smart€phone,€I„phone€and€any€other€wireless€communication€devices€in€the€jury€roomÐ `ü  Ðduring€the€trial€and€may€only€use€them€during€breaks.€€However,€you€are€òònotóó€allowed€to€have€cellÐ Â^  Ðphones€in€the€jury€room€during€your€deliberations.€€You€may€give€the€cell€phone€to€the€[bailiff]Ð $À Ð[deputy€clerk]€for€safekeeping€just€before€you€start€to€deliberate.€€It€will€be€returned€to€you€whenÐ †" Ðyour€deliberations€are€complete.ðð]€Ð è„ Ðà  àThis€is€a€criminal€case,€brought€against€the€defendant[s]€by€the€United€StatesÐ Jæ ÐGovernment.€€The€defendant[s]€[is]€[are]€charged€with€_____________________.òò1óó€€[That€chargeÐ ¬H Ðis]€[Those€charges€are]€set€forth€in€what€is€called€an€indictment[,]€[which€reads€as€follows:€Ð ª Ð(insert)]€[which€I€will€summarize€as€follows:€€(insert)]€[which€I€will€ask€the€government€attorneyÐ p   Ðto€summarize€for€you].òò2óó€€You€should€understand€that€an€indictment€is€simply€an€accusation.€€It€isÐ Òn" Ðnot€evidence€of€anything.€€The€defendant[s]€[has]€[have]€pleaded€not€guilty,€and€[is]€[are]Ð 4 Ð$ Ðpresumed€to€be€innocent€unless€and€until€proved€guilty€beyond€a€reasonable€doubt.òò3óó€Ð –!2& Ðà  àIt€will€be€your€duty€to€decide€from€the€evidence€whether€[the]€[each]€defendant€is€guiltyÐ ø"”( Ðor€not€guilty€of€the€crime[s]€charged.€€From€the€evidence,€you€will€decide€what€the€facts€are.€€YouÐ Z$ö* Ðare€entitled€to€consider€that€evidence€in€the€light€of€your€own€observations€and€experiences€in€theÐ ¼%X, Ðaffairs€of€life.€€You€may€use€reason€and€common€sense€to€draw€deductions€or€conclusions€fromÐ 'º . Ðfacts€which€have€been€established€by€the€evidence.€€You€will€then€apply€those€facts€to€the€lawÐ €("0 Ðâ âwhich€I€give€you€in€these€and€in€my€other€instructions,€and€in€that€way€reach€your€verdict.€€YouÐ â)~#2 Ðare€the€sole€judges€of€the€facts,€but€you€must€follow€my€instructions,€whether€you€agree€withÐ d Ðthem€or€not.€€You€have€taken€an€oath€to€do€so.Ð Æb Ðâ âà  àDo€not€allow€sympathy€or€prejudice€to€influence€you.€€The€law€demands€of€you€a€justÐ ( Ä Ðverdict,€unaffected€by€anything€except€the€evidence,€your€common€sense,€and€the€law€as€I€give€itÐ Š & Ðto€you.Ð ì ˆ Ðà  àYou€should€not€take€anything€I€may€say€or€do€during€the€trial€as€indicating€what€I€think€ofÐ N ê  Ðthe€evidence€or€what€I€think€your€verdict€should€be.€Ð °L  Ðà  àFinally,€please€remember€that€only€[this€defendant]€[these€defendants],€not€anyone€else,Ð ®  Ð[is]€[are]€on€trial€here,€and€that€[this€defendant]€[these€defendants]€[is]€[are]€on€trial€only€for€theÐ t  Ðcrime[s]€charged,€not€for€anything€else.€€Ð Ör  ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 8Ô  Ðà  à1.€€The€description€of€the€offense€should€not€track€statutory€language,€but€rather€should€beÐ š6 Ða€simple,€general€statement€(òòe.g.óó,€"unlawfully€importing€cocaine;"€"embezzling€bank€funds").€Ð †" ÐÔ'&8”—ÔStatutory€citations€are€unnecessary.€€Ð r Ðà  à2.€€Depending€on€the€length€and€complexity€of€the€indictment€and€the€individual€practicesÐ Ôp Ðof€each€district€judge,€the€indictment€may€be€read,€summarized€by€the€court,€summarized€by€theÐ À\ Ðprosecutor€or€not€read€or€summarized,€depending€on€what€is€necessary€to€assist€the€jury€inÐ ¬H Ðunderstanding€the€issues€before€it.€Ð ˜4 Ðà  à3.€€A€brief€summary€of€the€defense€may€be€included€here€if€requested€by€the€defendant.€Ð ú– ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ \ø! Ðòòà  àSeeóó€Introductory€Comment,€Section€1.00,€òòsupraóó.€€Ô'N\*›ÔÐ  ¾Z# ÐÖ€¼»ìÖÓ €Óà@' ' ìàò òÔ% €æ ÔÔ  Ô1.02.€€ELEMENTS€OF€THE€OFFENSE€„€PRELIMINARYÔ ÝÔ1œÔó óˆÐ d ÐÌÓ€Óà  à[In€order€to€help€you€follow€the€evidence,€I€will€now€give€you€a€brief€summary€of€theÐ <Ø Ðelements€of€the€crime[s]€charged,€which€the€Government€must€prove€beyond€a€reasonable€doubtÐ ž : Ðto€make€its€case:€Ð  œ Ðà  àòòOneóó,€___________________________________________________€Ð b þ Ðà  àòòTwoóó,€______________________________________________€;€andÐ Ä `  Ðà  àòòEtc.óó,€____________________________________________________.òò1óó€Ð &  Ðà  àYou€should€understand,€however,€that€what€I€have€just€given€you€is€only€a€preliminaryÐ ˆ$  Ðoutline.€€At€the€end€of€the€trial€I€shall€give€you€a€final€instruction€on€these€matters.€€If€there€is€anyÐ ê†  Ðdifference€between€what€I€just€told€you,€and€what€I€tell€you€in€the€instructions€I€give€you€at€theÐ Lè  Ðend€of€the€trial,€the€instructions€given€at€the€end€of€the€trial€must€govern€you.]€€Ð ®J ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€List€the€elements€of€the€offense€charged€in€the€indictment.€€If€more€than€one€offense€isÐ r Ðcharged,€each€offense€should€be€referred€to€separately€(òòe.g.óó:€€"As€to€Count€I,€which€chargesÐ ^ú ÐÔ'&Ú Ô______________,€the€elements€are:€€________________").€€Statutory€citations€are€unnecessary.€Ð Jæ ÐFor€guidance€in€framing€the€elements,€òòseeóó€Instruction€3.09€and€Section€6,€òòinfraóó.€Ð 6Ò ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˜4 Ðà  àòòSee€óóš1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r‘£#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÛ£#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r"¤#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rq¤#Ô:€€CriminalÐ ú– Ððð10.01€(5th€ed.€2000)Ô':˜ £Ô.Ð æ‚  Ðà  àThis€is€an€òòoptionalóó€instruction;€and€some€care€should€be€exercised€in€using€it.€€TheÐ Hä" ÐCommittee€recommends€that€it€not€be€utilized€unless€there€has€first€been€a€discussion€withÐ 4 Ð# Ðcounsel€concerning€any€problems€that€it€might€present.€Ð   !¼$ ÐÖ€½¼ìÖÓ €Óà@ö ö ìàò òÔ% €ç ÔÔ  Ô1.03.€€EVIDENCE;€LIMITATIONSÔ Ý¡¦Ôó óˆÐ d ÐÌà  àÓ€ÓI€have€mentioned€the€word€"evidence."€€"Evidence"€includes€the€testimony€of€witnesses,Ð <Ø Ðdocuments€and€other€things€received€as€exhibits,€any€facts€that€have€been€stipulated--that€is,Ð ž : Ðformally€agreed€to€by€the€parties,€and€any€facts€that€have€been€judicially€noticed--that€is,€factsÐ  œ Ðwhich€I€say€you€may,€but€are€not€required€to,€accept€as€true,€even€without€evidence.€Ð b þ Ðà  àCertain€things€are€not€evidence.€€I€shall€list€those€things€for€you€now:€Ð Ä `  Ðà  à1.€€Statements,€arguments,€questions€and€comments€by€lawyers€representing€the€parties€inÐ &  Ðthe€case€are€not€evidence.€€Ð ˆ$  Ðà  à2.€€Objections€are€not€evidence.€€Lawyers€have€a€right€to€object€when€they€believeÐ ê†  Ðsomething€is€improper.€€You€should€not€be€influenced€by€the€objection.€€If€I€sustain€an€objectionÐ Lè  Ðto€a€question,€you€must€ignore€the€question€and€must€not€try€to€guess€what€the€answer€might€haveÐ ®J Ðbeen.€Ð ¬ Ðà  à3.€€Testimony€that€I€strike€from€the€record,€or€tell€you€to€disregard,€is€not€evidence€andÐ r Ðmust€not€be€considered.€€Ð Ôp Ðà  à4.€€Anything€you€see€or€hear€about€this€case€outside€the€courtroom€is€not€evidence,€unlessÐ 6Ò ÐI€specifically€tell€you€otherwise€during€the€trial.€Ð ˜4 Ðà  àFurthermore,€a€particular€item€of€evidence€is€sometimes€received€for€a€limited€purposeÐ ú–  Ðonly.€€That€is,€it€can€be€used€by€you€only€for€one€particular€purpose,€and€not€for€any€otherÐ \ø" Ðpurpose.€€I€will€tell€you€when€that€occurs,€and€instruct€you€on€the€purposes€for€which€the€item€canÐ ¾Z$ Ðand€cannot€be€used.€€Ð  !¼& Ðà  àFinally,€some€of€you€may€have€heard€the€terms€"direct€evidence"€and€"circumstantialÐ ‚"( Ðevidence."€€You€are€instructed€that€you€should€not€be€concerned€with€those€terms.€€The€lawÐ ä#€* Ðmakes€no€distinction€between€direct€and€circumstantial€evidence.€€You€should€give€all€evidenceÐ F%â, Ðthe€weight€and€value€you€believe€it€is€entitled€to€receive.€Ð ¨&D . ÐÓ€ÓÔ& N ÔÓ €Óà@55!ìàò òCommittee€Commentsó óˆÐ  (¦!0 ÐÔ'N (°Ôà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¾°#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r±#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rO±#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rž±#Ô:€€CriminalÐ l)#2 Ððððð11.03,€11.08,€11.09,€12.03,€12.04€(5th€ed.€2000).Ð X*ô#3 Ðà  àòòSee€alsoóó€Instruction€3.03,€òòinfraóó.€€Ð º+V%5 Ðà  àStipulated€facts€and€judicially€noticed€facts€are€further€explained€in€Instructions€2.02,€2.03Ð d Ðand€2.04,€òòinfraóó.€€The€Committee€recommends€giving€the€appropriate€one€of€those€instructions€theÐ Pì Ðfirst€time€evidence€is€received€either€by€way€of€stipulation€or€judicial€notice,€even€though€a€briefÐ <Ø Ðdefinition€is€in€this€instruction.€Ð  ( Ä ÐÖ€¾½ìÖÓ €Óà@• • ìàò òÔ% €è ÔÔ  Ô1.04.€€DIRECT€AND€CIRCUMSTANTIAL€EVIDENCEÔ ÝŸ´Ôó óˆÐ d ÐÌÓ€Óà@  ìà(òòSeeóó€final€paragraph€of€Instruction€1.03,€òòsupraóó.)Ó€ÓÓ €ÓˆÐ <Ø ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ž : Ðà  àòòSeeóó€Ô'Nž ŸµÔ1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r7¶#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¶#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rȶ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r·#Ô:€€CriminalÐ  œ Ððð12.04€(5th€ed.€2000),€the€substance€of€which€was€approved€in€òòUnited€States€v.€Kirkóó,€534€F.2dÐ ì ˆ Ð1262,€1279€(8th€Cir.€1976).€Ð Ø t Ðà  àThe€Committee€believes€that€the€last€paragraph€of€Instruction€1.03€is€sufficient€and€that€inÐ :Ö  Ðthe€ordinary€case€it€is€unnecessary€to€attempt€to€define€or€distinguish€direct€and€circumstantialÐ &  Ðevidence.€Ð  ®  ÐÖ€¿¾ìÖÓ €Óà@Q Q ìàò òÔ% €é ÔÔ  Ô1.05.€€CREDIBILITY€OF€WITNESSESÔ f€Ž¹Ôó óˆÐ d ÐÌÓ€Óà  àIn€deciding€what€the€facts€are,€you€may€have€to€decide€what€testimony€you€believe€andÐ <Ø Ðwhat€testimony€you€do€not€believe.€€You€may€believe€all€of€what€a€witness€said,€or€only€part€of€it,Ð ž : Ðor€none€of€it.Ð  œ Ðà  à[In€deciding€what€testimony€of€any€witness€to€believe,€consider€the€witness's€intelligence,Ð b þ Ðthe€opportunity€the€witness€had€to€have€seen€or€heard€the€things€testified€about,€the€witness'sÐ Ä `  Ðmemory,€any€motives€that€witness€may€have€for€testifying€a€certain€way,€the€manner€of€theÐ &  Ðwitness€while€testifying,€whether€that€witness€said€something€different€at€an€earlier€time,€theÐ ˆ$  Ðgeneral€reasonableness€of€the€testimony,€and€the€extent€to€which€the€testimony€is€consistent€withÐ ê†  Ðother€evidence€that€you€believe].òò1óóÓ€ÓÓ €ÓÐ Lè  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€Whether€the€court€wishes€to€include€this€language€or€other€additional€detail€in€itsÐ ¬ Ðpreliminary€instructions€is€optional.Ð ü˜ ÐÔ'œ®µ½Ôà@55!ìàò òCommittee€Commentsó óˆÐ ^ú Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r:¿#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r„¿#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rË¿#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÀ#Ô:€€CriminalÐ À\ Ððð15.01€(5th€ed.€2000).Ð ¬H Ðà  àòòSee€alsoóó€Instruction€3.04,€òòinfraóó.Ð ª Ðà  àFor€an€approved€instruction€on€the€credibility€of€a€child€witness,€òòsee€United€States€v.Ð p   ÐButleróó,€56€F.3d€941€(8th€Cir.€1995).Ð \ø! Ðà  àA€district€courtððs€credibility€instruction€will€be€affirmed€if€it€adequately€calls€to€the€juryððsÐ ¾Z# Ðattention€the€factors€which€may€impact€a€witnessesðð€credibility.€€òòUnited€States€v.€Stevensóó,€918Ð ª F$ ÐF.2d€1383,€1385€(8òòthóó€Cir.€1990).€€Special€instructions€dealing€with€factors€such€as€immunityÐ –!2% Ðagreements,€prior€convictions€and€governmental€payments€have€been€approved.òò€€United€States€v.Ð ‚"& ÐDierlingóó,€131€F.3d€722,€734€(8òòthóó€Cir.€1997).€€The€Eighth€Circuit€has€also€recognized€a€specialÐ n# ' Ðinstruction€may€be€appropriate€in€considering€the€testimony€of€addict€„€informants.òò€€United€StatesÐ Z$ö( Ðv.€Parkeróó,€32€F.3d€395,€401€(8òòthóó€Cir.€1994)Ð  F%â) ÐÖ€Á¿ØÖÓ €Óà@â â ìàò òÔ% €ê ÔÔ  Ô1.06A.€€NO€TRANSCRIPT€AVAILABLE€„€NOTE„TAKINGÔ f€5ÅÔó óˆÐ d ÐÌà  àÓ€ÓAt€the€end€of€the€trial€you€must€make€your€decision€based€on€what€you€recall€of€theÐ <Ø Ðevidence.€€You€will€not€have€a€written€transcript€to€consult,€and€it€may€not€be€practical€for€theÐ ž : Ðcourt€reporter€to€read€[play]òò1óó€back€lengthy€testimony.€€You€must€pay€close€attention€to€theÐ  œ Ðtestimony€as€it€is€given.€Ð b þ Ðà  à[If€you€wish,€however,€you€may€take€notes€to€help€you€remember€what€witnesses€said.€€IfÐ Ä `  Ðyou€do€take€notes,€please€keep€them€to€yourself€until€you€and€your€fellow€jurors€go€to€the€juryÐ &  Ðroom€to€decide€the€case.€€And€do€not€let€note„taking€distract€you€so€that€you€do€not€hear€otherÐ ˆ$  Ðanswers€by€the€witness.]Ð ê†  Ðà  à[When€you€leave€at€night,€your€notes€will€be€secured€and€not€read€by€anyone.]òò2óó€€Ó€ÓÓ €ÓÐ Lè  ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€Use€the€word€"play"€if€electronic€recording€system€is€used€and€testimony€will€beÐ ¬ Ð"played"€Ô':®gÉÔback€rather€than€read€back€to€the€jury.Ð ü˜ Ðà  à2.€€The€court€may€wish€to€describe€the€method€to€be€used€for€safekeeping.€€In€a€high„Ð ^ú Ðprofile€case,€the€court€may€want€to€give€some€additional€cautionary€instructions.€€Ð Jæ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¬H Ðà  àBoth€the€unbracketed€and€bracketed€portions€of€this€instruction€are€optional.€€TheÐ ª Ðunbracketed€portion€may€help€keep€jurors€attentive€and€may€discourage€requests€for€lengthy€Ô':¬XËÔread„Ð ú– Ðbacks€of€testimony.€€The€practice€of€restricting€the€reading€back€of€testimony€is€discretionary.€Ð æ‚  ÐòòUnited€States€v.€Ratcliffeóó,€550€F.2d€431,€434€(9th€Cir.€1976).€€Ð Òn! Ðà  àWhether€to€permit€note„taking€is€within€the€discretion€of€the€trial€judge.€€òòUnited€States€v.Ð 4 Ð# ÐBassleróó,€651€F.2d€600,€602€(8òòthóó€Cir.€1981òò).óó€Note„taking€is€not€a€favored€procedureòò.€óó€Some€circuitÐ  !¼$ Ðjudges€have€expressed€concern€about€letting€jurors€take€notes.€€òòSee€United€States€v.€Dardenóó,€70Ð  "¨% ÐF.3d€1507,€1536„37€(8th€Cir.€1995).€Ð ø"”& Ðà  àòòSeeóó€š1€and€1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rnÏ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¸Ï#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÿÏ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rNÐ#Ô:€Ð Z$ö( ÐCriminal€ðððð€5.11,€10.03€and€10.04€(5th€ed.€2000).Ð F%â) Ðà  àThis€instruction€is€identical€to€Model€Instruction€1.04,€Eighth€Circuit€Model€Civil€JuryÐ ¨&D + ÐInstructions.Ð  ”'0!, ÐÖ€ÂÁì ÖÓ €Óà@â â ìàò òÔ% €ë ÔÔ  Ô1.06B.€€QUESTIONS€BY€JURORSÔ f€äÑÔ€òò1óóó óˆÐ d ÐÌà  àÓ€ÓWhen€attorneys€have€finished€their€examination€of€a€witness,€you€may€ask€questions€ofÐ <Ø Ðthe€witness€(describe€procedure€to€be€used€here)òò2óó.€€If€the€rules€of€evidence€do€not€permit€aÐ ž : Ðparticular€question,€I€will€so€advise€you.€€Following€your€questions,€if€any,€the€attorneys€may€askÐ  œ Ðadditional€questions.Ó€ÓÓ €ÓÐ b þ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ä `  Ðà  à1.€€This€instruction€may€be€used€if€the€court€permits€questioning€of€witnesses€by€jurors.€Ð &  ÐVarious€procedures€have€been€used€for€handling€jurors'€questions.€€Some€judges€require€that€theÐ ®  ÐÔ'&Ä ÔÔquestions€be€in€writing,€while€others€permit€the€jurors€to€state€their€questions€orally.€€TheÐ þš  Ðprocedure€employed€for€taking€jurors'€questions,€considering€objections,€and€posing€the€questionsÐ ê†  Ðshould€be€left€to€the€discretion€of€the€judge.€€The€jury€should€be€advised€of€the€procedure€to€beÐ Ör  Ðused.Ð Â^  Ðà  à2.€€Different€methods€may€be€used.€€For€example:Ð $À Ðà  à(1)à0 ` àWhen€attorneys€have€finished€their€examination€of€a€witness,€you€may€submit€aÐ †" Ðwritten€question€or€questions€if€you€have€not€understood€something.€€I€will€reviewÐ r Ðeach€question€with€the€attorneys.€€You€may€not€receive€an€answer€to€your€questionÐ ^ú Ðbecause€I€may€decide€that€the€question€is€not€proper€under€the€rules€of€evidence.€Ð Jæ ÐEven€if€the€question€is€proper,€you€may€not€get€an€immediate€answer€to€yourÐ 6Ò Ðquestion.€€For€instance,€a€later€witness€or€an€exhibit€you€will€see€later€in€the€trialÐ "¾ Ðmay€answer€your€question.Ъ` (#` (# Ðà  à(2)à0 ` àMost€of€the€testimony€will€be€given€in€response€to€questions€by€the€attorneys.€Ð p  ÐSometimes€I€may€ask€questions€of€a€witness.€€When€the€attorneys€have€finishedÐ \ø Ðtheir€questioning€of€a€witness€and€I€have€finished€mine,€I€shall€ask€you€whetherÐ Hä Ðyou€have€any€questions€for€that€witness.€€If€you€do,€direct€each€of€your€questionsÐ 4 Ð  Ðto€me,€and€if€I€decide€that€it€meets€the€legal€rules,€I€shall€ask€it€of€the€witness.€Ð  !¼! ÐAfter€all€your€questions€for€a€witness€have€been€dealt€with,€the€attorneys€will€haveÐ  "¨" Ðan€opportunity€to€ask€the€witness€further€about€the€subjects€raised€by€yourÐ ø"”# Ðquestions.€€When€you€direct€questions€to€me€to€be€asked€of€the€witness,€you€mayÐ ä#€$ Ðstate€them€either€orally€or€in€writing.€€ÐÐ$l%` (#` (# Ðà  à(3)à0 ` àThe€court€will€permit€jurors€to€submit€written€questions€during€the€course€of€theÐ 2&Î' Ðtrial.€€Such€questions€must€be€submitted€to€the€court,€but,€depending€upon€theÐ 'º ( Ðcourt's€ruling€on€the€questions,€the€court€may€not€submit€them€to€the€witness.€€TheÐ  (¦!) Ðcourt€will€endeavor€to€permit€such€questions€at€the€conclusion€of€a€witness'Ð ö(’"* Ðâ âtestimony.Ðâ)~#+` (#` (# ÐÔ& & Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àThe€Eighth€Circuit€has€held€that€the€practice€of€allowing€juror€questions€is€a€matter€withinÐ Æb Ðthe€sound€discretion€of€the€district€court€and€is€not€prejudicial€òòper€seóó.€€òòUnited€States€v.€Tayloróó,Ð ²N Ð900€Ô'&d:ßÔF.2d€145,€148€(8òòthóó€Cir.€1990).€€However,€the€Eighth€Circuit€has€strongly€discouraged€thisÐ ž : Ðpractice.€€òòUnited€States€v.€Welliveróó,€976€F.2d€1148€(8th€Cir.€1992).€€While€some€courts€haveÐ Š & Ðfound€that€it€is€advantageous€that€jurors€become€more€involved€in€the€trial€proceedings€and€areÐ v  Ðpermitted€to€address€their€particular€concerns€with€respect€to€the€issues,òò€seeóó€Hener€and€Penrod,Ð b þ Ðð ðòòIncreasing€Jurorððs€Participation€with€Jury€Notetaking€and€Question€Askingóó,ðð€12€Law€&€HumanÐ N ê ÐBehavior€231€(1988);€ð ðToward€More€Active€Juries:€€Taking€Notes€and€Asking€Questions,ððÐ :Ö  ÐAmerican€Judicature€(1991),€some€courts€have€perceived€dangers€in€the€practice€and€haveÐ &  Ðstrongly€criticized€the€practice.òò€€Seeóó€òòUnited€States€v.€Johnson,óó€892€F.2d€707€(8òòthóó€Cir.€1989)Ð ®  Ð(Concurrence€by€Lay,€Chief€Judge);€òòUnited€States€v.€Landóó,€€877€F.2d€17,€19€(8òòthóó€Cir.€1989);Ð þš  ÐòòUnited€States€v.€Polowichakóó,€783€F.2d€410,€413€(4òòthóó€Cir.€1986);€òòDeBenedetto€v.€Goodyear€Tire€&Ð ê†  ÐRubber€Co.óó,€754€F.2d€512,€516€(4òòthóó€Cir.€1985).€€The€Eighth€Circuit€has€affirmed€jury€questioningÐ Ör  Ðprocedures€used€by€courts€when€the€jury€is€instructed€that€it€should€not€draw€any€factualÐ Â^  Ðconclusions€from€what€it€observed€in€the€process€because€it€was€the€judgeððs€job€to€determineÐ ®J Ðwhat€questions€were€proper.€€òòUnited€States€v.€Georgeóó,€986€F.2d€1176,€1178„79€(8òòthóó€Cir.€1993).€Ð š6 ÐThe€Eighth€Circuit€will€affirm€a€district€courtððs€procedure€that€provides€for€debate€of€questionsÐ †" Ðoutside€the€hearing€of€the€jury€and€the€rejection€of€any€question€found€objectionable€under€theÐ r Ðrule€of€evidence.€€òòId.óóÐ ^ú Ðà  àThis€instruction€is€identical€to€Instruction€1.04A,€Eighth€Circuit€Model€Civil€JuryÐ À\ ÐInstructions.Ð  ¬H ÐÖ€ÃÂì ÖÓ €Óà@w w ìàò òÔ% €ì ÔÔ  Ô1.07.€€BENCH€CONFERENCES€AND€RECESSESÔ th=éÔó óˆÐ d ÐÌà  àÓ€ÓDuring€the€trial€it€may€be€necessary€for€me€to€talk€with€the€lawyers€out€of€the€hearing€ofÐ <Ø Ðthe€jury,€either€by€having€a€bench€conference€here€while€the€jury€is€present€in€the€courtroom,€orÐ ž : Ðby€calling€a€recess.€€Please€understand€that€while€you€are€waiting,€we€are€working.€€The€purposeÐ  œ Ðof€these€conferences€is€to€decide€how€certain€evidence€is€to€be€treated€under€the€rules€ofÐ b þ Ðevidence,€and€to€avoid€confusion€and€error.€€We€will,€of€course,€do€what€we€can€to€keep€theÐ Ä `  Ðnumber€and€length€of€these€conferences€to€a€minimum.€€Ó€ÓÓ €ÓÐ &  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àòòSeeóó€Federal€Judicial€Center,€Pattern€Criminal€Jury€Instructions€ðð€1€(1988);€Fifth€CircuitÐ ê†  ÐPattern€Jury€Instructions€(Criminal€Cases)€ðð€1.01€(€(2001);€Ninth€Cir.€Criminal€Jury€Ô':ˆdìÔInstructionsÐ Ör  Ððð€2.2€(2000);€Eleventh€Circuit€Pattern€Jury€Instructions:€€Criminal€(Trial)€ðððð€1.1,€1.2€(1997).Ð  Â^  ÐÖ€ÄÃì ÖÓ €Óà@FFìàò òÔ% €í ÔÔ  Ô1.08.€€CONDUCT€OF€THE€JURYÔ th‡îÔó óˆÐ d ÐÌà  àÓ€ÓTo€insure€fairness,€you€as€jurors€must€obey€the€following€rules:€€Ð <Ø Ðà  àòòFirstóó,€do€not€talk€or€communicate€among€yourselves€about€this€case,€or€about€anyoneÐ ž : Ðinvolved€with€it,€until€the€end€of€the€case€when€you€go€to€the€jury€room€to€decide€on€your€verdict.€Ð  œ Ðà  àòòSecondóó,€do€not€talk€with€anyone€else€about€this€case,€or€about€anyone€involved€with€it,Ð b þ Ðuntil€the€trial€has€ended€and€you€have€been€discharged€as€jurors.€€€Ð Ä `  Ðà  àòòThirdóó,€when€you€are€outside€the€courtroom€do€not€let€anyone€tell€you€anything€about€theÐ &  Ðcase,€or€about€anyone€involved€with€it€[until€the€trial€has€ended€and€your€verdict€has€beenÐ ˆ$  Ðaccepted€by€me].€€If€someone€should€try€to€talk€to€you€about€the€case€[during€the€trial],€pleaseÐ ê†  Ðreport€it€to€the€[bailiff]€[deputy€clerk].€€(Describe€person.)Ð Lè  Ðà  àòòFourthóó,€during€the€trial€you€should€not€talk€with€or€speak€to€any€of€the€parties,€lawyers€orÐ ®J Ðwitnesses€involved€in€this€case€--€you€should€not€even€pass€the€time€of€day€with€any€of€them.€€It€isÐ ¬ Ðimportant€not€only€that€you€do€justice€in€this€case,€but€that€you€also€give€the€appearance€of€doingÐ r Ðjustice.€€If€a€person€from€one€side€of€the€lawsuit€sees€you€talking€to€a€person€from€the€other€sideÐ Ôp Ð--€even€if€it€is€simply€to€pass€the€time€of€day€--€an€unwarranted€and€unnecessary€suspicion€aboutÐ 6Ò Ðyour€fairness€might€be€aroused.€€If€any€lawyer,€party€or€witness€does€not€speak€to€you€when€youÐ ˜4 Ðpass€in€the€hall,€ride€the€elevator€or€the€like,€it€is€because€they€are€not€supposed€to€talk€to€or€visitÐ ú–  Ðwith€you.€Ð \ø" Ðà  àòòFifthóó,€it€may€be€necessary€for€you€to€tell€your€family,€close€friends,€teachers,€coworkers,Ð ¾Z$ Ðor€employer€about€your€participation€in€this€trial.€€You€can€explain€when€you€are€required€to€be€inÐ  !¼& Ðcourt€and€can€warn€them€not€to€ask€you€about€this€case,€tell€you€anything€they€know€or€think€theyÐ ‚"( Ðknow€about€this€case,€or€discuss€this€case€in€your€presence.€€You€must€not€communicate€withÐ ä#€* Ðanyone€or€post€information€about€the€parties,€witnesses,€participants,€[claims]€[charges],Ð F%â, Ðevidence,€or€anything€else€related€to€this€case.€€You€must€not€tell€anyone€anything€about€theÐ ¨&D . Ðjuryððs€deliberations€in€this€case€until€after€I€accept€your€verdict€or€until€I€give€you€specificÐ  (¦!0 Ðpermission€to€do€so.€€If€you€discuss€the€case€with€someone€other€than€the€other€jurors€duringÐ l)#2 Ðdeliberations,€it€could€create€the€perception€that€you€have€clearly€decided€the€case€or€that€youÐ Î*j$4 Ðmay€be€influenced€in€your€verdict€by€their€opinions.€€That€would€not€be€fair€to€the€parties€and€itÐ 0,Ì%6 Ðmay€result€in€the€verdict€being€thrown€out€and€the€case€having€to€be€retried.€€During€the€trial,Ð d Ðwhile€you€are€in€the€courthouse€and€after€you€leave€for€the€day,€do€not€provide€any€information€toÐ Æb Ðanyone€by€any€means€about€this€case.€€Thus,€for€example,€do€not€talk€face-to-face€or€use€anyÐ ( Ä Ðelectronic€device€or€media,€such€as€the€telephone,€a€cell€or€smart€phone,€Blackberry,€PDA,Ð Š & Ðcomputer,€the€Internet,€any€Internet€service,€any€text€or€instant€messaging€service,€any€InternetÐ ì ˆ Ðchat€room,€Ô_ÔblogÔ_Ô,€or€Website€such€as€Ô_ÔFacebookÔ_Ô,€Ô_ÔMySpaceÔ_Ô,€Ô_ÔYouTubeÔ_Ô,€or€Twitter,€or€any€other€wayÐ N ê  Ðto€communicate€to€anyone€any€information€about€this€case€until€I€accept€your€verdict.Ð °L  Ðà  àòòSixthóó,€do€not€do€any€research€„„€on€the€Internet,€in€libraries,€in€the€newspapers,€or€in€anyÐ ®  Ðother€way€„„€or€make€any€investigation€about€this€case€on€your€own.€€Do€not€visit€or€view€anyÐ t  Ðplace€discussed€in€this€case€and€do€not€use€Internet€programs€or€other€device€to€search€for€or€toÐ Ör  Ðview€any€place€discussed€in€the€testimony.€€Also,€do€not€research€any€information€about€this€case,Ð 8Ô  Ðthe€law,€or€the€people€involved,€including€the€parties,€the€witnesses,€the€lawyers,€or€the€judge.Ð š6 Ðà  àòòSeventhóó,€do€not€read€any€news€stories€or€articles€in€print,€or€on€the€Internet,€or€in€any€Ô_ÔblogÔ_Ô,Ð ü˜ Ðabout€the€case,€or€about€anyone€involved€with€it,€or€listen€to€any€radio€or€television€reports€aboutÐ ^ú Ðthe€case€or€about€anyone€involved€with€it.€€[In€fact,€until€the€trial€is€over,€I€suggest€that€you€avoidÐ À\ Ðreading€any€newspapers€or€news€journals€at€all,€and€avoid€listening€to€any€television€or€radioÐ "¾ Ðnewscasts€at€all.€€I€do€not€know€whether€there€might€be€any€news€reports€of€this€case,€but€if€thereÐ „   Ðare,€you€might€inadvertently€find€yourself€reading€or€listening€to€something€before€you€could€doÐ æ‚" Ðanything€about€it.€€If€you€want,€you€can€have€your€spouse€or€a€friend€clip€out€any€stories€and€setÐ Hä$ Ðthem€aside€to€give€you€after€the€trial€is€over.]€€I€can€assure€you,€however,€that€by€the€time€youÐ ª F& Ðhave€heard€the€evidence€in€this€case,€you€will€know€what€you€need€to€return€a€just€verdict.€Ð  "¨( Ðà  àThe€parties€have€a€rÔ_ÔightÔ_Ô€to€have€the€case€decided€only€on€evidence€they€know€about€andÐ n# * Ðthat€has€been€introduced€here€in€court.€€If€you€do€some€research€or€investigation€or€experimentÐ Ð$l, Ðthat€we€donððt€know€about,€then€your€verdict€may€be€influenced€by€inaccurate,€incomplete€orÐ 2&Î. Ðmisleading€information€that€has€not€been€tested€by€the€trial€process,€including€the€oath€to€tell€theÐ ”'0!0 Ðtruth€and€by€cross„examination.€€All€of€the€parties€are€entitled€to€a€fair€trial,€rendered€by€anÐ ö(’"2 Ðimpartial€jury,€and€you€must€conduct€yourself€so€as€to€maintain€the€integrity€of€the€trial€process.€Ð X*ô#4 ÐIf€you€decide€a€case€based€on€information€not€presented€in€court,€you€will€have€denied€the€partiesÐ º+V%6 Ða€fair€trial€in€accordance€with€the€rules€of€this€country€and€you€will€have€done€an€injustice.€€It€isÐ d Ðvery€important€that€you€abide€by€these€rules.€€Remember,€you€have€taken€an€oath€to€abide€byÐ Æb Ðthese€rules€and€you€must€do€so.€€[Failure€to€follow€these€instructions€may€result€in€the€caseÐ ( Ä Ðhaving€to€be€retried€and€could€result€in€you€being€held€in€contempt.]Ð Š & Ðà  àòòEighthóó,€do€not€make€up€your€mind€during€the€trial€about€what€the€verdict€should€be.€Ð ì ˆ ÐKeep€an€open€mind€until€after€you€have€gone€to€the€jury€room€to€decide€the€case€and€you€andÐ N ê  Ðyour€fellow€jurors€have€discussed€the€evidence.€Ð  °L  ÐÖ€ÅÄì ÖÓ€Óà@++ìàò òÔ% €î ÔÔ  Ô1.09.€€OUTLINE€OF€TRIALÔ he± Ôó óˆÐ d ÐÌÓ€Óà  àThe€trial€will€proceed€in€the€following€manner:€€Ð <Ø Ðà  àFirst,€the€Government€attorney€will€make€an€opening€statement.€€[Next€the€defendant'sÐ ž : Ðattorney€may,€but€does€not€have€to,€make€an€opening€statement.]òò1óó€€An€opening€statement€is€notÐ  œ Ðevidence€but€is€simply€a€summary€of€what€the€attorney€expects€the€evidence€to€be.€Ð b þ Ðà  àThe€Government€will€then€present€its€evidence€and€counsel€for€the€defendant€may€cross„Ð Ä `  Ðexamine.€€[Following€the€Government's€case,€the€defendant€may,€but€does€not€have€to,€presentÐ &  Ðevidence,€testify€or€call€other€witnesses.€€If€the€defendant€calls€witnesses,€the€GovernmentÐ ˆ$  Ðcounsel€may€cross-examine€them.]òò2óó€Ð ê†  Ðà  àAfter€presentation€of€evidence€is€completed,€the€attorneys€will€make€their€closingÐ Lè  Ðarguments€to€summarize€and€interpret€the€evidence€for€you.€€As€with€opening€statements,€closingÐ ®J Ðarguments€are€not€evidence.€€The€court€will€instruct€you€further€on€the€law.€€After€that€you€willÐ ¬ Ðretire€to€deliberate€on€your€verdict.€Ð r ÐÓ €ÓÓ€ÓÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ôp Ðà  à1.€€This€sentence€may€be€omitted€if€the€defendant€so€requests.Ð 6Ò ÐÔ'°ÔÔà  à2.€€These€sentences€may€be€omitted€if€the€defendant€so€requests.€Ð ˜4 ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ú–  Ðà  àòòSeeóó€Ô'Nú)Ô1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÁ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rR#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¡#Ô:€€CriminalÐ \ø" Ððð€10.01€(5th€ed€2000).Ð  Hä# ÐÖ€ÆÅì ÖրǶìÖÑ t ÑÓ €Óà@  ìàÔ% €ï ÔÔ  Ôò ò2.00.€€INSTRUCTIONS€FOR€USE€DURING€TRIAL€ˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ Ý ¦ÔˆÐ ˆØ ÐÌÓ €Óà  àThe€instructions€included€in€this€section€are€those€the€Committee€felt€were€most€likely€toÐ `° Ðbe€given€òòduringóó€trial,€to€limit€or€explain€evidence,€to€advise€the€jury€of€its€duties,€or€to€cure€orÐ L œ Ðavoid€prejudice.€€An€instruction€bearing€on€the€jury's€duties€during€recesses€is€contained€inÐ 8 ˆ ÐInstruction€2.01.€€Instructions€explaining€various€kinds€of€evidence€include€InstructionsÐ $ t Ð2.02-2.07.Ð  ` Ðà  àLimiting€instructions€must€be€given,€if€requested,€where€evidence€is€admissible€for€oneÐ r   Ðpurpose,€but€not€for€another€purpose,€or€against€one€defendant€but€not€another.€€Fed.€R.€Evid.Ð ^®  Ð105.€€Although€it€may€be€the€better€practice€to€give€such€an€instruction€òòsua€sponteóó,€this€circuit€hasÐ Jš  Ðmade€it€clear€that€the€district€court€is€not€required€to€give€a€limiting€instruction€unless€counselÐ 6†  Ðrequests€one.€€òòUnited€States€v.€Perkinsóó,€94€F.3d€429,€435€(8òòthóó€Cir.€1996).€€Generally,€when€neitherÐ "r  Ðparty€requests€a€limiting€instruction,€the€trial€courtððs€failure€to€give€a€limiting€instruction€isÐ ^  Ðreviewed€for€plain€error.€€òòId.óó€€A€party€who€declines€a€district€courtððs€offer€to€provide€a€limitingÐ úJ Ðinstruction€or€who€makes€it€clear€that€he€does€not€want€such€a€limiting€instruction€waives€theÐ æ6 Ðissue€on€appeal€and€cannot€complain€that€such€a€failure€constituted€plain€error.€€òòUnited€States€v.Ð Ò" ÐHaukassóó,€172€F.3d€542,€545€(8òòthóó€Cir.€1999);€òòArkansas€State€Highway€Ô_ÔCommððnÔ_Ô€v.€Arkansas€RiverÐ ¾ ÐCo.óó,€271€F.3d€753,€760€(8òòthóó€Cir.€2001)€(when€error€invited,€there€can€be€no€reversible€error).Ð ªú Ðà  àThe€district€court€has€discretion€in€deciding€whether€to€give€limiting€instructions,€butÐ  \ Ðwhen€it€does,€it€should€instruct€the€jury€as€to€the€limited€purpose€for€which€the€evidence€isÐ øH Ðreceived.€€òòUnited€States€v.€Larry€Reid€&€Sons€Partnershipóó,€280€F.3d€1212,€1215€(8òòthóó€Cir.€2002).€Ð ä4 ÐLimiting€instructions€include€Instructions€2.08-2.19.Ð Ð  Ðà  àCurative€instructions€are€used€to€avoid€or€cure€possible€prejudice€that€may€arise€from€aÐ 2‚ Ðvariety€of€situations€occurring€during€trial.€€òòUnited€States€v.€Floresóó,€73€F.3d€826,€831€(8òòthóó€Cir.Ð n Ð1996).€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Waddingtonóó,òò€óó233€F.3d€1067,€1077òò€óó(8òòthóó€Cir.€2000)€(reference€toÐ  Z Ða€co„defendantððs€conviction€in€the€same€underlying€case)òò;€United€States€v.€OððDell,€óó204€F.3d€829,Ð öF Ð835€(8òòthóó€Cir.€2000)€(improper€prosecutorððs€argument€that€the€government€cannot€force€someoneÐ â2 Ðto€testify);€òòUnited€States€v.€Sopczakóó,€742€F.2d€1119,€1122€(8òòthóó€Cir.€1984)€(witness€mentioned€theÐ Î   Ðdefendant€had€changed€plea€from€guilty€to€not€guilty);€òòUnited€States€v.€Martinóó,€706€F.2d€263,€266Ð º! ! Ð(8òòthóó€Cir.€1983)€(court's€reference€to€the€defendants€as€"pimps");€òòUnited€States€v.€Singeróó,€660€F.2dÐ ¦"ö" Ð1295,€1304-05€(8òòthóó€Cir.€1981)€(prosecutor's€comments€during€closing€argument);€òòUnited€States€v.Ð ’#â# ÐSmithóó,€578€F.2d€1227,€1236€(8òòthóó€Cir.€1978)€(the€codefendant's€disruptive€conduct€at€trial);€òòUnitedÐ ~$Î$ ÐStates€v.€Leachóó,€429€F.2d€956,€963€(8òòthóó€Cir.€1970)€(witness€characterized€the€defendant's€remarkÐ j%º % Ðas€"vulgar").€€Curative€instructions€include€Nos.€2.20-2.22.€€Ð V&¦!& Ðà  àThe€court€has€discretion€to€refuse€a€curative€instruction€where€the€effect€may€be€toÐ ¸'#( Ðamplify€the€event€rather€than€dispel€prejudice.€€òòLong€v.€Cottrellóó,€265€F.3d€663,€665€(8òòthóó€Cir.Ð ¤(ô#) Ð2001).Ð )à$* Ðà  àOther€Instructions€dealing€with€evidentiary€matters€are€found€in€Section€4.€€Any€of€thoseÐ ò*B&, Ðevidentiary€instructions€may€easily€be€adapted€for€use€during€trial€where€appropriate.€€Ð Þ+.'- Ðà  àInstructions€given€during€trial€may€be€repeated€at€the€conclusion€of€trial,€if€appropriate.Ð  d ÐÖ€ÈÆìÖÓ €Óà@c c ìàò òÔ% €ð ÔÔ  Ô2.01.€€DUTIES€OF€JURY€„€RECESSESÔ Ý 'Ôó óˆÐ d ÐÌÓ€Óà  àDuring€this€recess,€and€every€other€recess,€do€not€discuss€this€case€among€yourselves€orÐ <Ø Ðwith€anyone€else,€including€your€family€and€friends.€€Do€not€allow€anyone€to€discuss€the€caseÐ ž : Ðwith€you€or€within€your€hearing.€€ð ðDo€not€discussðð€also€means€do€not€e„mail,€send€text€messages,Ð  œ ÐÔ_ÔblogÔ_Ô€or€engage€in€any€other€form€of€written,€oral€or€electronic€communication,€as€I€instructed€youÐ b þ Ðbefore.€€Ð Ä `  Ðà  àDo€not€read€any€newspaper€or€other€written€account,€watch€any€televised€account,€orÐ &  Ðlisten€to€any€radio€program€about€this€trial.€€Do€not€conduct€any€Internet€research€or€consult€withÐ ˆ$  Ðany€other€sources€about€this€case,€the€people€involved€in€the€case,€or€its€general€subject€matter.€Ð ê†  ÐYou€must€keep€your€mind€open€and€free€of€outside€information.€€Only€in€this€way€will€you€beÐ Lè  Ðable€to€decide€the€case€fairly€based€solely€on€the€evidence€and€my€instructions€on€the€law.€€If€youÐ ®J Ðdecide€this€case€on€anything€else,€you€will€have€done€an€injustice.€€It€is€very€important€that€youÐ ¬ Ðfollow€these€instructions.Ð r Ðà  àI€may€not€repeat€these€things€to€you€before€every€recess,€but€keep€them€in€mindÐ Ôp Ðthroughout€the€trial.1€Ð 6Ò ÐÓ€ÓÓ €ÓÔ& N Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˜4 ÐÔ'N˜V-Ôà  à1.€€This€language€should€be€used€for€overnight€and€weekend€recesses,€but€may€be€omittedÐ ú–  Ðfor€subsequent€breaks€during€trial.Ð  æ‚! ÐÖ€;ÈØÖÓ €Óà@ö ö ìàò òÔ% €ñ ÔÔ  Ô2.02.€€STIPULATED€TESTIMONYÔ t€ª.Ôó óˆÐ d ÐÌà  àÓ€ÓThe€Government€and€the€defendant[s]€have€stipulated€-€that€is,€they€have€agreed€-€that€ifÐ <Ø Ð(name€of€witness)€were€called€as€a€witness€[he][she]€would€testify€in€the€way€counsel€have€justÐ ž : Ðstated.€€You€should€accept€that€as€being€(name€of€witness)'s€testimony,€just€as€if€it€had€been€givenÐ  œ Ðhere€in€court€from€the€witness€stand.€€Ð b þ ÐÓ€ÓÓ €ÓÔ& ˆ Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ä `  Ðà  àòòSeeóó€Seventh€Circuit€Federal€Jury€Instructions:€€Criminal€ðð€1.02€(1997);€Ninth€Cir.€Crim.Ð &  ÐJury€Instr.€2.3€(1997).€€òòSee€generallyóó€Federal€Judicial€Center,€Pattern€Criminal€Jury€InstructionsÐ ®  Ððð11€(1988).€Ð þš  ÐÔ'ˆÄ Ú0Ôà  àThere€is€a€difference€between€stipulating€that€a€witness€would€give€certain€testimony,€andÐ `ü  Ðstipulating€that€certain€facts€are€established.€€òòUnited€States€v.€Lambertóó,€604€F.2d€594,€595€(8thÐ Lè  ÐCir.€1979).€€Instruction€2.03,€òòinfraóó,€covers€stipulations€of€facts.€€By€entering€into€a€stipulation€asÐ 8Ô  Ðto€a€witness's€testimony,€calling€that€person€as€a€witness€is€avoided.€€òòOsborne€v.€United€Statesóó,Ð $À Ð351€F.2d€111,€120€(8th€Cir.€1965).€€Ð ¬ Ðà  àWhere€there€is€stipulation€as€to€testimony,€the€parties€may€contest€the€truth€or€accuracy€ofÐ r Ðthat€testimony.€€òòSeeóó€òòUnited€States€v.€Garciaóó,€593€F.2d€77,€79€(8th€Cir.€1979).€€In€such€a€situation,Ð ^ú Ðit€may€be€appropriate€to€instruct€the€jury€on€the€factual€areas€that€remain€disputed.€€òòSeeóó,€òòe.g.óó,Ð Jæ ÐòòUnited€States€v.€Renfroóó,€600€F.2d€55,€59€(6th€Cir.€1979),€for€an€example€of€such€an€instructionÐ 6Ò Ðwhere€only€authenticity€was€stipulated.€Ô_ÔÐ  "¾ ÐÖ€>;ØÖÓ €Óà@ìàò òÔ% €ò ÔÔ  Ô2.03.€€STIPULATED€FACTSÔ Ý 7Ôó óˆÐ d ÐÌà  àÓ€ÓThe€government€[prosecutor]€and€the€defendant[s]€have€stipulated€--€that€is,€they€haveÐ <Ø Ðagreed€--€that€certain€facts€are€as€counsel€have€just€stated.€€You€must€therefore€treat€those€facts€asÐ ž : Ðhaving€been€proved.€Ð  œ ÐÓ€ÓÓ €ÓÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ b þ Ðà  àWhen€facts€are€stipulated,€it€is€not€error€for€the€court€to€so€instruct.€€òòUnited€States€v.€Simsóó,Ð Ä `  Ð529€F.2d€10,€11€(8th€Cir.€1976).€€òòSee,€e.g.,€United€States€v.€Steevesóó,€525€F.2d€33,€35€(8òòthóó€Cir.Ð °L  ÐÔ'&b Ä8Ô1975).€€When€the€parties€stipulate€to€an€element€of€an€offense,€it€is€not€error€to€instruct€the€jury€asÐ œ8  Ðto€that€fact.€€"Stipulations€of€fact€fairly€entered€into€are€controlling€and€conclusive€and€courts€areÐ ˆ$  Ðbound€to€enforce€them."€€òòOsborne€v.€United€Statesóó,€351€F.2d€111,€120€(8th€Cir.€1965).€Ð t  Ðà  àA€case€may€be€submitted€on€an€agreed€statement€of€facts€and€the€defendant€may€raise€anyÐ Ör  Ðdefenses€by€stipulation.€€Such€a€practice,€where€the€essential€facts€in€the€case€are€uncontested,€hasÐ Â^  Ðbeen€approved€as€a€practical€and€expeditious€procedure.€€òòUnited€States€v.€Wrayóó,€608€F.2d€722,Ð ®J Ð724€(8th€Cir.€1979).€€When€facts€which€tend€to€establish€guilt€are€submitted€on€stipulation,€theÐ š6 Ðcourt€must€determine€whether€the€consequences€of€the€admissions€are€understood€by€theÐ †" Ðdefendant€and€whether€he€consented€to€them.€€òòCox€v.€Huttoóó,€589€F.2d€394,€396€(8th€Cir.€1979)Ð r Ð(stipulation€to€prior€convictions€in€habitual€offender€action).€€An€extensive€examination€beforeÐ ^ú Ðentry€of€a€guilty€plea€under€Rule€11€is€ordinarily€not€required.€€òòUnited€States€v.€Stalderóó,€696€F.2dÐ Jæ Ð59,€62€(8òòthóó€Cir.€1982).€€However,€when€a€stipulation€is€entered€that€leaves€no€fact€to€be€tried,€theÐ 6Ò Ðcourt€should€determine€that€the€stipulation€was€voluntarily€and€intelligently€entered€into,€and€thatÐ "¾ Ðthe€defendant€knew€and€understood€the€consequences€of€the€stipulation.€€òòId.óó€Ð ª Ðà  àBy€agreeing€to€a€stipulation,€a€defendant€waives€any€right€to€argue€error€on€appeal.€Ð p  ÐòòUnited€States€v.€Hawkinsóó,€215€F.3d€858,€860€(8òòthóó€Cir.€2000)€(citing€òòOhler€v.€United€Statesóó,€529Ð \ø ÐU.S.€753,€756€(2000)€(party€introducing€evidence€cannot€complain€on€appeal€that€the€evidenceÐ Hä Ðwas€erroneously€admitted)).€Ð  4 Ð ÐÖ€@>ØÖÓ €Óà@3 3 ìàò òÔ% €ó ÔÔ  Ô2.04.€€JUDICIAL€NOTICE€(Fed.€R.€Evid.€201)Ô t€BÔó óˆÐ d ÐÌÓ€Óà  àEven€though€no€evidence€has€been€introduced€about€it,€I€have€decided€to€accept€as€provedÐ <Ø Ðthe€fact€that€(insert€fact€noticed).€€I€believe€this€fact€[is€of€such€common€knowledge]€[can€be€soÐ ž : Ðaccurately€and€readily€determined€from€(name€accurate€source)]€that€it€cannot€reasonably€beÐ  œ Ðdisputed.€€You€may€therefore€treat€this€fact€as€proved,€even€though€no€evidence€was€brought€outÐ b þ Ðon€the€point.€€As€with€any€fact,€however,€the€final€decision€whether€or€not€to€accept€it€is€for€youÐ Ä `  Ðto€make€and€you€are€not€required€to€agree€with€me.€Ð &  ÐÓ€ÓÓ €ÓÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àòòSeeóó€òòUnited€States€v.€Deckardóó,€816€F.2d€426,€428€(8th€Cir.€1987).€€òòSee€Ô'Nˆ¿EÔgenerallyóó€š1A€KevinÐ ê†  ÐF.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÄF#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rG#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rUG#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¤G#Ô:€€Criminal€ðð12.03€(5th€ed.Ð Ör  Ð2000);€Fed.€R.€Evid.€201.€Ð Â^  Ðà  àThe€kinds€of€facts€which€may€be€judicially€noticed€are€set€out€in€Fed.€R.€Evid.€201(b).€Ð $À Ðà  àAn€instruction€regarding€judicial€notice€is€appropriately€given€at€the€time€notice€is€taken.€Ð †" ÐIn€òòDeckardóó,€the€jury€was€instructed€at€the€time€notice€was€taken€that€it€would€be€instructed€at€theÐ r Ðclose€of€the€case€on€what€to€do€with€facts€judicially€noticed.€€That€part€of€the€final€charge€read€asÐ ^ú Ðfollows:€Ð Jæ Ðà0  àWhen€the€court€declares€it€will€take€judicial€notice€of€some€fact€or€event,€you€may€acceptÐ ¬H Ðthe€court's€declaration€as€evidence,€and€regard€as€proved€the€fact€or€event€which€has€beenÐ ˜4 Ðjudicially€noticed,€but€you€are€not€required€to€do€so€since€you€are€the€sole€judge€of€theÐ „  Ðfacts.€Ðp (#(# Ð816€F.2d€at€428.€Ð Òn  Ðà  àFed.€R.€Evid.€201(g)€requires€that€the€jury€in€a€criminal€case€be€instructed€that€it€is€notÐ 4 Ð" Ðrequired€to€accept€as€conclusive€any€fact€so€noticed.€€However,€failure€to€so€instruct€does€not€riseÐ  !¼# Ðto€the€level€of€plain€error€if€the€defendant€is€not€prejudiced.€€òòUnited€States€v.€Berrojoóó,€628€F.2dÐ  "¨$ Ð368,€370€(5th€Cir.€1980);€òòUnited€States€v.€Piggieóó,€622€F.2d€486,€488€(10th€Cir.€1980).Ð ø"”% Ðà  àCourts€"may€take€judicial€notice€of€either€legislative€or€adjudicative€facts,€[but]€onlyÐ Z$ö' Ðnotice€of€the€latter€is€subject€to€the€strictures€of€Rule€201.€€Although€Rule€201€is€frequentlyÐ F%â( Ð(albeit€erroneously)€cited€in€cases€that€involve€judicial€notice€of€legislative€facts,€see€II€[KennethÐ 2&Î) ÐC.]€Davis€&€[Richard€J.]€Pierce,€Jr.,€Administrative€Law€Treatise€ðð€10.6€at€155€(3d€ed.€1994),Ð 'º * Ð[courts]€recognize€the€importance€of€this€distinction€and€its€clear€basis€in€Rule€201(a)€and€theÐ  (¦!+ Ðadvisory€note€thereon."€€òòUnited€States€v.€Hernandez„Fundoraóó,€58€F.3d€802,€812€(2d€Cir.€1995).€€Ð ö(’", ÐWhile€the€federal€rule€provides,€in€part,€that€"[i]n€a€criminal€case,€the€court€shall€instruct€the€juryÐ â)~#- Ðthat€it€may,€but€is€not€required€to,€accept€as€conclusive€any€fact€judicially€noticed,"€the€ruleÐ Î*j$. Ðextends€only€to€adjudicative,€not€legislative€facts.€€òòUnited€States€v.€Gouldóó,€536€F.2d€216€(8th€Ô_ÔCir.Ð º+V%/ Ð1976);€òòUnited€States€v.€Bowersóó,€660€F.2d€527€(5th€Cir.€1981)€(per€curiam).€€"No€rule€deals€withÐ d Ðjudicial€notice€of€'legislative'€facts.'"€€òòUnited€States€v.€Hernandez„Fundoraóó,€58€F.3d€at€811.Ð Pì Ðà  àLegislative€facts€are€established€truths,€facts€or€pronouncements€that€do€not€change€fromÐ ²N Ðcase€to€case€but€apply€universally,€while€adjudicative€facts€are€those€developed€in€a€particularÐ ž : Ðcase.€€If€the€court€reaches€a€"conclusion€through€an€exercise€in€statutory€interpretation"€about€aÐ Š & Ðparticular€issue,€the€conclusion€is€a€legislative€fact€that€need€not€be€submitted€to€the€jury.€€òòUnitedÐ v  ÐStates€v.€Gouldóó,€536€F.2d€at€220€(instruction€to€jury€that€it€could€disregard€the€judicially€noticedÐ b þ Ðfact€that€cocaine€hydrochloride€was€a€schedule€II€controlled€substance€would€have€beenÐ N ê Ðinappropriate);€òòUnited€States€v.€Hernandez„Fundoraóó,€58€F.3d€at€810€(resolution€of€territorialÐ :Ö  Ðjurisdiction€issue€required€the€determination€of€legislative€facts€with€the€result€that€Rule€201(g)Ð &  Ðinapplicable);€òòUnited€States€v.€Madeoyóó,€912€F.2d€1486,€1494€(D.C.€Cir.€1990)€("public€official"Ð ®  Ðfor€purposes€of€bribery€statute€is€a€question€of€law€for€the€court);€òòUnited€States€v.€Andersonóó,€782Ð þš  ÐF.2d€908,€917€(11th€Cir.€1986)€(fact€that€violation€of€Georgia€arson€statute€is€a€felony€for€RICOÐ ê†  Ðpurposes€is€a€legislative€fact€that€can€be€judicially€noticed€but€not€instructed€on).Ð  Ör  ÐÓ €ÓÖ€A@ìÖà@: : ìàò òÔ% €ô ÔÔ  Ô2.05.€€WIRETAP€OR€OTHER€TAPE„RECORDED€EVIDENCEÔ esYÔó óˆÐ d ÐÌÓ €Óà  àÓ€Ó[You€are€about€to€hear€[have€heard]€tape€recordings€of€conversations.€€TheseÐ <Ø Ðconversations€were€legally€recorded,€€and€you€may€consider€the€recordings€just€like€any€otherÐ ž : Ðevidence.]€Ó€ÓÐ  œ ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ b þ Ðà  àòòSeeóó€Federal€Judicial€Center,€Pattern€Criminal€Jury€Instructions€ðð€13€(1988);€Ninth€Cir.Ð Ä `  ÐCrim.€Jury€Instr.€2.8€(1997).€€òòSee€generallyóó€18€U.S.C.€ðððð2510-2520.Ð °L  ÐÔ'œb ¦ZÔà  àThe€Committee€recommends€that€this€instruction€be€given€only€if€a€question€as€to€theÐ ®  Ðpropriety€of€the€recording€has€been€raised€in€the€jury's€presence.€Ð þš  Ðà  àNote€that€when€a€transcript€of€a€tape€is€offered€and€the€tape€is€available,€the€tape,€ratherÐ `ü  Ðthan€the€transcript,€controls.€€òòSeeóó€Fed.€R.€Evid.€1002.€€òòUnited€States€v.€Martinezóó,€951€F.2d€887,Ð Lè  Ð889€(8òòthóó€Cir.€1991).€€The€trial€court€did€not€err€in€permitting€the€jury€to€listen€to€a€tape,€which€wasÐ 8Ô  Ðarguably€unintelligible,€and€follow€along€with€the€transcript,€when€the€court€instructed€the€juryÐ $À Ðthat€only€the€tape€and€not€the€transcript€was€to€be€considered€when€weighing€the€evidence.€€ThisÐ ¬ Ðis€covered€in€Instruction€2.06A,€òòinfraóó.€€In€situations€where€a€transcript€is€utilized€together€withÐ ü˜ Ðthe€recording,€Instruction€2.06A€should€be€given€immediately€after€this€instruction.€Ð è„ Ðà  àIn€òòUnited€States€v.€McMillanóó,€508€F.2d€101€(8th€Cir.€1974),€the€Court€set€forth€theÐ Jæ Ðfoundation€requirements€for€use€of€tape€recordings€as€evidence.€€The€òòMcMillanóó€foundationÐ 6Ò Ðrequirements€are€directed€to€the€government's€use€of€recording€equipment,€but€not€to€a€recordingÐ "¾ Ðfound€in€a€defendant's€possession.€€òòUnited€States€v.€O'Connellóó,€841€F.2d€1408€(8th€Cir.€1988);Ð ª ÐòòUnited€States€v.€Kandielóó,€865€F.2d€967€(8th€Cir.€1989).€€If€the€requirements€are€satisfied,€a€tapeÐ ú– Ðmay€be€admitted€even€if€it€is€poor€quality€as€long€as€the€quality€of€the€recording€does€not€call€intoÐ æ‚ Ðquestion€the€trustworthiness€of€the€tape.€€òòUnited€States€v.€Munozóó,€324€F.3d€987,€992€(8òòthóó€Cir.Ð Òn Ð2003);€òòcf.€United€States€v.€Le,óó€272€F.3d€530,€532€(8òòthóó€Cir.€2001).€€It€is€within€the€trial€courtððsÐ ¾Z Ðdiscretion€to€exclude€a€tape€when€its€quality€renders€it€untrustworthy.Ð  ª F  ÐÓ €ÓÖ€CAØÖà@´´ìàò òÔ% €õ ÔÔ  Ô2.06A.€€TRANSCRIPT€OF€TAPE„RECORDED€CONVERSATIONÔ óŠdÔó óˆÐ d ÐÌà  àÓ€ÓAs€you€have€[also]€heard,€there€is€a€typewritten€transcript€of€the€tape€recording€[I€justÐ <Ø Ðmentioned]€[you€are€about€to€hear].€€That€transcript€also€undertakes€to€identify€the€speakersÐ ž : Ðengaged€in€the€conversation.€Ð  œ Ðà  àYou€are€permitted€to€have€the€transcript€for€the€limited€purpose€of€helping€you€follow€theÐ b þ Ðconversation€as€you€listen€to€the€tape€recording,€and€also€to€help€you€keep€track€of€the€speakers.€Ð Ä `  ÐDifferences€in€meaning€between€what€you€hear€in€the€recording€and€read€in€the€transcript€may€beÐ &  Ðcaused€by€such€things€as€the€inflection€in€a€speaker's€voice.€€It€is€what€you€hear,€however,€and€notÐ ˆ$  Ðwhat€you€read,€that€is€the€evidence.€€Ð ê†  ÐÓ €Óà  à[You€are€specifically€instructed€that€whether€the€transcript€correctly€or€incorrectly€reflectsÐ Lè  Ðthe€conversation€or€the€identity€of€the€speakers€is€entirely€for€you€to€decide€based€upon€what€youÐ ®J Ðhave€heard€here€about€the€preparation€of€the€transcript,€and€upon€your€own€examination€of€theÐ ¬ Ðtranscript€in€relation€to€what€you€hear€on€the€tape€recording.€€If€you€decide€that€the€transcript€is€inÐ r Ðany€respect€incorrect€or€unreliable,€you€should€disregard€it€to€that€extent.]òò1óóÓ€ÓÐ Ôp ÐÔ& N Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 6Ò ÐÔ'N6²jÔà  à1.€€This€paragraph€should€be€given€if€the€parties€do€not€stipulate€to€the€transcript.€€InÐ ˜4 ÐòòUnited€States€v.€Gonzalezóó,€365€F.3d€656,€660€(8òòthóó€Cir.€2004),€the€court€said:€€ð ð[W]e€believe€thatÐ „  Ðwhenever€the€parties€intend€to€introduce€a€transcript€at€trial,€they€should€first€try€ððto€produce€anÐ p   Ðððofficialðð€or€ððstipulatedðð€transcript,€one€which€satisfies€all€sides,ðð€òòUnited€States€v.€Cruzóó,€765€F.2dÐ \ø! Ð1020,€1023€(11òòthóó€Cir.€1985)€(quoting€òòUnited€States€v.€Wilsonóó,€578€F.2d€67,€69„70€(5òòthóó€Cir.€1978)).€Ð Hä" ÐIf€they€are€unable€to€do€so,€ððthen€each€side€should€produce€its€own€version€of€a€transcript€or€itsÐ 4 Ð# Ðown€version€of€the€disputed€portions.€€In€addition,€each€side€may€put€on€evidence€supporting€theÐ  !¼$ Ðaccuracy€of€its€version€or€challenging€the€accuracy€of€the€other€sideððs€version.ðð€€òòId.óó€(quotingÐ  "¨% ÐòòWilsonóó,€578€F.2d€at€69„70).ðð€€In€the€opinion€of€the€Committee,€one€transcript€with€bracketedÐ ø"”& Ðalternatives€can€also€be€used€to€aid€the€jury€where€the€dispute€only€involves€short€disagreements.€€Ð ä#€' ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ F%â) Ðà  àòòSee€generallyóó€òòUnited€States€v.€McMillanóó,€508€F.2d€101€(8th€Cir.€1974)€(specifies€theÐ ¨&D + Ðprocedures€for€use€of€transcripts€at€trial).€€òòUnited€States€v.€Calderin„Rodriquezóó,€244€F.3d€979,Ð ”'0!, ÐÔ'&F%pÔ987€(8òòthóó€Cir.€2001),€held€that€transcripts€which€provide€voice€identification€and€date€headingsÐ €("- Ðwere€properly€admitted.Ð l)#. Ðà  àA€jury€may€use€transcripts€of€taped€conversations€during€trial€and€jury€deliberations.€Ð Î*j$0 ÐòòUnited€States€v.€Delpitóó,€94€F.3d€1134,€1147„48€(8òòthóó€Cir.€1996);€òòUnited€States€v.€Fosteróó,€815€F.2dÐ º+V%1 Ð1200,€1203€(8òòthóó€Cir.€1987),€where€the€court€held€it€was€not€error€for€the€trial€court€to€permit€theÐ d Ðtranscripts€to€be€sent€to€the€jury€during€deliberations€when€the€transcripts€were€admitted€intoÐ Pì Ðevidence€without€objection,€and€the€jury€was€instructed€that€the€tape€is€controlling.€€If€theÐ <Ø Ðaccuracy€of€the€transcript€has€been€stipulated,€the€transcript€may€be€admitted€into€evidenceÐ ( Ä Ðwithout€limiting€instructions.€€òòSeeóó€òòUnited€States€v.€Craneóó,€632€F.2d€663,€664€(6th€Cir.€1980).€Ð  ° Ðà  àThe€trial€court€has€broad€discretion€in€the€use€of€transcripts.òò€€See,€e.g.,€United€States€v.Ð v  ÐGrajales„Montoyaóó,€117€F.3d€356,€367€(8òòthóó€Cir.€1997).€€The€court€held€that€the€trial€court€did€notÐ b þ Ðabuse€its€discretion€by€admitting€transcripts€of€certain€translations€of€tape„recorded€conversationsÐ N ê Ðin€Spanish.€€In€òòUnited€States€v.€Delpitóó,€94€F.3d€1134,€1147€(8òòthóó€Cir.€1996),€the€court€held€it€wasÐ :Ö  Ðnot€error€for€the€trial€court€to€allow€the€jury€to€use€the€transcripts€of€wire„tapped€conversationsÐ &  Ðduring€trial€and€deliberations€which€included€the€governmentððs€interpretation€and€translation,€inÐ ®  Ðbrackets,€of€pig„Latin€codes€used€in€tapes.€Ð  þš  ÐÓ €ÓÖ€ECØÖà@  ìàò òÔ% €ö ÔÔ  Ô2.06B.€€TRANSCRIPT€OF€FOREIGN€LANGUAGE;€ˆÐ d Ðà@  ìàTAPE„RECORDED€CONVERSATIONÔ €IÐxÔ€òò1óóó óˆÐ Pì ÐÌÓ€Óà  àAmong€the€exhibits€admitted€during€the€trial€were€recordings€that€containedÐ ( Ä Ðconversations€in€the€_______€language.€€You€were€also€provided€English€transcripts€of€thoseÐ Š & Ðconversations.€€The€transcripts€were€provided€to€you€[by€the€government]€so€that€you€canÐ ì ˆ Ðconsider€the€content€of€the€conversations€on€the€recordings.€€Whether€a€transcript€is€an€accurateÐ N ê  Ðtranslation,€in€whole€or€in€part,€is€for€you€to€decide.€€You€should€not€rely€in€any€way€on€anyÐ °L  Ðknowledge€you€may€have€of€the€language€spoken€on€the€recording;€your€consideration€of€theÐ ®  Ðtranscripts€should€be€based€on€the€evidence€introduced€in€the€trial.òò2óóÐ t  ÐÓ €Óà  à[In€considering€whether€a€transcript€accurately€describes€the€meaning€of€a€conversation,Ð Ör  Ðyou€should€consider€the€testimony€presented€to€you€regarding€how,€and€by€whom,€the€transcriptÐ 8Ô  Ðwas€made.€€You€may€consider€the€knowledge,€training,€and€experience€of€the€translator,€as€wellÐ š6 Ðas€the€nature€of€the€conversation€and€the€reasonableness€of€the€translation€in€light€of€all€theÐ ü˜ Ðevidence€in€the€case.]òò3óóÓ€|yÓÐ ^ú ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ À\ Ðà  à1.€€This€instruction€should€be€given€if€the€parties€do€not€stipulate€to€the€transcript.€€InÐ "¾ ÐòòUnited€States€v.€Gonzalezóó,€365€F.3d€656,€660€(8òòthóó€Cir.€2004),€the€court€encouraged€the€parties€toÐ ª ÐÔ'&À¼~Ôproduce€an€official€or€stipulated€transcript,€which€satisfies€all€sides.€€If€they€are€unable€to€do€so,Ð ú– Ðð ðthen€each€side€should€produce€its€own€version€of€a€transcript€or€its€own€version€of€the€disputedÐ æ‚  Ðportions.€€In€addition,€each€side€may€put€on€evidence€supporting€the€accuracy€of€its€version€orÐ Òn! Ðchallenging€the€accuracy€of€the€other€sideððs€version.ðð€(quoting€òòUnited€States€v.€Wilsonóó,€578€F.2dÐ ¾Z" Ð67,€69„70€(5òòthóó€Cir.€1978)).€€In€the€opinion€of€the€Committee,€one€transcript€with€bracketedÐ ª F# Ðalternatives€can€also€be€used€to€aid€the€jury€where€the€dispute€only€involves€short€disagreements.€€Ð –!2$ Ðà  à2.€€Jurors€should€be€instructed€to€rely€only€on€the€English€translation,€not€on€their€ownÐ ø"”& Ðknowledge€of€the€foreign€language.€€òòUnited€States€v.€Gonzalezóó,€365€F.3d€656,€661„62€(8òòthóó€Cir.Ð ä#€' Ð2004).€€The€court€cited€with€approval€the€Seventh€Circuit€Federal€Criminal€Jury€InstructionÐ Ð$l( Ððð3.18,€and€encouraged€district€courts€to€ð ðuse€an€instruction€similar€to€it€when€introducing€anÐ ¼%X) ÐEnglish€transcript€of€dialogue€that€originally€was€spoken€in€another€language.ðð€€òòId.óó€at€662.€€Ð ¨&D * Ðà  à3.€€This€language€may€be€included€if€desired.€€òòUnited€States€v.€Gonzalezóó,€365€F.3d€656Ð  (¦!, Ð(8òòthóó€Cir.€2004).Ð  ö(’"- ÐÓ €ÓÖ€FEìÖà@S S ìàò òÔ% €÷ ÔÔ  Ô2.07.€€STATEMENT€BY€DEFENDANTÔ ó=†Ôó óˆÐ d ÐÌà  àÓ€ÓYou€have€heard€testimony€that€[the€defendant]€[defendant€(name)]€made€a€statement€toÐ <Ø Ð(name€of€person€or€agency).€€It€is€for€you€to€decide:€Ð ž : Ðà  àòòFirstóó,€whether€[the€defendant]€[defendant€(name)]€made€the€statement€and€Ð  œ Ðà  àòòSecondóó,€if€so,€how€much€weight€you€should€give€to€it.€òò1óó€Ð b þ ÐÓ €Óà  à[In€making€these€two€decisions€you€should€consider€all€of€the€evidence,€including€theÐ Ä `  Ðcircumstances€under€which€the€statement€may€have€been€made.]€òò2óóÓ€ÓÐ &  ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˆ$  Ðà  à1.€€In€a€multi„defendant€trial,€this€instruction€should€be€followed€by€Instruction€2.15,Ð ê†  Ðòòinfraóó,€unless€the€statement€was€made€during€the€course€of€a€conspiracy€or€was€otherwiseÐ Ör  Ðadoptive.€Ð Â^  ÐÔ'ˆˆ0‰Ôà  à2.€€Use€this€sentence,€if€appropriate.€Ð $À ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ †" Ðà  àòòSee€generallyóó€18€U.S.C.€ðð€3501€and€òòUnited€States€v.€Dickersonóó,€530€U.S.€428€(2000).€Ð è„ ÐÔ'°†ÛŠÔà  àThe€instruction€uses€the€word€"statement"€in€preference€to€the€word€"confession."€€Not€allÐ Jæ Ðstatements€are€"confessions,"€particularly€from€a€lay€person's€point€of€view.€Ð 6Ò Ðà  àPursuant€to€18€U.S.C.€ðð€3501(a),€the€trial€judge€must€first€make€a€determination€as€to€theÐ ˜4 Ðvoluntariness€of€the€statement€(including€compliance€with€applicable€òòMirandaóó€requirements),Ð „  Ðoutside€the€presence€of€the€jury.€€This€may,€of€course,€be€done€either€pretrial€or€out€of€the€jury'sÐ p  Ðpresence€during€trial.€€If€done€during€trial,€no€reference€to€the€statement€should€be€made€in€theÐ \ø  Ðjury's€presence€unless€and€until€the€trial€judge€has€made€a€determination€that€the€statement€isÐ Hä! Ðadmissible.€€If€such€a€determination€is€made,€the€trial€judge€should€then€permit€the€jury€to€hearÐ 4 Ð" Ðevidence€on€the€issue€of€voluntariness€and€give€the€present€instruction.€€The€jury€should€òònotóó€beÐ  !¼# Ðadvised€that€the€trial€judge€has€made€an€independent€determination€that€the€statement€wasÐ  "¨$ Ðvoluntary.€€òòUnited€States€v.€Standing€Soldieróó,€538€F.2d€196,€203€(8th€Cir.€1976);€òòUnited€States€v.Ð ø"”% ÐBear€Killeróó,€534€F.2d€1253,€1258-59€(8th€Cir.€1976).€€The€Committee€concludes€that€it€is€notÐ ä#€& Ðnecessary€to€instruct€the€jury€with€respect€to€the€various€specific€factors€enumerated€in€18€U.S.C.Ð Ð$l' Ððð€3501(b).€Ð ¼%X( Ðà  àThe€defendant€may€introduce€evidence€of€the€circumstances€in€which€the€statement€isÐ 'º * Ðmade.€€òòCrane€v.€Kentuckyóó,€476€U.S.€683€(1986);€òòUnited€States€v.€Blue€Horseóó,€856€F.2d€1037,Ð  (¦!+ Ð1039€n.3€(8th€Cir.€1988).€Ð ö(’", Ðà  àIf€the€voluntariness€of€the€statement€is€not€an€issue,€the€defendant€is€not€entitled€to€thisÐ X*ô#. Ðinstruction.€€òòUnited€States€v.€Blue€Horseóó,€856€F.2d€at€1039.€Ð D+à$/ Ðà  àEven€though€the€defendant's€failure€to€request€an€instruction€such€as€this€one€may€be€aÐ d Ðwaiver€of€any€error€in€the€matter,€òòseeóó€òòUnited€States€v.€Houleóó,€620€F.2d€164,€166€(8th€Cir.€1980),Ð Pì Ðthe€Committee€strongly€recommends€that€if€voluntariness€is€an€issue,€the€instruction€be€givenÐ <Ø Ðeven€absent€a€request.€Ð ( Ä Ðà  à"Informal"€voluntary€statements€-€that€is,€in€the€language€of€18€U.S.C.€ðð€3501(d),€thoseÐ Š & Ðmade€"without€interrogation€by€anyone,€or€at€any€time€at€which€the€person€.€.€.€was€not€underÐ v  Ðarrest€or€other€detention"€-€do€not€require€any€instruction.€€òòSeeóó€òòUnited€States€v.€Houleóó,€620€F.2d€atÐ b þ Ð166.€Ð  N ê ÐÓ €Óà@ôô ìàÖ€HFØÖò òÔ% €ø ÔÔ  Ô2.08.€€DEFENDANT'S€PRIOR€SIMILAR€ACTS€„€Where€Introduced€to€ˆÐ d Ðà@K K ìàProve€an€Issue€Other€Than€Identity€(Fed.€R.€Evid.€404(b))Ô ntE—Ôó óˆÐ Pì ÐÑ8€w,XXdìÌXdì8ÑÌà  àÓ€ÓYou€[are€about€to€hear]€[have€heard]€evidence€that€the€defendant€(describe€evidence€theÐ ( Ä Ðjury€is€about€to€hear€or€has€heard).€€You€may€consider€this€evidence€only€if€you€(unanimously)Ð Š & Ðfind€it€is€more€likely€true€than€not€true.€€This€is€a€lower€standard€than€proof€beyond€a€reasonableÐ ì ˆ Ðdoubt.€€If€you€find€that€this€evidence€is€more€likely€true€than€not€true,€you€may€consider€it€to€helpÐ N ê  Ðyou€decide€(describe€purpose€under€404(b)€for€which€evidence€has€been€admitted.)òò1šóó€€You€shouldÐ °L  Ðgive€it€the€weight€and€value€you€believe€it€is€entitled€to€receive.€€If€you€find€that€it€is€not€moreÐ ®  Ðlikely€true€than€not€true,€then€you€shall€disregard€it.òò2óóÐ t  Ðà  àRemember,€even€if€you€find€that€the€defendant€may€have€committed€[a]€similar€[act]Ð Ör  Ð[acts]€in€the€past,€this€is€not€evidence€that€[he]€[she]€committed€such€an€act€in€this€case.€€You€mayÐ 8Ô  Ðnot€convict€a€person€simply€because€you€believe€[he]€[she]€may€have€committed€similar€acts€inÐ š6 Ðthe€past.€€The€defendant€is€on€trial€only€for€the€crime[s]€charged,€and€you€may€consider€theÐ ü˜ Ðevidence€of€prior€acts€only€on€the€issue€of€(state€proper€purpose€under€404(b),€òòe.g.óó,€intent,Ð ^ú Ðknowledge,€motive.)òò3óó€Ó€ÓÓ €ÓÐ À\ ÐÔ& & Ôò òà@ÇÇ$ìàNotes€on€Useó óˆÐ "¾ Ðà  à1.€€Use€care€in€framing€the€language€to€be€used€in€specifying€the€purpose€for€which€theÐ „  Ðevidence€can€be€used.€€òòSeeóó€òòUnited€States€v.€Mothershedóó,€859€F.2d€585,€588-89€(8th€Cir.€1988)Ð p   Ð(court€Ô'&"&žÔshould€specify€which€component€of€Rule€404(b)€the€prior€similar€act€evidence€is€relevantÐ \ø! Ðto€and€explain€the€relationship€between€the€prior€acts€and€proof€of€that€proper€component).€Ð Hä" Ðà  à2.€€òòSee€generallyóó,€1€L.€Sand,€J.€Siffert,€W.€Loughlin,€&€S.€Reiss,€òòModern€Federal€JuryÐ ª F$ ÐInstructions:€€Criminalóó,€ðð5.10€(2000);€òòUnited€States€v.€Frazieróó,€280€F.3d€835,€846€(8òòthóó€Cir.€2002).Ð –!2% Ðà  à3.€€This€paragraph€should€be€given€only€upon€request€of€the€defendant.€€This€portion€ofÐ ø"”' Ðthe€instruction€explains€that€prior€similar€act€evidence€is€not€admissible€to€prove€propensity€toÐ ä#€( Ðcommit€crime,€and€the€defendant€may€want€the€jury€so€instructed.€€On€the€other€hand,€this€portionÐ Ð$l) Ðof€the€instruction€repeats€reference€to€the€prior€act[s].€€The€trade-off€between€explanation€andÐ ¼%X* Ðrepetition€should€be€made€by€the€defendant€in€the€first€instance.Ð ¨&D + ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ  (¦!- Ðà  àòòSeeóó€1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¤#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ra¤#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¨¤#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r÷¤#Ô:€€CriminalÐ l)#/ Ððð€17.08€(5th€ed.€2000)Ô': (’£Ô.€€òòSee€generallyóó€Fed.€R.€Evid.€404(b).€€òòSee€alsoóó€òòUnited€States€v.€Felixóó,€867Ð X*ô#0 ÐF.2d€1068,€1075€(8th€Cir.€1989)€(court€satisfied€that€earlier,€but€nearly€identical,€version€of€thisÐ D+à$1 Ðinstruction€was€correct€as€given).Ð 0,Ì%2 Ðà  àòòSee€alsoóó€Introductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð d Ðà  àThe€Supreme€Court,€in€òòHuddleston€v.€United€Statesóó,€485€U.S.€681,€691€(1988),Ð Æb Ðacknowledged€the€unfair€prejudice€that€can€arise€from€the€admission€of€similar€act€evidence€andÐ ²N Ðnoted€that€such€prejudice€could€be€dealt€with,€in€part,€through€a€limiting€instruction.€€Such€anÐ ž : Ðinstruction€should€be€given€when€requested.Ð Š & Ðà  àPrior€act€evidence€is€admissible€when€it€is€relevant€to€a€material€issue€in€question€otherÐ ì ˆ Ðthan€the€character€of€the€defendant,€the€act€is€similar€in€kind€and€reasonably€close€in€time€to€theÐ Ø t Ðcrime€charged,€there€is€sufficient€evidence€to€support€a€finding€by€the€jury€that€the€defendantÐ Ä `  Ðcommitted€the€prior€act€and€the€potential€unfair€prejudice€does€not€substantially€outweigh€theÐ °L  Ðprobative€value€of€the€evidence.€€òòUnited€States€v.€Andersonóó,€879€F.2d€369,€378€(8th€Cir.€1989);Ð œ8  ÐòòUnited€States€v.€Marin-Cifuentesóó,€866€F.2d€988,€996€(8th€Cir.€1989).€€This€circuit€follows€a€ruleÐ ˆ$  Ðof€inclusion,€wherein€such€evidence€is€admissible€unless€it€tends€to€prove€only€the€defendant'sÐ t  Ðcriminal€disposition.€€òòE.g.óó,€òòUnited€States€v.€Kandielóó,€865€F.2d€967,€972€(8th€Cir.€1989);€òòUnitedÐ `ü  ÐStates€v.€Mothershedóó,€859€F.2d€585,€589€(8th€Cir.€1988).€€Ð Lè  Ðà  àWhile€other€act€evidence€is€generally€admissible€to€prove€intent,€knowledge,€motive,€etc.,Ð ®J Ðit€is€only€admissible€where€such€an€issue€is€material€in€the€case.€€òòMothershedóó,€859€F.2d€atÐ š6 Ð589-90;€òòUnited€States€v.€Nicholsóó,€808€F.2d€660,€663€(8th€Cir.€1987).€€In€òòUnited€States€v.€Carrollóó,Ð †" Ð207€F.3d€465,€467€(8òòthóó€Cir.€2000),€the€Court€stated,€ð ð[i]n€some€circumstances,€a€defendantððs€priorÐ r Ðbad€acts€are€part€of€a€broader€plan€or€scheme€relevant€to€the€charged€offense.€.€.€.€€Evidence€ofÐ ^ú Ðpast€acts€may€also€be€admitted€.€.€.€òòas€direct€proof€of€a€charged€crime€that€includes€a€plan€orÐ Jæ Ðscheme€element.€.€.€.€€óóIn€other€circumstances€.€.€.€the€pattern€and€characteristics€of€the€crimes€areÐ 6Ò Ðso€unusual€and€distinctive€as€to€be€like€a€signature.€.€.€.€€In€these€cases,€the€evidence€goes€toÐ "¾ Ðidentity.€.€.€.€€These€ððplanðð€and€ððidentityðð€uses€of€Rule€404(b)€evidence€are€distinct€from€eachÐ ª Ðother€.€.€.€.€€(Emphasis€added.)€€òòSee€also€United€States€v.€LeCompteóó,€99€F.3d€274€(8òòthóó€Cir.€1996).€Ð ú– ÐWhere€admission€of€other€act€evidence€is€sought,€"the€proponent€of€the€evidence€[must]€articulateÐ æ‚ Ðthe€basis€for€the€relevancy€of€the€prior€act€evidence€and€.€.€.€the€court€[must]€'specify€whichÐ Òn Ðcomponents€of€the€rule€form€the€basis€of€its€ruling€òòandóó€òòwhyóó.'€€òòUnited€States€v.€Harveyóó,€845€F.2dÐ ¾Z Ð760,€762€(8th€Cir.€1988)€(emphasis€added)."€€òòUnited€States€v.€Johnsonóó,€879€F.2d€331,€334€n.2Ð ª F Ð(8th€Cir.€1989).€€Other€act€evidence€is€admissible€during€the€Governmentððs€case„in„chief€whereÐ –!2 Ðthe€defendant€plans€to€present€a€general€denial€defense,€because€the€defendant,€by€pleading€notÐ ‚"  Ðguilty,€puts€the€Government€to€its€proof€on€all€elements€of€the€charged€crime.€€òòUnited€States€v.Ð n# ! ÐMilleróó,€974€F.2d€953,€960€(8th€Cir.€1992);€òòUnited€States€v.€Crouchóó,€46€F.3d€871,€875€(8th€Cir.Ð Z$ö" Ð1995).€€òòSee€also€Untied€States€v.€Carrollóó,€207€F.3d€465€(8òòthóó€Cir.€2000).€€For€a€discussion€of€theÐ F%â# Ðstringent€test€which€the€defendant€must€meet€to€remove€a€state„of„mind€issue,€òòsee€United€StatesÐ 2&Î$ Ðv.€Thomasóó,€58€F.3d€1318,€1321„22€(8th€Cir.€1995),€and€òòUnited€States€v.€Jenkinsóó,€7€F.3d€803,Ð 'º % Ð806-07€(8th€Cir.€1993)€(Rule€404(b)€evidence€inadmissible€to€show€intent€during€rebuttal€whenÐ  (¦!& Ðthe€defendant€denied€committing€the€criminal€act).€Ð ö(’"' Ðà  àThis€instruction€is€designed€for€use€òòonlyóó€in€those€situations€where€the€prior€acts€are€to€beÐ X*ô#) Ðâ âutilized€for€one€or€more€purposes€covered€by€Rule€404(b),€'such€as€proof€of€motive,€opportunity,Ð D+à$* Ðintent,€preparation,€plan,€knowledge,€.€.€.€or€absence€of€mistake€or€accident€.€.€.'€but€òònotóó€for€proofÐ d Ðof€identity€or€in€sexual€assault€or€child€molestation€cases.€€Ð Pì Ðâ âà  àThis€instruction€should€òònotóó€be€used€when€the€theory€for€admitting€the€evidence€is€to€showÐ ²N Ðidentity.€€When€the€evidence€is€to€be€used€for€this€purpose,€use€Instruction€2.09,€òòinfraóó.€€ThisÐ ž : Ðinstruction€is€also€not€appropriate€when€evidence€of€similar€crimes€is€introduced€in€sexual€assaultÐ Š & Ðand€child€molestation€cases.€€Those€cases€are€covered€by€Rules€413€and€414,€Fed.€R.€Evid.,Ð v  Ðwhich€allow€evidence€of€similar€crimes€to€show€the€defendantððs€propensity€to€commit€suchÐ b þ Ðcrimes€as€evidence€that€he€or€she€did€commit€the€crime€for€which€the€defendant€is€on€trial.€€It€isÐ N ê Ðthe€opinion€of€the€Committee€that,€in€an€appropriate€case,€evidence€otherwise€admissible€underÐ :Ö  ÐRules€413€and€414€may€be€excluded€under€Rule€403€if€the€danger€of€unfair€prejudice€orÐ &  Ðconfusion€of€the€issues€substantially€outweighs€the€probative€value€of€the€evidence.Ð ®  Ðà  àIf€the€defendant's€prior€conviction€has€been€admitted€under€Rule€609,€a€different€limitingÐ t  Ðinstruction€should€be€given.€€òòSeeóó€Instruction€2.16,€òòinfraóó;€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rŽ¾#ÔÐ `ü  ÐJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rì¾#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r3¿#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r‚¿#Ô:€€Criminal€ðð15.08€(5th€ed.€2000).šÐ  Lè  ÐÖ€ÚHØÖÑ8€w,XdìXXdì8ÑÓ €Óà@ ìàò òÔ% €ù ÔÔ  Ô2.09.€€DEFENDANT'S€PRIOR€SIMILAR€ACTS€„€ˆÐ d Ðà@: : ìàWhere€Introduced€to€Prove€Identity€(Fed.€R.€Evid.€404(b))Ô ulŽÀÔó óˆÐ Pì ÐÌà  àÓ€ÓYou€[are€about€to€hear]€[have€heard]€evidence€that€the€defendant€previously€committedÐ ( Ä Ð[an€act]€[acts]€similar€to€[the€one]€[those]€charged€in€this€case.€€You€may€use€this€evidence€toÐ Š & Ðhelp€you€decide€[manner€in€which€the€evidence€will€be€used€to€prove€identity€-€òòe.g.óó,€whether€theÐ ì ˆ Ðsimilarity€between€the€acts€previously€committed€and€the€one[s]€charged€in€this€case€suggests€thatÐ N ê  Ðthe€same€person€committed€all€of€them].òò1óó€€[If€you€find€that€the€evidence€of€other€acts€is€notÐ °L  Ðproven€by€the€greater€weight€of€the€evidence,€then€you€shall€disregard€such€evidence.€€To€proveÐ ®  Ðsomething€by€the€greater€weight€of€the€evidence€is€to€prove€that€it€is€more€likely€true€than€notÐ t  Ðtrue.€€This€is€a€lower€standard€than€proof€beyond€a€reasonable€doubt.]€òò2óóÐ Ör  Ðà  àThe€defendant€is€on€trial€for€the€crime[s]€charged€and€for€[that]€[those]€crime[s]€alone.€Ð 8Ô  ÐYou€may€not€convict€a€person€simply€because€you€believe€[he]€[she]€may€have€committed€someÐ š6 Ðact[s],€even€bad€act[s],€in€the€past.òò3óóÓ€ÓÓ €ÓÐ ü˜ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ^ú Ðà  à1.€€The€language€here€should€specify€whether€the€evidence€is€to€be€considered€to€show€aÐ À\ Ðcommon€pattern,€scheme€or€plan€or€for€another€permissible€purpose€relating€to€proof€of€the€actsÐ ¬H ÐÔ'&^UÆÔcharged.€Ð ˜4 Ðà  à2.€€òòSeeóó€Notes€on€Use€2€and€3€to€Instruction€2.08Ð ú– Ðà  à3.€€òòSeeóó€Notes€on€Use€2€and€3€to€Instruction€2.08.Ð \ø! ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¾Z# Ðà  àòòSeeóó€S.€Saltzburg€&€H.€Perlman,€FòòEDERALóó€CòòRIMINALóó€JòòURYóó€IòòNSTRUCTIONSóó€ðð€2.14A€(1985);Ð  !¼% ÐSand,€et€al.,€òòModern€Federal€Jury€Instructionsóó,€5„26€(1994);€òòsee€generallyóó€Fed.€R.€Evid.€404(b).€Ð  "¨& ÐÔ'œ¾gÈÔà  àòòSee€alsoóó€Introductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð n# ( Ðà  àEvidence€of€prior€crimes€or€acts€may€be€admissible€in€some€cases€to€prove€the€crimeÐ Ð$l* Ðcharged.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Calvertóó,€523€F.2d€895,€905-07€(8th€Cir.€1975);€òòUnited€StatesÐ ¼%X+ Ðv.€Robbinsóó,€613€F.2d€688,€692-95€(8th€Cir.€1979).€€For€example,€such€evidence€is€admissible€toÐ ¨&D , Ðprove€identity€when€the€theory€for€admitting€the€evidence€is€to€show€a€common€scheme,€patternÐ ”'0!- Ðor€plan€between€the€prior€acts€and€the€present€offense.€€òòUnited€States€v.€McMillianóó,€535€F.2dÐ €(". Ð1035,€1038€(8th€Cir.€1976);€òòUnited€States€v.€Davisóó,€551€F.2d€233,€234€(8th€Cir.€1977);€òòUnitedÐ l)#/ ÐStates€v.€Weaveróó,€565€F.2d€129,€133-35€(8th€Cir.€1977);€òòUnited€States€v.€Maysóó,€822€F.2d€793,€797Ð X*ô#0 Ð(8th€Cir.€1987).€€Such€evidence€is€admissible€where€there€is€a€"peculiar€similarity"€between€theÐ D+à$1 Ðprior€acts€and€the€crime€charged.€€òòUnited€States€v.€Garbettóó,€867€F.2d€1132,€1135€(8th€Cir.€1989).€Ð 0,Ì%2 ÐThis€instruction€is€not€appropriate€when€evidence€of€similar€crimes€is€introduced€in€sexualÐ d Ðassault€and€child€molestation€cases€covered€by€Rules€413€and€414,€Fed.€R.€Evid.Ð Pì Ðà  àBecause€similar€act€evidence€tends€not€only€to€prove€the€commission€of€the€act€but€alsoÐ ²N Ðhas€a€tendency€to€show€the€defendant's€bad€or€criminal€character,€undue€prejudice€must€beÐ ž : Ðavoided.€€This€instruction,€which€in€effect€tells€the€jury€to€consider€the€evidence€only€on€the€issueÐ Š & Ðof€identity€and€not€on€the€issue€of€character,€should€be€given€on€request.€€òòSee€United€States€v.Ð v  ÐDanzeyóó,€594€F.2d€905,€914-15€(2d€Cir.€1979);€òòsee€alsoóó€òòUnited€States€v.€McMillianóó,€535€F.2d€atÐ b þ Ð1038-39.€Ð N ê Ðà  àWhere€similar€act€evidence€may€be€admissible€both€on€the€issue€of€identity€and€forÐ °L  Ðanother€proper€purpose,€Instruction€2.08,€òòsupraóó,€and€this€Instruction€2.09€may€need€to€be€adaptedÐ œ8  Ðto€meet€the€particular€situation.€€Ð  ˆ$  ÐÖ€ÛÚìÖÓ €Óà@ŸŸìàò òÔ% €ú ÔÔ  Ô2.10.€€CROSS-EXAMINATION€OF€DEFENDANT'S€CHARACTER€WITNESSÔ )€fÓÔó óˆÐ d ÐÌà  àÓ€ÓYou€will€recall€that€after€witness€(name)€testified€about€the€defendant's€[reputation€for]Ð <Ø Ð[character€for]€[reputation€and€character€for]€(insert€character€trait€covered€by€testimony),€theÐ ž : Ðprosecutor€asked€the€witness€some€questions€about€whether€[he]€[she]€knew€that€(describe€inÐ  œ Ðbrief€terms€the€subject€of€the€cross-examination€on€the€character€trait,€òòe.g.óó,€the€defendant€wasÐ b þ Ðconvicted€of€fraud€on€an€earlier€occasion).€€Those€questions€were€asked€only€to€help€you€decide€ifÐ Ä `  Ðthe€witness€really€knew€about€the€defendant's€[reputation€for]€[character€for]€[reputation€andÐ &  Ðcharacter€for]€(insert€character€trait€covered€by€the€testimony).€€The€information€developed€by€theÐ ˆ$  Ðprosecutor€on€that€subject€may€not€be€used€by€you€for€any€other€purpose.€Ð ê†  Ðà  àThat€the€defendant€[committed]€[may€have€committed]€(òòe.g.óó,€committed€fraud€on€anÐ Lè  Ðearlier€occasion)€is€not€evidence€that€[he]€[she]€committed€the€crime€charged€in€this€case.€Ó€ÓÓ €ÓÐ ®J ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¬ Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð r ÐÔ'°•ØÔà  àFor€a€good€treatment€of€this€topic,€òòseeóó€òòMichelson€v.€United€Statesóó,€335€U.S.€469€(1948);Ð Ôp ÐòòUnited€States€v.€Monteleoneóó,€77€F.3d€1086,€1089„90€(8òòthóó€Cir.€1996).Ð À\ Ðà  àAlthough€character€testimony€is€usually€limited€to€the€reputation€of€the€defendant,€theÐ "¾ Ðgovernment€may€challenge€a€defendantððs€character€witness€by€cross„examining€the€witness€aboutÐ ª Ðthe€witnessðð€knowledge€of€ð ðrelevant€specific€instancesðð€of€a€defendantððs€conduct.€€òòUnited€StatesÐ ú– Ðv.€Monteleoneóó,€77€F.3d€at€1089„90.€€This€type€of€cross„examination€is€discouraged,€however,Ð æ‚  Ðbecause€it€is€fraught€with€danger€and€could€form€the€basis€for€a€miscarriage€of€justice.€€òòUnitedÐ Òn! ÐStates€v.€Knapp,€óó815€F.2d€1183,€1186€(8òòthóó€Cir.€1989).€€The€government€may€only€use€this€type€ofÐ ¾Z" Ðcross„examination€if€two€requirements€are€met:€€(1)€a€good€faith€factual€basis€for€the€incidents,Ð ª F# Ðwhich€must€be€of€a€type€likely€to€be€a€matter€of€general€knowledge€in€the€community;€and€(2)€theÐ –!2$ Ðincidents€must€be€relevant€to€the€character€tÔ_ÔraitÔ_Ô€at€issue.€€òòUnited€States€v.€Monteleoneóó,€77€F.3d€atÐ ‚"% Ð1089„90.€€With€respect€to€community€reputation€for€a€character€trait,€only€reputation€reasonablyÐ n# & Ðcontemporaneous€with€the€acts€charged€is€relevant.€€òòMullins€v.€United€Statesóó,€487€F.2d€581,€590Ð Z$ö' Ð(8th€Cir.€1973).€€Cross-examination€must€be€limited€to€the€particular€character€trait€placed€inÐ F%â( Ðissue.€€òòMichelsonóó€òòv.€United€States,óó€335€U.S.€at€475-76.€€òòCf.€United€States€v.€Smithóó,€32€F.3d€1291,Ð 2&Î) Ð1295€(8òòthóó€Cir.€1994),€in€which€the€court€held€it€was€harmless€error€to€permit€cross„examination€ofÐ 'º * Ðthe€defendantððs€character€witness€on€the€defendantððs€prior€marijuana€conviction€when€the€juryÐ  (¦!+ Ðwas€instructed€that€the€governmentððs€questions€and€the€witnessðð€responses€were€only€to€be€usedÐ ö(’", Ðto€challenge€the€character€witnessðð€knowledge€of€the€defendantððs€reputation.Ð  â)~#- ÐÖ€ÜÛìÖÓ €Óà@“ “ ìàò òÔ% €û ÔÔ  Ô2.11.€€DISMISSAL,€DURING€TRIAL,€OF€SOME€CHARGES€ˆÐ d Ðà@  ìàAGAINST€SINGLE€DEFENDANTÔ €RÊâÔó óˆÐ Pì ÐÌà  àÓ€ÓAt€the€beginning€of€the€trial€I€told€you€that€the€defendant€was€accused€of€(insert€number)Ð ( Ä Ðdifferent€crimes:€€(Briefly€describe€the€offenses€mentioned€at€the€commencement€of€trial.)òò1óó€€SinceÐ Š & Ðthe€trial€started,€however,€[one]€[two,€etc.]€of€these€charges€[has]€[have]€been€disposed€of,€theÐ ì ˆ Ðone(s)€having€to€do€with€(describe€offenses€disposed€of).òò2óó€€[That€charge]€[Those€charges]€[is]Ð N ê  Ð[are]€no€longer€before€you,€and€the€only€crime[s]€that€the€defendant€is€charged€with€now€[is]€[are]Ð °L  Ð(describe€remaining€offenses).€€You€should€not€guess€about€or€concern€yourselves€with€theÐ ®  Ðreason€for€this€disposition.€€You€are€not€to€consider€this€fact€when€deciding€if€the€[government]Ð t  Ð[prosecutor]€has€proved,€beyond€a€reasonable€doubt,€the€count[s]€which€remain,€which€are€(listÐ Ör  Ðremaining€count[s]).€Ð 8Ô  Ðà  à[The€following€evidence€is€now€stricken€by€me,€and€is€thus€no€longer€before€you€and€mayÐ š6 Ðnot€be€considered€by€you:€€(Describe€stricken€evidence).]òò3óó€Ó€ÓÓ €ÓÐ ü˜ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ^ú Ðà  à1.€€If€one€or€more€counts€of€the€same€offense€have€been€disposed€of€and€other€counts€ofÐ À\ Ðthe€same€offense€remain,€the€language€of€this€instruction€should€be€modified.€Ð ¬H ÐÔ'œ^ZèÔà  à2.€€In€some€cases,€circumstances€may€require€a€more€specific€treatment€of€the€reasons€forÐ ª Ðdismissal.€Ð ú– Ðà  à3.€€If€the€evidence€remains€admissible,€the€jury€may€be€so€instructed.€€òòSee€United€States€v.Ð \ø! ÐKelleyóó,€152€F.3d€886,€888€(8òòthóó€Cir.€1998)€(citing€with€approval€8òòthóó€Cir.€Model€Crim.€JuryÐ Hä" ÐInstruction€2.11).Ð 4 Ð# ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ –!2% Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð ø"”' ÐÔ'°–!LëÔà  àSuch€an€instruction€is€appropriate€only€on€rare€occasions€and€should€òònotóó€be€given€unlessÐ Z$ö) Ðrequested€by€the€defendant.€Ð  F%â* ÐÖ€ÝÜìÖÓ €Óà@ƒ ƒ ìàò òÔ% €ü ÔÔ  Ô2.12.€€DISPOSITION,€DURING€TRIAL,€OF€ALL€CHARGES€ˆÐ d Ðà@ž ž ìàAGAINST€ONE€OR€MORE€CODEFENDANT[S]Ô €R$íÔó óˆÐ Pì ÐÌÓ€Óà  àAt€the€beginning€of€the€trial€I€told€you€that€(insert€name[s])€[was]€[were]€[a]€defendant[s]Ð ( Ä Ðin€this€case.€€The€charge[s]€against€defendant[s]€(insert€name[s])€[has]€[have]€been€disposed€of,Ð Š & Ðand€[he]€[she]€[they]€[is]€[are]€no€longer€[a]€[defendant[s]€in€this€case.€€You€should€not€guessÐ ì ˆ Ðabout€or€concern€yourselves€with€the€reason€for€this€disposition.€€You€are€not€to€consider€this€factÐ N ê  Ðwhen€deciding€if€the€[government]€[prosecutor]€has€proved,€beyond€a€reasonable€doubt,€its€caseÐ °L  Ðagainst€defendant[s]€(name€remaining€defendant[s]).€Ð ®  Ðà  à[The€following€evidence€is€now€stricken€by€me,€and€is€thus€no€longer€before€you€and€mayÐ t  Ðnot€be€considered€by€you€(describe€stricken€evidence).]òò1óóÓ€ÓÓ €ÓÐ Ör  ÐÔ& N Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 8Ô  ÐÔ'N8yñÔà  à1.€€If€the€evidence€remains€admissible,€the€jury€may€be€so€instructed.€€òòSee€United€States€v.Ð š6 ÐKelleyóó,€152€F.3d€886,€888€(8òòthóó€Cir.€1998).Ð †" ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ è„ Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð Jæ ÐÔ'°èšòÔà  àThe€Eighth€Circuit€has€held€that€the€trial€court€properly€instructed€a€jury€that€the€absenceÐ ¬H Ðof€the€codefendants,€who€pled€guilty€after€opening€statements€during€trial,€should€have€noÐ ˜4 Ðbearing€upon€the€case€of€the€remaining€defendant.€€Therefore,€a€mistrial€was€not€warranted€due€toÐ „  Ðthe€pleas€of€the€codefendants.€€òòUnited€States€v.€Danieleóó,€886€F.2d€1046,€1055€(8òòthóó€Cir.€1989).Ð p  Ðà  àIf€a€guilty€plea€of€a€codefendant€is€brought€into€trial,€either€directly€or€indirectly,€a€trialÐ Òn! Ðcourt€must€ensure€that€it€is€not€being€offered€as€substantive€evidence€of€a€defendantððs€guilt.€€OneÐ ¾Z" Ðfactor€in€determining€whether€admission€of€such€evidence€is€an€abuse€of€a€trial€courtððs€discretionÐ ª F# Ðis€whether€a€limiting€instruction€is€given.€€òòUnited€States€v.€Jonesóó,€145€F.3d€959,€963€(8òòthóó€Cir.Ð –!2$ Ð1998).€€However,€if€the€introduction€of€the€evidence€is€invited€by€counsel€or€if€defense€counselÐ ‚"% Ðrequests€no€limiting€instruction,€failure€to€give€a€limiting€instruction€may€not€constitute€plainÐ n# & Ðerror.€€òòId.;óó€òòUnited€States€v.€Franciscoóó,€410€F.2d€1283,€1288-89€(8th€Cir.€1969).€Ð  Z$ö' ÐÖ€YÝìÖÓ €Óà@ŠŠ ìàò òÔ% €ý ÔÔ  Ô2.13.€€DISPOSITION,€DURING€TRIAL,€OF€ONE€OR€MORE€BUT€LESS€ˆÐ d Ðà@z z ìàTHAN€ALL€CHARGES€AGAINST€THE€CODEFENDANT[S]Ô €RöøÔó óˆÐ Pì ÐÌà  àÓ€ÓAt€the€beginning€of€the€trial€I€told€you€that€[both]€[all]€defendants€were€charged,€amongÐ ( Ä Ðother€things,€with€the€crimes€of€(describe€crimes).òò1óó€€The€charges€of€(describe€disposed€ofÐ Š & Ðcharges),€as€against€the€defendant[s],€[has]€[have]€been€disposed€of,€and€[he]€[she]€[they]€[is]Ð ì ˆ Ð[are]€no€longer€[a]€defendant[s]€as€to€[that]€[those]€charge[s].€€You€should€not€guess€about€orÐ N ê  Ðconcern€yourselves€with€the€reason€for€this€disposition.€€You€are€not€to€consider€this€fact€whenÐ °L  Ðdeciding€if€the€[government]€[prosecutor]€has€proved€beyond€a€reasonable€doubt€thatÐ ®  Ðdefendant[s]€(name€remaining€defendant[s])€committed€any€of€the€crimes€with€which€[he]€[she]Ð t  Ð[they]€[is]€[are]€charged,€or€when€deciding€if€the€[government]€[prosecutor]€has€proved€beyond€aÐ Ör  Ðreasonable€doubt€that€defendant[s]€(name€remaining€defendants)€committed€the€remainingÐ 8Ô  Ðcrime[s]€with€which€[he]€[she]€[they]€[is]€[are]€charged.€Ð š6 Ðà  à[The€following€evidence€is€now€stricken€by€me,€and€is€thus€no€longer€before€you€and€mayÐ ü˜ Ðnot€be€considered€by€you:€€(describe€stricken€evidence).]òò2óó€Ð ^ú Ðà  à[So€far€as€this€case€is€concerned,€you€will€continue€to€be€concerned€with€the€followingÐ À\ Ðcharges:€€(describe€charges).]òò3óóÓ€ÓÓ €ÓÐ "¾ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ „  Ðà  à1.€€If€one€or€more€counts€of€the€same€offense€has€been€disposed€of€and€other€counts€of€theÐ æ‚! Ðsame€offense€remain,€the€language€of€this€instruction€should€be€modified.€Ð Òn" ÐÔ'œ„ÊÿÔà  à2.€€If€the€evidence€remains€admissible,€the€jury€may€be€so€instructed.€€òòSee€United€States€v.Ð 4 Ð$ ÐKelleyóó,€152€F.3d€886,€888€(8òòthóó€Cir.€1998).Ð  !¼% Ðà  à3.€€Optional€for€use€when€there€are€a€number€of€charges,€and€the€court€feels€it€would€beÐ ‚"' Ðhelpful€to€"re-cap"€those€remaining€for€the€jury.€Ð n# ( ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ð$l* ÐÔ'NÐ$…Ôà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€and€Committee€Comments,€InstructionÐ 2&Î, Ð2.12,€òòsupraóó.€Ð  'º - ÐÖ€¶YìÖÓ €Óà@ìàò òÔ% €þ ÔÔ  Ô2.14.€€EVIDENCE€ADMITTED€AGAINST€ONLY€ONE€DEFENDANTÔ €RÖÔó óˆÐ d ÐÌà  àÓ€ÓAs€you€know,€there€are€(insert€number)€defendants€on€trial€here:€€(name€each€defendant).€Ð <Ø ÐEach€defendant€is€entitled€to€have€[his]€[her]€case€decided€solely€on€the€evidence€which€appliesÐ ž : Ðto€[him]€[her].€€Some€of€the€evidence€in€this€case€is€limited€under€the€rules€of€evidence€to€one€ofÐ  œ Ðthe€defendants,€and€cannot€be€considered€against€the€others.€Ð b þ Ðà  àThe€[testimony]€[exhibit€about€which]€you€[are€about€to€hear]€[just€heard],€(describeÐ Ä `  Ðtestimony€or€exhibit),€can€be€considered€only€in€the€case€against€defendant€(name).€€You€must€notÐ &  Ðconsider€that€evidence€when€you€are€deciding€if€the€[government]€[prosecutor]€has€proved,Ð ˆ$  Ðbeyond€a€reasonable€doubt,€its€case€against€defendant[s]€(name[s]).€€Ó€ÓÓ €ÓÐ ê†  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ Lè  Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð ®J ÐÔ'°LèÔà  àLimiting€instructions€informing€the€jury€of€proper€use€of€the€evidence€are€sufficient,Ð ¬ Ðunless€the€defendant€shows€that€his€defense€is€irreconcilable€with€the€other€defendantsðð€defensesÐ ü˜ Ðor€the€jury€cannot€compartmentalize€the€evidence.€€òòUnited€States€v.€Bordeauxóó,€84€F.3d€1544,Ð è„ Ð1547€(8òòthóó€Cir.€1996).€€A€district€court,€in€admitting€Rule€404(b)€type€evidence,€need€not€issue€aÐ Ôp Ðlimiting€instruction€òòsua€sponteóó.€€òòUnited€States€v.€Perkins,óó€94€F.3d€429,€435„36€(8òòthóó€Cir.€1996).€€InÐ À\ Ðthe€absence€of€a€specific€defense€request,€no€limiting€instruction€is€required€where€the€evidence€isÐ ¬H Ðrelevant€to€an€issue€in€the€case.€€òòUnited€States€v.€Conleyóó,€523€F.2d€650,€654€n.7€(8òòthóó€Cir.€1975).€Ð ˜4 ÐWhere€evidence€was€admissible€against€one€defendant€but€not€admissible€to€three€otherÐ „  Ðdefendants,€a€trial€court€did€not€err€in€failing€to€give€a€limiting€instruction€where€none€wasÐ p  Ðrequested€by€defense€counsel€and€before€retiring,€the€jury€was€instructed€that€ð ð[e]ach€defendant€isÐ \ø Ðentitled€to€have€his€case€decided€solely€on€the€evidence€which€applies€to€him.ðð€€òòUnited€States€v.Ð Hä  ÐOrtizóó,€125€F.3d€630,€633€(8òòthóó€Cir.€1997).€€òòUnited€States€v.€Bellóó,€99€F.3d€870,€881€(8òòthóó€Cir.€1996).Ð  4 Ð! ÐÖ€·¶ìÖÓ €Óà@ŠŠ ìàò òÔ% €ÿ ÔÔ  Ô2.15.€€STATEMENT€OF€ONE€DEFENDANT€IN€MULTI„DEFENDANT€TRIALÔ ofÛÔó óˆÐ d ÐÌÓ€Óà  àYou€may€consider€the€statement€of€defendant€(name)€only€in€the€case€against€[him]€[her],Ð <Ø Ðand€not€against€the€other€defendant[s].€€You€may€not€consider€or€discuss€that€statement€in€anyÐ ž : Ðway€when€you€are€deciding€if€the€[government]€[prosecutor]€has€proved,€beyond€a€reasonableÐ  œ Ðdoubt,€its€case€against€the€other€defendant[s].€Ó€ÓÓ €ÓÐ b þ ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ä `  Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð &  ÐÔ'°Ä 'Ôà  àòòBruton€v.€United€Statesóó,€391€U.S.€123€(1968),€held€that€nontestifying€codefendantÐ ˆ$  Ðconfessions€used€in€a€joint€trial€which€implicate€another€defendant€on€their€face€are€soÐ t  Ð"devastating"€that€their€effect€cannot€be€limited€by€jury€instructions€to€consider€that€confessionÐ `ü  Ðonly€against€the€codefendant.€€Unless€directly€admissible,€òòBrutonóó€holds€such€confessions€to€beÐ Lè  Ðbarred€by€the€Confrontation€Clause.€€The€òòBrutonóó€rule€has€been€extended€to€apply€to€aÐ 8Ô  Ðnontestifying€codefendant's€confession€in€cases€in€which€the€confession€of€the€defendant€has€beenÐ $À Ðadmitted,€even€where€the€confessions€are€"interlocking,"€òòCruz€v.€New€Yorkóó,€481€U.S.€186,€191-93Ð ¬ Ð(1987).€€However,€the€fact€that€the€confessions€"interlock"€may€be€considered€in€assessingÐ ü˜ Ðwhether€the€statements€are€supported€by€sufficient€indicia€of€reliability€to€be€directly€admissibleÐ è„ Ðagainst€the€defendant.€€òòId.óó€at€193-94.€€Ð Ôp Ðà  àIn€some€cases,€a€nontestifying€codefendant's€confession€may€be€admitted€with€a€properÐ 6Ò Ðlimiting€instruction€where€the€confession€is€redacted€to€eliminate€the€defendant's€name€and€anyÐ "¾ Ðreference€to€his€or€her€existence€or€where€the€statement€provides€only€"evidentiary€linkage"€to€theÐ ª Ðdefendant€on€trial.€€òòSeeóó€òòRichardson€v.€Marshóó,€481€U.S.€200,€211€(1987).€Ð ú– Ðà  àThis€instruction€should€òònotóó€be€used€in€connection€with€coconspirator€declarationsÐ \ø Ðadmitted€under€Fed.€R.€Evid.€801(d)(2)(E).€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Rothóó,€736€F.2d€1222,€1229Ð Hä Ð(8th€Cir.€1984),€or€in€any€situation€in€which€the€codefendant's€statement€may€be€directlyÐ 4 Ð  Ðadmissible€against€the€defendant.€€òòSeeóó€òòCruz€v.€New€Yorkóó,€481€U.S.€at€193-94€(citing€òòLee€v.Ð  !¼! ÐIllinoisóó,€476€U.S.€530€(1986)).€€However,€a€limiting€instruction€is€appropriate€when€an€out„of„Ð  "¨" Ðcourt€statement€of€a€co„conspirator€is€admitted€not€for€the€truth€of€the€matter€stated,€but€rather€toÐ ø"”# Ðexplain€the€actions€of€an€agent.òò€€Garrett€v.€United€Statesóó,€78€F.3d€1296,€1303€(8òòthóó€Cir.€1995).€Ð ä#€$ Ð(ð ðWe€have€previously€noted€that€ððif€a€conspirator€statement€is€both€permissible€background€andÐ Ð$l% Ðhighly€prejudicial,€otherwise€hearsay,€fairness€demands€that€the€government€find€a€way€to€get€theÐ ¼%X& Ðbackground€into€evidence€without€hearsay.€€(Citations€omitted.)€€The€trial€court€should€instructÐ ¨&D ' Ðthe€jury€as€to€the€limited€purpose€of€any€hearsay€statements€that€cannot€be€avoided.€€Without€suchÐ ”'0!( Ðprocedures,€there€is€a€strong€risk€that€while€the€statement€may€be€offered€as€background€for€theÐ €(") Ðagentsðð€actions,€they€will€inevitably€be€used€as€direct€evidence€of€the€defendantððs€guilt.ðð)Ð  l)#* ÐÖ€¸·ìÖÓ €Óà@§§ ìàò òÔ% € ÔÔ  Ô2.16.€€DEFENDANT'S€TESTIMONY€„€IMPEACHMENT€BY€PRIOR€CONVICTIONÔ of Ôó óˆÐ d ÐÌÓ€Óà  àYou€[are€about€to€hear]€[have€heard]€evidence€that€defendant€(name)€was€previouslyÐ <Ø Ðconvicted€of€[a]€crime[s].€€You€may€use€that€evidence€only€to€help€you€decide€whether€to€believeÐ ž : Ð[his]€[her]€testimony€and€how€much€weight€to€give€it.€€That€evidence€does€not€mean€that€[he]Ð  œ Ð[she]€committed€the€crime€charged€here,€and€you€must€not€use€that€evidence€as€any€proof€of€theÐ b þ Ðcrime€charged€in€this€case.Ð Ä `  Ðà  à[That€evidence€may€not€be€used€in€any€way€at€all€in€connection€with€the€otherÐ &  Ðdefendant[s]].òò1óóÓ€ÓÓ €ÓÐ ˆ$  ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ê†  Ðà  à1.€€For€use€in€a€multiple€defendant€case.€Ð Lè  ÐÔ'°êä!ÔÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ ®J Ðà  àòòSee€óóIntroductory€Comment,€Section,€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð ¬ ÐÔ'°®ˆ"Ôà  àIf€past€crimes€of€the€defendant€are€to€be€used€to€establish€intent,€motive€or€other€mentalÐ r Ðelement,€and€not€for€the€purpose€of€impeachment,€Instruction€2.08€should€be€used€rather€than€thisÐ ^ú ÐInstruction.€€If€the€past€crimes€are€to€be€used€to€show€a€common€pattern,€scheme€or€plan€asÐ Jæ Ðbetween€the€prior€acts€and€present€offense,€or€to€show€the€defendant's€identity,€Instruction€2.09,Ð 6Ò Ðòòsupraóó,€should€be€used.€€For€impeachment€by€prior€conviction€of€a€witness€other€than€theÐ "¾ Ðdefendant,€òòseeóó€Instruction€2.18,€òòinfraóó.€Ð  ª ÐÖ€º¸ì ÖÓ €Óà@– – ìàò òÔ% € ÔÔ  Ô2.17.€€DEFENDANT'S€TESTIMONY€„€IMPEACHMENT€BY€ˆÐ d Ðà@uuìàOTHERWISE€INADMISSIBLE€STATEMENT€(òòHarris€v.€New€Yorkóó)Ô IND&Ôó óˆÐ Pì ÐÌà  àÓ€ÓThere€has€been€evidence€that€defendant€(name)€was€questioned€at€a€time€prior€to€trial,€andÐ ( Ä Ðmade€certain€statements.€€You€may€use€that€evidence€only€to€help€you€decide€whether€[he]€[she]Ð Š & Ðmade€a€statement€before€trial€and€whether€what€[he]€[she]€said€here€in€court€was€true.€€Ó€ÓÓ €ÓÐ ì ˆ ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ N ê  Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð °L  ÐÔ'°N ¢(Ôà  àA€statement€obtained€in€violation€of€òòMirandaóó€may€constitutionally€be€used€forÐ ®  Ðimpeachment€purposes€if€it€was€voluntary€and€trustworthy.€€òòOregon€v.€Hassóó,€420€U.S.€714Ð þš  Ð(1975);€òòHarris€v.€New€Yorkóó,€401€U.S.€222€(1971);€òòClark€v.€Woodóó,€823€F.2d€1241,€1246€(8th€Cir.Ð ê†  Ð1987).€€The€trial€judge€should€stress€that€the€government€cannot€use€the€prior€statement€to€proveÐ Ör  Ðthe€defendant's€guilt;€it€can€only€use€it€to€impeach.€€The€statement€can€only€be€used€if€theÐ Â^  Ðdefendant€takes€the€stand€and€testifies€contrary€to€the€prior€statement.€€Where€the€statement€isÐ ®J Ðused€for€impeachment,€the€standard€for€admissibility€is€voluntariness.€€òòOregon€v.€Elstadóó,€470Ð š6 ÐU.S.€298,€307-08€(1985).€€If€the€defendant€raises€a€voluntariness€issue€with€respect€to€the€priorÐ †" Ðstatement,€it€will€also€be€necessary€upon€the€defendant's€request€to€instruct€the€jury€appropriatelyÐ r Ðon€that€issue€(òòseeóó€Committee€Comments,€Instruction€2.07,€òòsupraóó).€€However,€absent€a€requestÐ ^ú Ðand€a€clear€invocation€of€18€U.S.C.€ðð€3501(a)€at€trial,€such€an€instruction€is€not€required.€€òòUnitedÐ Jæ ÐStates€v.€Diopóó,€546€F.2d€484,€485-86€(2d€Cir.€1976).€€Presumably€in€those€circumstances€it€wouldÐ 6Ò Ðalso€be€necessary,€pursuant€to€18€U.S.C.€ðð3501,€for€the€trial€judge€to€conduct€a€hearing€out€of€theÐ "¾ Ðpresence€of€the€jury,€and€make€a€finding€on€the€issue,€before€allowing€the€prior€statement€to€beÐ ª Ðused€even€for€impeachment€purposes.€Ð ú– Ðà  àUse€of€a€defendantððs€voluntary€statement€to€an€agent€may€be€used€for€impeachmentÐ \ø Ðpurposes€if€a€proper€limiting€instruction€is€given.€€òòUnited€States€v.€Tuckeróó,€137€F.3d€1016,€1035Ð Hä Ð(8òòthóó€Cir.€1998).Ð  4 Ð ÐÖ€»ºì!ÖÓ €Óà@  ìàò òÔ% € ÔÔ  Ô2.18.€€IMPEACHMENT€OF€WITNESS€„€PRIOR€CONVICTIONÔ IN©1Ôó óˆÐ d ÐÌà  àÓ€ÓYou€have€heard€evidence€that€the€witness€(name)€was€once€convicted€of€a€crime.€€YouÐ <Ø Ðmay€use€that€evidence€only€to€help€you€decide€whether€to€believe€the€witness€and€how€muchÐ ž : Ðweight€to€give€[his]€[her]€testimony.€Ó€ÓÓ €ÓÐ  œ ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ b þ Ðà  àòòSeeóó€Introductory€Comment,€Section€2.00,€òòsupraóó,€concerning€limiting€instructions.€Ð Ä `  ÐÔ'°b h3Ôà  àWhere€the€witness€is€the€defendant,€Instruction€2.16,€òòsupraóó,€should€be€used.Ð  &  ÐÖ€¼»ì"ÖÓ €Óà@ ìàò òÔ% € ÔÔ  Ô2.19.€€WITNESS€WHO€HAS€PLEADED€GUILTYÔ IN5Ôó óˆÐ d ÐÌÓ€Óà  àYou€have€heard€evidence€that€the€witness€(name)€has€[pled]€[pleaded]€guilty€to€a€crimeÐ <Ø Ðwhich€arose€out€of€the€same€events€for€which€the€defendant€is€on€trial€here.€€You€must€notÐ ž : Ðconsider€that€guilty€plea€as€any€evidence€of€this€defendant's€guilt.€€You€may€consider€thatÐ  œ Ðwitness's€guilty€plea€only€for€the€purpose€of€determining€how€much,€if€at€all,€to€rely€upon€thatÐ b þ Ðwitness's€testimony.òò1óó€Ó€ÓÓ €ÓÐ Ä `  ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ &  Ðà  à1.€€Such€evidence€may€also€be€used€to€show€the€witness'€acknowledgment€of€participationÐ ˆ$  Ðin€the€offense.€€òòUnited€States€v.€Rothóó,€736€F.2d€1222,€1226€(8th€Cir.€1984).€€If€admitted€for€thatÐ t  Ðpurpose,€the€instruction€should€be€so€modified€.€€Ð `ü  ÐÔ'ˆ&–7ÔÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ Â^  Ðà  àòòSee€óóIntroductory€Comment,€Section€2.00,€òòsupraóó,€and€Committee€Comments,€InstructionÐ $À Ð2.12,€òòsupraóó,€concerning€a€codefendant's€guilty€plea.€Ð ¬ ÐÔ'œÂ+9Ôà  àEvidence€that€a€codefendant€has€pleaded€guilty€may€not€be€used€as€substantive€proof€of€aÐ r Ðdefendant's€guilt.€€However,€such€evidence€is€admissible€to€impeach,€to€show€the€witness'Ð ^ú Ðacknowledgment€of€participation€in€the€offense,€or€to€reflect€on€his€credibility.€€In€suchÐ Jæ Ðcircumstances,€the€jury€should€be€instructed€that€the€evidence€is€received€for€one€or€more€of€theseÐ 6Ò Ðpurposes€alone,€and€that€the€jurors€are€not€to€infer€the€guilt€of€the€defendant.€€òòUnited€States€v.Ð "¾ ÐÔ_ÔLundstromÔ_Ôóó,€898€F.2d€635,€640€n.10€(8òòthóó€Cir.€1990)€(noting€with€approval€8òòthóó€Cir.€Model€Crim.Ð ª ÐJury€Instruction€2.19);€òòUnited€States€v.€Rothóó,€736€F.2d€1222,€1226€(8th€Cir.€1984).€€òòSee€alsoÐ ú– ÐGerberding€v.€United€Statesóó,€471€F.2d€55,€60€(8th€Cir.€1973);€òòUnited€States€v.€Wiesleóó,€542€F.2dÐ æ‚ Ð61,€62-63€(8th€Cir.€1976);€òòWallace€v.€Lockhartóó,€701€F.2d€719,€725-26€(8th€Cir.€1983).€Ð Òn Ðà  àHowever,€the€admission€of€such€evidence€without€a€limiting€instruction€is€not€reversibleÐ 4 Ð! Ðerror€if€defense€counsel€did€not€request€an€instruction€and€if€the€evidence€was€introduced€andÐ  !¼" Ðused€for€a€proper€purpose.€€òòGerberding€v.€United€Statesóó,€471€F.2d€at€60;€òòUnited€States€v.€Wiesleóó,Ð  "¨# Ð542€F.2d€at€63;€òòUnited€States€v.€Rothóó,€736€F.2d€at€1226-27.€€In€òòRothóó€it€was€held€that€a€properÐ ø"”$ Ðpurpose€of€disclosing€the€plea€agreement€and€cooperation€is€to€diffuse€any€attempt€to€show€biasÐ ä#€% Ðon€cross-examination.€Ð Ð$l& Ðà  àFor€a€discussion€of€impeachment€of€a€witness€by€a€prior€inconsistent€statement€which€alsoÐ 2&Î( Ðincriminates€the€defendant€and€appropriate€limiting€instructions,€òòseeóó€òòUnited€States€v.€Rogersóó,€549Ð 'º ) ÐF.2d€490,€494-98€(8th€Cir.€1976).Ð   (¦!* ÐÓ €ÓÖ€Œ¼ì#Öà@¾ ¾ ìàò òÔ% € ÔÔ  Ô2.20.€€DEFENDANT'S€PREVIOUS€TRIALÔ n€´BÔó óˆÐ d ÐÌà  àÓ€ÓYou€have€heard€that€there€was€a€previous€trial€of€the€defendant[s]€for€the€crime[s]€chargedÐ <Ø Ðhere.€€Keep€in€mind,€however,€that€you€must€decide€this€case€solely€on€the€evidence€presented€toÐ ž : Ðyou€in€this€trial.€€The€fact€of€a€previous€trial€must€have€no€effect€on€your€consideration€of€thisÐ  œ Ðcase.€Ó€ÓÓ €ÓÐ b þ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ä `  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rPE#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ršE#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%ráE#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r0F#Ô:€€CriminalÐ &  Ððð10.08€(5th€ed.€2000)Ô':Ä ÊDÔ.€€òòSee€alsoóó€òòUnited€States€v.€Hykelóó,€461€F.2d€721,€726€(3d€Cir.€1972);Ð ®  ÐòòCarsey€v.€United€Statesóó,€392€F.2d€810,€812€(D.C.€Cir.€1967).€€Ð þš  Ðà  àòòSee€alsoóó€Introductory€Comment,€Section€2.00,€òòsupraóó,€concerning€curative€instructions.€Ð `ü  Ðà  àThis€instruction€should€not€be€given€unless€the€jury€has€been€informed€of€the€previousÐ Â^  Ðtrial€and€the€instruction€has€been€specifically€requested€by€the€defense.€Ð  ®J ÐÖ€¾Œì$ÖÓ €Óà@ò ò ìàò òÔ% € ÔÔ  Ô2.21.€€DEFENDANT'S€PHOTOGRAPHS€„€"MUG€SHOTS"Ô n€,IÔó óˆÐ d ÐÌÓ€Óà  àThe€witness€has€testified€that€[he]€[she]€viewed€a€photograph€of€defendant€(name)€whichÐ <Ø Ðwas€shown€to€[him]€[her]€by€the€police.€€The€police€collect€pictures€of€many€people€from€manyÐ ž : Ðdifferent€sources€and€for€many€different€purposes.€€The€fact€that€the€police€had€the€defendant'sÐ  œ Ðpicture€does€not€mean€that€[he]€[she]€committed€this€or€any€other€crime,€and€it€must€have€noÐ b þ Ðeffect€on€your€consideration€of€the€case.€Ó€ÓÓ €ÓÐ Ä `  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ &  Ðà  àòòSeeóó€òògenerallyóó€òòUnited€States€v.€Rungeóó,€593€F.2d€66,€69€(8th€Cir.€1979).€€Ð ˆ$  ÐÔ'°&ÙKÔà  àòòSee€alsoóó€Introductory€Comment,€Section€2.00,€òòsupraóó,€concerning€curative€instructions.€Ð ê†  Ðà  àThis€instruction€should€not€be€given€unless€specifically€requested€by€the€defense.Ð  Lè  ÐÖ€Ù¾ì%ÖÓ €Óà@ ìàò òÔ% € ÔÔ  Ô2.22.€€DISCHARGE€OF€DEFENSE€COUNSEL€DURING€TRIALÔ prôMÔó óˆÐ d ÐÌÓ€Óà  àEven€though€defendant€(name)€was€at€first€represented€by€a€lawyer,€[he]€[she]€has€decidedÐ <Ø Ðto€continue€the€trial€representing€[himself]€[herself]€and€not€to€use€the€services€of€a€lawyer.€€[He]Ð ž : Ð[She]€has€a€right€to€do€that.€€[His]€[Her]€decision€has€no€bearing€on€whether€[he]€[she]€is€guilty€orÐ  œ Ðnot€guilty,€and€it€must€have€no€effect€on€your€consideration€of€the€case.€Ó€ÓÓ €ÓÐ b þ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ä `  Ðà  àòòSeeóó€Ô'NÄ cPÔIntroductory€Comment,€Section€2.00,€òòsupraóó,€concerning€curative€instructions.Ð  &  КÖ€ÞÇìÖÑ  ÑÖ€ßÙì&ÖÓ €Óà@__ ìàÔ% € ÔÔ  Ôò ò3.00.€€FINAL€INSTRUCTIONS€FOR€USE€IN€EVERY€TRIAL€(BOILERPLATE)ˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ prªQԈРˆØ ÐÌà  àThe€instructions€included€in€this€section€are€"boilerplate"€instructions€which€wouldÐ `° Ðgenerally€be€part€of€the€final€charge€in€any€trial€regardless€of€the€particular€offense€or€issues.€Ð  L œ‘ ÐÖ€Ûßì(Öà@ÒÒ!ìàò òÔ% €< ÔÔ  Ô3.01.€€INTRODUCTIONÔ prŠSÔó óˆÐ d ÐÌÓ€Óà  àMembers€of€the€jury,€the€instructions€I€gave€you€at€the€beginning€of€the€trial€and€duringÐ <Ø Ðthe€trial€remain€in€effect.€€I€now€give€you€some€additional€instructions.€€Ð ž : Ðà  àYou€must,€of€course,€continue€to€follow€the€instructions€I€gave€you€earlier,€as€well€asÐ  œ Ðthose€I€give€you€now.€€You€must€not€single€out€some€instructions€and€ignore€others,€because€òòallóóÐ b þ Ðare€important.€€[This€is€true€even€though€some€of€those€I€gave€you€[at€the€beginning€of]€[during]Ð Ä `  Ðtrial€are€not€repeated€here.]€Ð &  Ðà  àòò1óó[The€instructions€I€am€about€to€give€you€now€[as€well€as€those€I€gave€you€earlier]€are€inÐ ˆ$  Ðwriting€and€will€be€available€to€you€in€the€jury€room.]€€[I€emphasize,€however,€that€this€does€notÐ ê†  Ðmean€they€are€more€important€than€my€earlier€instructions.€€Again,€òòallóó€instructions,€wheneverÐ Lè  Ðgiven€and€whether€in€writing€or€not,€must€be€followed.]€Ó€ÓÓ €ÓÐ ®J ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€Optional€for€use€when€the€final€instructions€are€to€be€sent€to€the€jury€room€with€theÐ r Ðjury.€€The€Committee€recommends€that€practice.€Ð ^ú ÐÔ'œAXÔÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ À\ Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÞY#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r(Z#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%roZ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¾Z#Ô:€€CriminalÐ "¾ Ððð12.01€(5th€ed.€2000)Ô':ÀXYÔ.€Ð  ª ÐÖ€àÛì)ÖÓ €Óà@!ìàò òÔ% €? ÔÔ  Ô3.02.€€DUTY€OF€JURYÔ pr¹[Ôó óˆÐ d ÐÌà  àÓ€ÓIt€is€your€duty€to€find€from€the€evidence€what€the€facts€are.€€You€will€then€apply€the€law,Ð <Ø Ðas€I€give€it€to€you,€to€those€facts.€€You€must€follow€my€instructions€on€the€law,€even€if€youÐ ž : Ðthought€the€law€was€different€or€should€be€different.Ð  œ Ðà  àDo€not€allow€sympathy€or€prejudice€to€influence€you.€€The€law€demands€of€you€a€justÐ b þ Ðverdict,€unaffected€by€anything€except€the€evidence,€your€common€sense,€and€the€law€as€I€give€itÐ Ä `  Ðto€you.Ó€ÓÓ €ÓÐ &  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r_#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rK_#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r’_#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rá_#Ô:€€CriminalÐ ê†  Ððð12.01€(5th€ed.€2000).Ô':ˆ{^ÔÐ  Ör  ÐÖ€Ýàì*ÖÓ €Óà@ö ö ìàò òÔ% €A ÔÔ  Ô3.03.€€EVIDENCE;€LIMITATIONSÔ prÛ`Ôó óˆÐ d ÐÌà  àÓ€ÓI€have€mentioned€the€word€"evidence."€€The€"evidence"€in€this€case€consists€of€theÐ <Ø Ðtestimony€of€witnesses€[the€documents€and€other€things€received€as€exhibits]€[the€facts€that€haveÐ ž : Ðbeen€stipulated€--€this€is,€formally€agreed€to€by€the€parties,]€[the€facts€that€have€been€judiciallyÐ  œ Ðnoticed€--€this€is,€facts€which€I€say€you€may,€but€are€not€required€to,€accept€as€true,€even€withoutÐ b þ Ðevidence].òò1óó€Ð Ä `  Ðà  àYou€may€use€reason€and€common€sense€to€draw€deductions€or€conclusions€from€factsÐ &  Ðwhich€have€been€established€by€the€evidence€in€the€case.òò2óó€Ð ˆ$  Ðà  àCertain€things€are€not€evidence.€€I€shall€list€those€things€again€for€you€now:€Ð ê†  Ðà  àl.€€Statements,€arguments,€questions€and€comments€by€lawyers€representing€the€parties€inÐ Lè  Ðthe€case€are€not€evidence.€Ð ®J Ðà  à2.€€Objections€are€not€evidence.€€Lawyers€have€a€right€to€object€when€they€believeÐ ¬ Ðsomething€is€improper.€€You€should€not€be€influenced€by€the€objection.€€If€I€sustained€anÐ r Ðobjection€to€a€question,€you€must€ignore€the€question€and€must€not€try€to€guess€what€the€answerÐ Ôp Ðmight€have€been.€Ð 6Ò Ðà  à3.€€Testimony€that€I€struck€from€the€record,€or€told€you€to€disregard,€is€not€evidence€andÐ ˜4 Ðmust€not€be€considered.€Ð ú–  Ðà  à4.€€Anything€you€saw€or€heard€about€this€case€outside€the€courtroom€is€not€evidence.òò3óó€Ð \ø" Ðà  àFinally,€if€you€were€instructed€that€some€evidence€was€received€for€a€limited€purposeÐ ¾Z$ Ðonly,€you€must€follow€that€instruction.òò4óó€Ó€ÓÓ €ÓÐ  !¼& ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ‚"( Ðà  à1.€€The€bracketed€material€should€be€given€only€if€there€has€been€documentary€or€exhibitÐ ä#€* Ðevidence,€stipulated€evidence€or€judicially€noticed€evidence.€€Rule€201(g)€of€the€Federal€Rules€ofÐ Ð$l+ ÐÔ'&‚"¤hÔEvidence€requires€that€the€court€instruct€the€jury€that€"it€may,€but€is€not€required€to,€accept€asÐ ¼%X, Ðconclusive€any€fact€judicially€noticed."€€òòSeeóó€Instruction€2.04,€òòsupraóó.€Ð ¨&D - Ðà  à2.€€òòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r k#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rTk#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r›k#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rêk#Ô:€Ð  (¦!/ ÐCriminal€ðð12.05€(5th€ed.€2000).€Ð ö(’"0 Ðà  àIn€certain€situations€it€may€be€appropriate€to€instruct€the€jury€with€respect€to€a€specificÐ X*ô#2 Ðinference€it€may€make.€€òòSeeóó€Instructions€4.13€and€4.15,€òòinfraóó,€for€instructions€and€comments€onÐ D+à$3 Ðspecific€inferences.€Ð 0,Ì%4 Ðà  à3.€€This€paragraph€should€not€be€given,€of€course,€if€there€has€been€an€inspection€orÐ d Ðtestimony€taken€outside€the€courtroom.€Ð Pì Ðà  à4.€€òòSeeóó€Instructions€2.08-.20,€òòsupraóó.€Ð ²N ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ  ° Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r8o#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r‚o#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÉo#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rp#Ô:€€CriminalÐ v  Ððððð12.03,€12.08€(5th€ed.€2000)Ô': ²nÔ.€Ð b þ Ðà  àòòSee€alsoóó€Instructions€1.03,€2.02,€2.03,€2.04,€òòsupraóó.€Ð  Ä `  ÐÖ€ßÝì+ÖÓ €Óà@Q Q ìàò òÔ% €C ÔÔ  Ô3.04.€€CREDIBILITY€OF€WITNESSESÔ pr€qÔó óˆÐ d ÐÌÓ€Óà  àIn€deciding€what€the€facts€are,€you€may€have€to€decide€what€testimony€you€believe€andÐ <Ø Ðwhat€testimony€you€do€not€believe.€€You€may€believe€all€of€what€a€witness€said,€or€only€part€of€it,Ð ž : Ðor€none€of€it.€Ð  œ Ðà  àIn€deciding€what€testimony€to€believe,€consider€the€witness's€intelligence,€the€opportunityÐ b þ Ðthe€witness€had€to€have€seen€or€heard€the€things€testified€about,€the€witness's€memory,€anyÐ Ä `  Ðmotives€that€witness€may€have€for€testifying€a€certain€way,€the€manner€of€the€witness€whileÐ &  Ðtestifying,€whether€that€witness€said€something€different€at€an€earlier€time,òò1óó€the€generalÐ ˆ$  Ðreasonableness€of€the€testimony,€and€the€extent€to€which€the€testimony€is€consistent€with€anyÐ ê†  Ðevidence€that€you€believe.€Ð Lè  Ðà  à[In€deciding€whether€or€not€to€believe€a€witness,€keep€in€mind€that€people€sometimes€hearÐ ®J Ðor€see€things€differently€and€sometimes€forget€things.€€You€need€to€consider€therefore€whether€aÐ ¬ Ðcontradiction€is€an€innocent€misrecollection€or€lapse€of€memory€or€an€intentional€falsehood,€andÐ r Ðthat€may€depend€on€whether€it€has€to€do€with€an€important€fact€or€only€a€small€detail.]€Ð Ôp Ðà  à[You€should€judge€the€testimony€of€the€defendant€in€the€same€manner€as€you€judge€theÐ 6Ò Ðtestimony€of€any€other€witness.]òò2óó€Ó€ÓÓ €ÓÐ ˜4 ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ú–  Ðà  à1.€€With€respect€to€the€use€of€prior€inconsistent€statements€(second€paragraph€of€thisÐ \ø" Ðinstruction),€Federal€Rule€of€Evidence€105€gives€a€party€the€right€to€require€a€limiting€instructionÐ Hä# Ðexplaining€that€Ô'&úxÔthe€use€of€this€evidence€is€limited€to€credibility.€€Note,€however,€that€such€aÐ 4 Ð$ Ðlimiting€instruction€should€not€be€given€if€the€prior€inconsistent€statement€was€given€under€oathÐ  !¼% Ðin€a€prior€trial,€hearing€or€deposition,€because€such€prior€sworn€testimony€of€a€witness€is€notÐ  "¨& Ðhearsay€and€may€be€used€to€prove€the€truth€of€the€matters€asserted.€€Fed.€R.€Evid.€801(d)(1)(A).€Ð ø"”' Ðà  à2.€€To€be€given€only€if€the€defendant€has€testified.€€òòSee€Taylor€v.€United€Statesóó,€390€F.2dÐ Z$ö) Ð278,€282€(8th€Cir.€1968).Ð F%â* ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¨&D , Ðà  àòòSeeóó€1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rk|#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rµ|#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rü|#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rK}#Ô:€€CriminalÐ  (¦!. Ððððð€15.01,€15.02€(5th€ed.€2000)Ô':¨&æ{Ô.€Ð ö(’"/ Ðâ âà  àòòSee€alsoóó€Instruction€1.05,€òòsupraóó.€Ð X*ô#1 Ðà  àThe€form€of€a€credibility€instruction€is€within€the€discretion€of€the€trial€court.€€òòClark€v.Ð d Ðâ âUnited€Statesóó,€391€F.2d€57,€60€(8th€Cir.€1968);€òòUnited€States€v.€Merrivalóó,€600€F.2d€717,€719€(8thÐ Pì ÐCir.€1979).€€In€òòClarkóó,€the€court€held€that€the€following€instruction€given€by€the€trial€courtÐ <Ø Ðcorrectly€set€out€the€factors€to€be€considered€by€the€jury€in€determining€the€credibility€of€theÐ ( Ä Ðwitnesses:€Ð  ° Ðà0  àà ` àYou€are€instructed€that€you€are€the€sole€judges€of€the€credibility€of€the€witnessesÐ v  Ðand€of€the€weight€and€value€to€be€given€to€their€testimony.€€In€determining€suchÐ b þ Ðcredibility€and€weight€you€will€take€into€consideration€the€character€of€the€witness,€his€orÐ N ê Ðher€demeanor€on€the€stand,€his€or€her€interest,€if€any,€in€the€result€of€the€trial,€his€or€herÐ :Ö  Ðrelation€to€or€feeling€toward€the€parties€to€the€trial,€the€probability€or€improbability€of€hisÐ &  Ðor€her€statements€as€well€as€all€the€other€facts€and€circumstances€given€in€evidence.€Ð® (#(# Ð391€F.2d€at€60.€€In€òòMerrivalóó,€the€court€held€that€the€following€general€credibility€instructionÐ t  Ðprovided€protection€for€the€accused:€Ð `ü  Ðà0  àà ` àYou,€as€jurors,€are€the€sole€judges€of€the€truthfulness€of€the€witnesses€and€theÐ Â^  Ðweight€their€testimony€deserves.€Ð®J(#(# Ðà0  àà ` àYou€should€carefully€study€all€the€testimony€given,€the€circumstances€under€whichÐ ¬ Ðeach€witness€has€testified,€and€every€matter€in€evidence€which€tends€to€show€whether€aÐ ü˜ Ðwitness€is€worthy€of€belief.€€Consider€each€witness's€ability€to€observe€the€matters€as€toÐ è„ Ðwhich€he€or€she€has€testified€and€whether€each€witness€is€either€supported€or€contradictedÐ Ôp Ðby€other€evidence€in€the€case.€ÐÀ\(#(# Ð600€F.2d€at€720€n.2.€Ð "¾ Ðà  àThe€general€credibility€instruction€given€in€òòUnited€States€v.€Phillipsóó,€522€F.2d€388,€391Ð „  Ð(8th€Cir.€1975),€covers€other€details:Ð p  Ðà0  àà ` àThe€jurors€are€the€sole€judges€of€the€weight€and€credibility€of€the€testimony€and€ofÐ Òn Ðthe€value€to€be€given€to€each€and€any€witness€who€has€testified€in€the€case.€€In€reaching€aÐ ¾Z Ðconclusion€as€to€what€weight€and€value€you€ought€to€give€to€the€testimony€of€any€witnessÐ ª F  Ðwho€has€testified€in€the€case,€you€are€warranted€in€taking€into€consideration€the€interest€ofÐ –!2! Ðthe€witness€in€the€result€of€the€trial;€take€into€consideration€his€or€her€relation€to€any€partyÐ ‚"" Ðin€interest;€his€or€her€demeanor€upon€the€witness€stand;€his€or€her€manner€of€testifying;Ð n# # Ðhis€or€her€tendency€to€speak€truthfully€or€falsely,€as€you€may€believe,€the€probability€orÐ Z$ö$ Ðimprobability€of€the€testimony€given;€his€or€her€situation€to€see€and€observe;€and€his€orÐ F%â% Ðher€apparent€capacity€and€willingness€to€truthfully€and€accurately€tell€you€what€he€or€sheÐ 2&Î& Ðsaw€and€observed;€and€if€you€believe€any€witness€testified€falsely€as€to€any€material€issueÐ 'º ' Ðin€this€case,€then€you€must€reject€that€which€you€believe€to€be€false,€and€you€may€rejectÐ  (¦!( Ðthe€whole€or€any€part€of€the€testimony€of€such€witness.€€(Emphasis€omitted.)€Ðö(’")(#(# Ðà  àThe€instruction€in€the€text€is€basically€a€paraphrase€of€šformer€1€Edward€J.€Devitt,€et€al.,Ð X*ô#+ КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rJ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r”#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÛ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r*Ž#Ô:€€Civil€and€Criminal€ðð17.01€(now€1A€Kevin€F.Ð D+à$, ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÔŽ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%re#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r´#Ô:€€Criminal€ðð15.01€(5th€ed.€2000)),Ð 0,Ì%- Ðas€approved€in€òòUnited€States€v.€Hastingsóó,€577€F.2d€at€42.€€However€any€factors€set€out€in€theÐ d ÐòòPhillipsóó,€òòClarkóó,€or€òòMerrivalóó€instructions,€may€be€inserted€when€relevant€to€the€case.€Ð Pì Ðà  àA€general€instruction€on€the€credibility€of€witnesses€is€in€most€cases€sufficient.€€WhetherÐ ²N Ða€more€specific€credibility€instruction€is€required€with€respect€to€any€particular€witness€or€class€ofÐ ž : Ðwitnesses€is€generally€within€the€discretion€of€the€trial€court.€€Some€of€the€most€commonÐ Š & Ðsituations€are€covered€in€Instructions€4.04€(Testimony€under€Grant€of€Immunity€or€Plea€Bargain),Ð v  Ð4.05A€(Testimony€of€Accomplice),€4.06€(Testimony€of€Informer),€and€4.08€(Eye€WitnessÐ b þ ÐTestimony),€òòinfraóó.€Ð N ê Ðà  àAs€to€the€credibility€of€a€"perjurer,"€òòseeóó€òòUnited€States€v.€Koonceóó,€485€F.2d€374,€378€n.8Ð °L  Ð(8th€Cir.€1973);€òòUnited€States€v.€Spectoróó,€793€F.2d€932,€939€(8th€Cir.€1986);€òòUnited€States€v.Ð œ8  ÐRedaóó,€765€F.2d€715,€718-19€(8th€Cir.€1985);€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rø”#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rB•#ÔÐ ˆ$  ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r•#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rì•#Ô:€€Criminal€ðð15.10€(5th€ed.€2000)€€Both€òòKoonceóó€and€òòRedaóóÐ t  Ðsupported€the€trial€court's€rejection€of€a€ð ðòòfalsus€in€uno,€falsus€in€omnibusóó"€instruction.€€Ð `ü  Ðà  àSome€instructions€specifically€address€the€credibility€of€a€defendant€in€terms€of€hisÐ Â^  Ðinterest€in€the€case.€€òòSeeóó,€òòe.g.óó,€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r×—#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r!˜#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rh˜#ÔÐ ®J ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r˘#Ô:€€Criminal€ðð€15.12€(5th€ed.€2000).€€This€circuit€has€repeatedly€criticized€the€use€ofÐ š6 Ðsuch€an€instruction€because€it€has€the€effect€of€singling€out€the€defendant€in€the€jury€charge.€Ð †" ÐòòUnited€States€v.€Bear€Killeróó,€534€F.2d€1253,€1260€(8th€Cir.€1976).€€òòSee€alsoóó€òòTaylor€v.€UnitedÐ r ÐStatesóó,€390€F.2d€278,€282€(8th€Cir.€1968);€òòUnited€States€v.€Brownóó,€453€F.2d€101,€107€(8th€Cir.Ð ^ú Ð1971);€òòUnited€€States€v.€Standing€Soldieróó,€538€F.2d€196,€204€(8th€Cir.€1976).Ð Jæ Ðà  àThe€credibility€of€a€child€witness€is€covered€in€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÁ›#ÔÐ ¬H ÐJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rœ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rfœ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rµœ#Ô:€€Criminal€ðð€15.13€(5th€ed.€2000).€€Seventh€Circuit€FederalÐ ˜4 ÐJury€Instructions:€€Criminal€ðð€3.23€(1999)€and€Ninth€Cir.€Crim.€Jury€Instr.€4.14€(1997)Ð „  Ðrecommend€that€no€"child€witness"€instruction€be€given.€€This€Committee€joins€in€thoseÐ p  Ðcomments.€Ð \ø Ðà  àThe€testimony€of€police€officers€is€addressed€in€òòGolliher€v.€United€Statesóó,€362€F.2d€594,Ð ¾Z Ð604€(8th€Cir.€1966).€€Ð ª F Ðà  àInstructions€on€the€credibility€of€rape€victims€are€usually€rejected.€€òòUnited€States€v.Ð  "¨! ÐMerrivalóó,€600€F.2d€717,€719€(8th€Cir.€1979);€òòUnited€States€v.€Vikóó,€655€F.2d€878€(8th€Cir.€1981);Ð ø"”" ÐòòUnited€States€v.€Bear€Ribsóó,€722€F.2d€420€(8th€Cir.€1983).€Ð ä#€# Ðà  àFactors€to€be€taken€into€account€in€determining€whether€a€special€instruction€is€warrantedÐ F%â% Ðwith€respect€to€a€drug€user€are€discussed€in€òòUnited€States€v.€Johnsonóó,€848€F.2d€904,€905-06€(8thÐ 2&Î& ÐCir.€1988).€€Addict-Informers€are€covered€in€Committee€Comments€Instruction€4.06,€òòinfraóó.€€Ð 'º ' Ðà  àImpeachment€evidence€is€also€related€to€credibility.€€Instructions€2.16-.19,€òòsupraóó,€coverÐ €(") Ðthis€concept€in€the€form€of€limiting€instructions.€€Impeachment€by€prior€inconsistent€statement€isÐ l)#* Ðcovered€in€this€instruction.€€òòSee€United€States€v.€Rogersóó,€549€F.2d€490€(8th€Cir.€1976).€€òòSee€alsoóóÐ X*ô#+ Ð1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rP£#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rš£#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rá£#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r0¤#Ô:€€Criminal€ðððð15.07,Ð D+à$, Ð15.09€(5th€ed.€2000).€Ð 0,Ì%- Ðà  àWhether€a€party€is€entitled€to€a€more€specific€instruction€on€witness€bias€is€also€generallyÐ d Ðleft€to€the€discretion€of€the€trial€court.€€òòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¯¥#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rù¥#ÔÐ Pì ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rT¦#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r£¦#Ô:€€Criminal€ðð15.01€(5th€ed.€2000);€òòUnited€States€v.€Ashfordóó,€530Ð <Ø ÐF.2d€792,€799€(8th€Cir.€1976).€Ð  ( Ä ÐÖ€žßì,ÖÓ €Óà@¦¦ìàò òÔ% €E ÔÔ  Ô3.05.€€DESCRIPTION€OF€CHARGE;€INDICTMENT€NOT€EVIDENCE;€ˆÐ d Ðà@Û Û ìàPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€ˆÐ Pì Ðà@rrìà(Single€Defendant,€Single€Count)Ô  ΧÔó óˆÐ <Ø ÐÌÓ€Óà  àThe€indictment€in€this€case€charges€that€the€defendant€committed€the€crime€of€(insertÐ  ° Ðoffense).òò1óó€€The€defendant€has€pleaded€not€guilty€to€that€charge.€Ð v  Ðà  àAs€I€told€you€at€the€beginning€of€the€trial,€an€indictment€is€simply€an€accusation.€€It€is€notÐ Ø t Ðevidence€of€anything.€€To€the€contrary,€the€defendant€is€presumed€to€be€innocent.€€Thus€theÐ :Ö  Ðdefendant,€even€though€charged,€begins€the€trial€with€no€evidence€against€[him]€[her].€€TheÐ œ8  Ðpresumption€of€innocence€alone€is€sufficient€to€find€the€defendant€not€guilty€and€can€beÐ þš  Ðovercome€only€if€the€Government€proves,€beyond€a€reasonable€doubt,€each€element€of€the€crimeÐ `ü  Ðcharged.€Ð Â^  Ðà  à[There€is€no€burden€upon€a€defendant€to€prove€that€[he]€[she]€is€innocent.]€€[Accordingly,Ð $À Ðthe€fact€that€[a]€defendant€did€not€testify€must€not€be€considered€by€you€in€any€way,€or€evenÐ †" Ðdiscussed,€in€arriving€at€your€verdict.]òò2óó€€Ó€ÓÓ €ÓÐ è„ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Jæ Ðà  à1.€€The€description€of€the€offense€should€be€the€same€as€that€utilized€with€InstructionÐ ¬H Ð1.01.€Ð ˜4 ÐÔ'œJq­Ôà  à2.€€The€sentences€in€this€paragraph€should€be€given€only€if€the€defendant€so€requests.€€TheÐ ú– ÐCommittee€recommends€that€the€court€require€the€defense€to€make€this€request€on€the€record.€Ð æ‚  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Hä" Ðà  àòòSee€óóš1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rЯ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r°#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%ra°#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r°°#Ô:€€CriminalÐ ª F$ Ððððð13.01-13.04,€12.10€(5th€ed.€2000).€€Ô':HJ¯ÔÐ –!2% Ðà  àAn€instruction€on€the€"presumption€of€innocence"€is€one€means€of€protecting€theÐ ø"”' Ðaccused's€constitutional€right€to€be€judged€solely€on€the€basis€of€the€proof€adduced€at€trial.€Ð ä#€( ÐòòTaylor€v.€Kentuckyóó,€436€U.S.€478,€486€(1978).€€Failure€to€give€such€an€instruction€may€beÐ Ð$l) Ðevaluated€as€a€due€process€violation.€€òòKentucky€v.€Whortonóó,€441€U.S.€786,€790€(per€curiam)Ð ¼%X* Ð(1979).€Ð ¨&D + Ðà  àFederal€Judicial€Center,€Pattern€Criminal€Jury€Instructions€ðð€9€(1988),€Seventh€CircuitÐ  (¦!- ÐFederal€Jury€Instructions:€€Criminal€ðð€2.03€(1999)€and€Ninth€Cir.€Crim.€Jury€Instr.€3.2.1€(1997)Ð ö(’". Ðall€contain€more€abbreviated€versions€of€the€presumption€of€innocence.€€In€òòUnited€States€v.Ð â)~#/ ÐHollisteróó,€746€F.2d€420,€424€(8th€Cir.€1984),€however,€the€Eighth€Circuit€criticized€former€FifthÐ Î*j$0 ÐCircuit€Basic€Instruction€3A€as€"too€abbreviated"€and€urged€the€continued€use€of€former€1Ð º+V%1 ÐEdward€J.€Devitt,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rŵ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¶#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rV¶#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¥¶#Ô:€€Civil€and€CriminalÐ d Ððð11.13€(now€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rP·#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rš·#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rá·#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r0¸#Ô:€Ð Pì ÐCriminal€ðð13.04€(5th€ed.€2000)),€holding:€€"The€clarity€of€the€Devitt€&€Blackmar€instructionÐ <Ø Ðrenders€it€preferable€to€other€preference€instructions."€€òòHollisteróó€further€cited€òòTayloróó,€which€heldÐ ( Ä Ðthat€former€ðð€11.14€(now€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rι#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rº#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r_º#ÔÐ  ° ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rº#Ô:€€Criminal€ðð12.10€(5th€ed.€2000))€"appears€to€have€been€well€suited€to€forestallingÐ  œ Ðthe€jury's€consideration€of€extraneous€matters€*€*€*."€€òòTaylor€v.€Kentuckyóó,€436€U.S.€at€488€n.16.€Ð  ì ˆ ÐÖ€´žì-ÖÓ €Óà@nnìàò òÔ% €G ÔÔ  Ô3.06.€€DESCRIPTION€OF€CHARGES;€INDICTMENT€NOT€EVIDENCE;€ˆÐ d Ðà@Û Û ìàPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€ˆÐ Pì Ðà@â â ìà(Single€Defendant,€Multiple€Counts)Ô anD¼Ôó óˆÐ <Ø ÐÌà  àÓ€ÓThe€indictment€in€this€case€charges€the€defendant€with€(insert€number)€different€crimes.€Ð  ° ÐUnder€Count[s]€I€[___],€the€indictment€charges€that€the€defendant€committed€the€crime€ofÐ v  Ð(describe€offense).òò1óó€Ð Ø t Ðà  à[Under€Count[s]€__€[___],€the€indictment€charges€that€the€defendant€committed€the€crimeÐ :Ö  Ðof€(describe€offense).€€(Continue€as€necessary.)]€€The€defendant€has€pleaded€not€guilty€to€each€ofÐ œ8  Ðthose€charges.€Ð þš  Ðà  àAs€I€told€you€at€the€beginning€of€the€trial,€an€indictment€is€simply€an€accusation.€€It€is€notÐ `ü  Ðevidence€of€anything.€€To€the€contrary,€the€defendant€is€presumed€to€be€innocent.€€Thus€theÐ Â^  Ðdefendant,€even€though€charged,€begins€the€trial€with€no€evidence€against€[him]€[her].€€TheÐ $À Ðpresumption€of€innocence€alone€is€sufficient€to€find€the€defendant€not€guilty€and€can€beÐ †" Ðovercome€only€if€the€Government€proves,€beyond€a€reasonable€doubt,€each€element€of€the€crimeÐ è„ Ðcharged.€€Ð Jæ Ðà  àKeep€in€mind€that€each€count€charges€a€separate€crime.€€You€must€consider€each€countÐ ¬H Ðseparately,€and€return€a€separate€verdict€for€each€count.€Ð ª Ðà  à[There€is€no€burden€upon€a€defendant€to€prove€that€he€or€she€is€innocent.]€€[Accordingly,Ð p   Ðthe€fact€that€[a]€defendant€did€not€testify€must€not€be€considered€by€you€in€any€way,€or€evenÐ Òn" Ðdiscussed,€in€arriving€at€your€verdict.]òò2óó€Ó€ÓÓ €ÓÐ 4 Ð$ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ –!2& Ðà  à1.€€The€description€of€the€offense€should€be€the€same€as€that€utilized€with€InstructionÐ ø"”( Ð1.01.€Ð ä#€) ÐÔ'œ–!ÄÔà  à2.€€The€sentences€in€this€paragraph€should€be€given€only€if€the€defendant€so€requests.€€TheÐ F%â+ ÐCommittee€recommends€the€court€require€the€defense€make€this€request€on€the€record.€Ð 2&Î, ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ”'0!. Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r]Æ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r§Æ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rîÆ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r=Ç#Ô:€€CriminalÐ ö(’"0 Ððððð13.01-13.04,€12.10,€12.12€(5th€ed.€2000).€€Ô':”'×ÅÔÐ â)~#1 Ðà  àòòSee€alsoóó€Committee€Comments,€Instruction€3.05,€òòsupraóó.€Ð D+à$3 Ðà  àWhen€the€counts€are€satisfactorily€distinguished€in€the€jury€charge,€it€will€be€presumedÐ d Ðthat€the€jury€followed€the€instructions€and€thus€did€not€confuse€the€evidence€pertinent€to€theÐ Pì Ðindividual€counts.€€This€instruction€will€also€help€avoid€prejudicial€error€resulting€fromÐ <Ø Ðmisjoinder€of€offenses.€€òòSeeóó€Fed.€R.€Crim.€P.€14;€òòOpper€v.€United€Statesóó,€348€U.S.€84,€95€(1954);Ð ( Ä ÐòòUnited€States€v.€Brimóó,€630€F.2d€1307,€1310€(8th€Cir.€1980);€òòUnited€States€v.€Wedelstedtóó,€589Ð  ° ÐF.2d€339,€343€n.4€(8th€Cir.€1978);€òòUnited€States€v.€Jinesóó,€536€F.2d€1255,€1257€(8th€Cir.€1976);Ð  œ ÐòòFisher€v.€United€Statesóó,€324€F.2d€775,€781€(8th€Cir.€1964).€Ð  ì ˆ ÐÖ€¶´Ø.ÖÓ €Óà@nnìàò òÔ% €J ÔÔ  Ô3.07.€€DESCRIPTION€OF€CHARGES;€INDICTMENT€NOT€EVIDENCE;€ˆÐ d Ðà@Û Û ìàPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€ˆÐ Pì Ðà@â â ìà(Multiple€Defendants,€Single€Count)Ô €ißËÔó óˆÐ <Ø ÐÌà  àÓ€ÓThe€indictment€in€this€case€charges€that€the€defendants€committed€the€crime€of€(describeÐ  ° Ðoffense).òò1óóÐ v  Ðà  àAs€I€told€you€at€the€beginning€of€trial,€an€indictment€is€simply€an€accusation.€€It€is€notÐ Ø t Ðevidence€of€anything.€€To€the€contrary,€each€defendant€is€presumed€to€be€innocent.€€Thus€eachÐ :Ö  Ðdefendant,€even€though€charged,€begins€the€trial€with€no€evidence€against€[him]€[her].€€TheÐ œ8  Ðpresumption€of€innocence€alone€is€sufficient€to€find€the€defendant€not€guilty€and€can€beÐ þš  Ðovercome€only€if€the€Government€proves,€beyond€a€reasonable€doubt,€each€element€of€the€crimeÐ `ü  Ðcharged.€Ð Â^  Ðà  àKeep€in€mind€that€you€must€give€separate€consideration€to€the€evidence€about€eachÐ $À Ðindividual€defendant.€€Each€defendant€is€entitled€to€be€treated€separately,€and€you€must€return€aÐ †" Ðseparate€verdict€for€each€defendant.€Ð è„ Ðà  à[There€is€no€burden€upon€a€defendant€to€prove€that€he€or€she€is€innocent.]€€[Accordingly,Ð Jæ Ðthe€fact€that€[a]€defendant€did€not€testify€must€not€be€considered€by€you€in€any€way,€or€evenÐ ¬H Ðdiscussed,€in€arriving€at€your€verdict.]òò2óó€Ó€ÓÓ €ÓÐ ª ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ p   Ðà  à1.€€The€description€of€the€offense€should€be€the€same€as€that€utilized€with€InstructionÐ Òn" Ð1.01.€Ð ¾Z# ÐÔ'œppÒÔà  à2.€€The€sentences€in€this€paragraph€should€be€given€only€if€the€defendant€so€requests.€€TheÐ  !¼% ÐCommittee€recommends€the€court€require€the€defense€make€this€request€on€the€record.€Ð  "¨& ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ n# ( Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÇÔ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÕ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rXÕ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r§Õ#Ô:€€CriminalÐ Ð$l* Ððððð13.01-13.04,€12.10,€12.12,€12.13€(5th€ed.€2000).€€Ô':n#AÔÔÐ ¼%X+ Ðà  àòòSee€alsoóó€Committee€Comments,€Instructions€3.05€and€3.06,€òòsupraóó.€Ð  'º - ÐÖ€¸¶Ø/ÖÓ €Óà@nnìàò òÔ% €L ÔÔ  Ô3.08.€€DESCRIPTION€OF€CHARGES;€INDICTMENT€NOT€EVIDENCE;€ˆÐ d Ðà@Û Û ìàPRESUMPTION€OF€INNOCENCE;€BURDEN€OF€PROOF€ˆÐ Pì Ðà@R R ìà(Multiple€Defendants,€Multiple€Counts)Ô €i/×Ôó óˆÐ <Ø ÐÌà  àÓ€ÓThe€charges€in€this€case€are€as€follows:€Ð  ° Ðà  àUnder€Count[s]€I€[___],€the€indictment€charges€that€defendant[s]€(insert€name[s])Ð v  Ðcommitted€the€crime€of€(describe€offense).òò1óó€Ð Ø t Ðà  à[Under€Count[s]€__€[___],€the€indictment€charges€that€defendant[s]€(insert€name[s])Ð :Ö  Ðcommitted€the€crime€of€(describe€offense).€€(Continue€as€necessary).€€Each€defendant€has€pleadedÐ œ8  Ðnot€guilty€to€each€crime€with€which€[he]€[she]€is€charged.€Ð þš  Ðà  àAs€I€told€you€at€the€beginning€of€trial,€an€indictment€is€simply€an€accusation.€€It€is€notÐ `ü  Ðevidence€of€anything.€€To€the€contrary,€each€defendant€is€presumed€to€be€innocent.€€Thus€eachÐ Â^  Ðdefendant,€even€though€charged,€begins€the€trial€with€no€evidence€against€[him]€[her].€€So€theÐ $À Ðpresumption€of€innocence€alone€is€sufficient€to€find€the€defendant€not€guilty€and€can€beÐ †" Ðovercome€only€if€the€Government€proves,€beyond€a€reasonable€doubt,€each€element€of€the€crimeÐ è„ Ðcharged.€Ð Jæ Ðà  àKeep€in€mind€that€you€must€give€separate€consideration€to€the€evidence€about€eachÐ ¬H Ðindividual€defendant.€€Each€defendant€is€entitled€to€be€treated€separately,€and€you€must€return€aÐ ª Ðseparate€verdict€for€each€defendant.€€Also€keep€in€mind€that€you€must€consider,€separately,€eachÐ p   Ðcrime€charged€against€each€individual€defendant,€and€must€return€a€separate€verdict€for€each€ofÐ Òn" Ðthose€crimes€charged.€Ð 4 Ð$ Ðà  à[There€is€no€burden€upon€a€defendant€to€prove€that€he€or€she€is€innocent.]€€[Accordingly,Ð –!2& Ðthe€fact€that€[a]€defendant€did€not€testify€must€not€be€considered€by€you€in€any€way,€or€evenÐ ø"”( Ðdiscussed,€in€arriving€at€your€verdict.]òò2óó€Ó€ÓÓ €ÓÐ Z$ö* ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¼%X, Ðà  à1.€€The€description€of€the€offense€should€be€the€same€as€that€utilized€with€InstructionÐ 'º . Ð1.01.€Ð  (¦!/ ÐÔ'œ¼%?àÔà  à2.€€The€sentences€in€this€paragraph€should€be€given€only€if€the€defendant€so€requests.€€TheÐ l)#1 Ðâ âCommittee€recommends€the€court€require€the€defense€make€this€request€on€the€record.€Ð X*ô#2 ÐÔ& : Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r©â#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%róâ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r:ã#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r‰ã#Ô:€€CriminalÐ Æb Ððððð13.01-13.04,€12.10,€12.12,€12.13€(5th€ed.€2000).€€Ô':dâÔÐ ²N Ðà  àòòSee€alsoóó€Committee€Comments,€Instructions€3.05€and€3.06,€òòsupraóó.€Ð  ° Ðà  àIn€òòUnited€States€v.€Naborsóó,€762€F.2d€642,€652€(8th€Cir.€1985),€the€court€held€that€theÐ v  Ðfollowing€instruction€sufficiently€informed€the€jury€that€it€was€deciding€the€guilt€or€innocence€ofÐ b þ Ðtwo€separate€individuals€on€two€separate€counts:€Ð N ê  Ðà0  àEach€offense,€and€the€evidence€pertaining€to€it,€should€be€considered€separately.€€The€factÐ °L  Ðthat€you€may€find€some€or€all€of€the€accused€guilty€or€not€guilty€of€one€of€the€offensesÐ œ8  Ðcharged€should€not€control€your€verdict€as€to€any€other€offense€charged€against€any€of€theÐ ˆ$  Ðdefendants.€Ð t (#(# ÐÖ€º¸Ø0ÖÓ €Óà@, , ìàò òÔ% €N ÔÔ  Ô3.09.€€ELEMENTS€OF€OFFENSE€„€BURDEN€OF€PROOFÔ ÏçÔó óˆÐ d ÐÖ€¼ºØ1ÖÑ8€w,XXdìXdì8ÑÌà  àÓ€ÓThe€crime€of€_________òò1óó,€as€charged€in€[Count€___€of]€the€indictment,€has€____Ð <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,€__________________________________________________________________;€Ð  œ Ðà  àòòTwoóó,€_______________________________________________________________;€and€Ð b þ Ðà  àòòEtc.óó,€__________________________________________________________________.Ð Ä `  Ðà  àIf€all€of€[these]€[the]òò2óó€elements€have€been€proved€beyond€a€reasonable€doubt€as€to€[theÐ &  Ðdefendant]€[defendant€(name)]€[and€if€it€has€further€been€proved€beyond€a€reasonable€doubt€thatÐ ˆ$  Ð[the€defendant)€[defendant€(name)]€was€not€[entrapped]€[acting€in€self€defense],€[acting€inÐ ê†  Ðdefense€of€________]€[as€defined€in€Instruction€No.€____]];òò3óó€then€you€must€find€[the€defendant]Ð Lè  Ð[defendant€(name)]€guilty€of€the€crime€charged€[under€Count€_____];€òòóóotherwise€you€must€findÐ ®J Ð[the€defendant]€[defendant€(name)]€not€guilty€of€this€crime€[under€Count€____].òò4óóÓ€ÓÓ €ÓÐ ¬ ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€The€description€of€the€offense€should€be€the€same€as€that€utilized€with€InstructionsÐ Ôp Ð1.01€Ô':rgíÔand€3.05,€3.06,€3.07€or€3.08.€€There€may€be€occasions,€however,€when€the€trial€judge€prefersÐ À\ Ðnot€to€repeat€the€description€of€the€charge.€€In€that€event,€the€opening€clause€of€this€instructionÐ ¬H Ðshould€be€modified€to€read€as€follows:€Ð ˜4 Ðà0  àThe€crime€charged€in€[Count€___€of]€the€indictment€has€____€elements,€which€are:Ðú–(#(# Ðà  à2.€€Use€"the"€when€the€instruction€does€not€immediately€follow€the€enumeration€of€theÐ \ø! Ðelements,€such€as€in€a€multiple„offense€case.€Ð Hä" Ðà  à3.€€If€the€evidence€in€the€case€is€sufficient€to€support€submission€of€one€of€the€so-calledÐ ª F$ Ð"affirmative€defenses"€other€than€insanity,€coercion€or€withdrawal€from€conspiracy,€this€orÐ –!2% Ðsimilar€language€should€be€used€in€this€instruction,€òòUnited€States€v.€Nortonóó,€846€F.2d€521,Ð ‚"& Ð524-25€(8th€Cir.€1988),€and€the€appropriate€affirmative€defense€instruction€from€Section€9€shouldÐ n# ' Ðbe€given€separately.€€Other€defenses€which€the€government€has€the€burden€of€disproving€can€beÐ Z$ö( Ðhandled€in€a€similar€fashion€as€those€set€out€in€Section€9.€Ð F%â) Ðà  àThe€òòNortonóó€case€addressed€the€1986€edition€of€these€instructions€in€which€the€affirmativeÐ ¨&D + Ðdefense€was€placed€in€the€elements€section€of€this€instruction.€€The€Committee€believes€that€it€isÐ ”'0!, Ðconsistent€with€òòNortonóó€to€place€the€affirmative€defense€in€the€verdict€directing€paragraph€of€thisÐ €("- Ðinstruction€as€has€been€done€here€because€an€affirmative€defense€is€not€technically€a€negativeÐ l)#. Ðelement.€€However,€òòNortonóó€does€allow€the€affirmative€defense€to€be€placed€in€the€instruction€as€aÐ X*ô#/ Ðnegative€element.€Ð D+à$0 Ðà  àIf€the€defense€of€insanity€or€coercion€is€in€issue,€the€last€paragraph€of€this€instruction€3.09Ð d Ðshould€be€changed€to€read€as€follows:€Ð Pì Ðà0  àà ` àIf€all€of€these€elements€have€been€proved€beyond€a€reasonable€doubt,€you€mustÐ ²N Ðfind€the€defendant€òòguiltyóó,€òòunlessóó€you€also€find€that€the€defendant€was€[insane]€[coerced]€atÐ ž : Ðthe€time€of€the€crime,€[as€defined€in€Instruction€No.€___]€in€which€case€[he]€[she]€must€beÐ Š & Ðfound€òònot€guilty€by€reason€of€[insanity]€[coercion]óó.€€The€defendant€has€the€burden€ofÐ v  Ðproving,€[by€clear€and€convincing€evidence,€that€[he]€[she]€was€insane]€[by€the€greaterÐ b þ Ðweight€of€the€evidence,€that€[he]€[she]€was€coerced]€at€the€time€of€the€crime.€€TheÐ N ê ÐGovernment€does€not€have€the€burden€of€proving€that€the€defendant€was€[sane]€[notÐ :Ö  Ðcoerced].Ð& (#(# ÐInstruction€9.03,€defining€insanity,€or€9.02,€defining€coercion,€should€immediately€follow.€Ð ˆ$  Ðà  à4.€€In€many€of€the€elements€instructions€set€out€in€Section€6€of€this€Manual,€it€isÐ ê†  Ðrecommended€that€certain€evidentiary€matter€be€inserted€to€make€the€instruction€more€specific€toÐ Ör  Ðthe€case.€€For€example,€instead€of€the€word€"property,"€it€is€suggested€that€the€property€beÐ Â^  Ðspecifically€described.€€This€procedure€works€best€in€cases€in€which€not€more€than€one€violationÐ ®J Ðof€any€statute€is€charged.€€However,€in€multi„count€cases€charging€more€than€one€violation€of€theÐ š6 Ðsame€statute,€a€separate€elements€instruction€for€each€count€would€be€required€to€accomplishÐ †" Ðsuch€specificity.€€Where€the€court€wishes€to€avoid€giving€a€series€of€almost€identical€elementsÐ r Ðinstructions€pertaining€to€the€same€statutory€violation,€various€alternatives€can€be€used.€€Ð ^ú Ðà  àOne€suggestion€would€be€to€generalize€the€elements€instruction,€i.e.,€use€"property"Ð À\ Ðinstead€of€a€specific€description€of€the€property,€and€make€the€one€instruction€applicable€to€allÐ ¬H Ðcounts€charging€violations€of€the€same€statute.€€òòSeeóó€Appendix€A.€€In€cases€in€which€there€areÐ ˜4 Ðmore€factual€variables€between€counts,€the€element€which€changes€may€be€restated€for€each€countÐ „  Ðand€the€elements€which€do€not€change€given€only€once.€€òòSeeóó€Appendix€B.€Ð p  Ðà  àIn€districts€or€courts€in€which€the€practice€requires€a€separate€elements€instruction€forÐ Òn Ðeach€count,€if€the€written€instructions€are€to€be€sent€to€the€jury€room,€and€if€the€written€elementsÐ ¾Z Ðinstruction€(this€instruction€3.09)€for€each€count€is€written€out€in€full,€the€Committee€believes€it€isÐ ª F Ðsafe€if€the€trial€judge,€in€reading€the€instructions€to€the€jury,€reads€only€the€first€such€instructionÐ –!2  Ðin€full€and€thereafter,€as€to€the€same€kind€of€offense€in€subsequent€counts,€explains€that€theÐ ‚"! Ðelements€are€the€same€as€those€previously€read,€except€with€respect€to€the€element€which€isÐ n# " Ðdifferent,€then€reading€in€full€only€that€element.€Ð Z$ö# Ðà  àIn€multi„count€or€multi„defendant€cases€the€jury€should€be€instructed€to€consider€eachÐ ¼%X% Ðcount€or€each€defendant€separately.€€òòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÕ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r#Ô€PÔ‡Û%rÚXXw,ÔRACTICEÐ ¨&D & ÐANDÔ#†Xw,XÚÛ%rf#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÉ#Ô:€€Criminal€ðððð€12.12€and€12.13€(5th€ed.€2000).€Ð ”'0!' ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ö(’") Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%ræ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r0#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rw#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÆ#Ô:€€CriminalÐ X*ô#+ Ððð12.10€(5th€ed.€2000).€Ô':ö(`ÔÐ D+à$, Ðà  àThe€Committee€has€prepared€an€elements€instruction€for€many€of€the€most€commonlyÐ d Ðencountered€offenses.€€For€other€offenses€not€covered€by€this€effort,€the€Committee€suggests€aÐ Pì Ðreview€of€the€statute€and€controlling€case€law€to€determine€the€elements€of€an€offense,€followedÐ <Ø Ðby€a€careful€effort€to€state€those€elements€in€language€which€is€as€simple€and€direct€as€possible.€Ð ( Ä Ðà  àThis€instruction€3.09€is€designed€for€use€in€any€case,€regardless€of€the€number€ofÐ Š & Ðdefendants€or€counts€in€the€indictment.€€The€bracketed€phrases€set€forth€the€language€alternativesÐ v  Ðnecessary€where€the€case€involves€multiple€defendants,€or€multiple€counts,€or€both.€€Without€anyÐ b þ Ðof€the€bracketed€phrases,€the€instruction€serves€for€a€single€defendant,€single€count€case.€€TheÐ N ê Ðsame€thing€is€true€of€the€elements€instructions€in€Section€6.€€If€the€indictment€involves€two€orÐ :Ö  Ðmore€different€statutory€violations,€a€separate€elements€instruction€will€be€necessary€for€eachÐ &  Ðviolation.€€If€two€or€more€counts€charge€violations€of€the€same€statute,€the€elements€instructionÐ ®  Ðcan€be€handled€in€various€ways.€€òòSeeóó€Note€4,€òòsupraóó.€Ð  þš  ÐÓ €Óà@éé%ìàò òÔ% €P ÔÔ  ÔAppendix€AÔ 99 Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€interstate€transportation€of€stolen€securities,€as€charged€in€Counts€II-IX€ofÐ <Ø Ðthe€indictment,€has€four€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€security,€which€in€each€of€Counts€II-IX€is€alleged€to€be€a€separate€John€DoeÐ  œ ÐCompany€bond,€was€stolen;€Ð b þ Ðà  àòòTwoóó,€the€security€then€had€a€value€of€$5,000.00€or€more;€Ð Ä `  Ðà  àòòThreeóó,€after€the€security€was€stolen,€the€defendant€caused€it€to€be€moved€across€a€stateÐ &  Ðline;€and€Ð ˆ$  Ðà  àòòFouróó,€at€the€time€he€caused€the€security€to€be€moved€across€a€state€line,€the€defendantÐ ê†  Ðknew€that€it€had€been€stolen.€Ð Lè  Ðà  àIf€all€of€[these]€[the]€elements€have€been€proved€beyond€a€reasonable€doubt€as€to€[theÐ ®J Ðdefendant]€[defendant€(name)]€[and€if€it€has€further€been€proved€beyond€a€reasonable€doubt€thatÐ ¬ Ð[the€defendant]€[defendant€(name)]€was€not€[entrapped]€[acting€in€self€defense],€[acting€inÐ r Ðdefense€of€________]€[as€defined€in€Instruction€No.€____]];€then€you€must€find€[the€defendant]Ð Ôp Ð[defendant€(name)]€guilty€of€the€crime€charged€[under€Count€_____];€otherwise€you€must€findÐ 6Ò Ð[the€defendant]€[defendant€(name)]€not€guilty€of€this€crime€[under€Count€____].Ð ˜4 Ðà  à(Insert€an€instruction€advising€the€jury€to€consider€each€count€separately.€€òòSeeóó€š1A€KevinÐ ú–  ÐF.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r°#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rú#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rA#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r#Ô:€€Criminal€ðð€12.12€(5th€ed.Ð \ø" Ð2000).)€Ó €ÓÐ  ¾Z$ ÐÓ €ÓÓ€Óà@îî%ìàò òÔ% €S ÔÔ  ÔAppendix€BÔ 99ŠÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€distribution€of€cocaine,€as€charged€in€Counts€II,€III,€and€IV€of€theÐ <Ø Ðindictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€that€as€to€Count€II,€on€or€about€March€2,€1983,€in€the€District€of€Nebraska,€R.€RoeÐ  œ Ðknowingly€or€intentionally€did€unlawfully€distribute€cocaine;€Ð b þ Ðà  àthat€as€to€Count€III,€on€or€about€March€22,€1983,€in€the€District€of€Nebraska,€R.€RoeÐ Ä `  Ðknowingly€or€intentionally€did€unlawfully€distribute€cocaine;€Ð &  Ðà  àthat€as€to€Count€IV,€on€or€about€April€11,€1983,€in€the€District€of€Nebraska,€R.€RoeÐ ˆ$  Ðknowingly€or€intentionally€did€unlawfully€distribute€cocaine;€Ð ê†  Ðà  àòòTwoóó,€that€such€distribution€was€being€carried€out€in€furtherance€of€the€conspiracy€allegedÐ Lè  Ðin€Count€I;€and€Ð ®J Ðà  àòòThreeóó,€that€such€distribution€was€at€a€time€when€the€defendant€was€a€member€of€theÐ ¬ Ðconspiracy€alleged€in€Count€I.€Ð r Ðà  àIf€all€of€[these]€[the]€elements€have€been€proved€beyond€a€reasonable€doubt€as€to€[theÐ Ôp Ðdefendant]€[defendant€(name)]€[and€if€it€has€further€been€proved€beyond€a€reasonable€doubt€thatÐ 6Ò Ð[the€defendant]€[defendant€(name)]€was€not€[entrapped]€[acting€in€self€defense],€[acting€inÐ ˜4 Ðdefense€of€________]€[as€defined€in€Instruction€No.€____]];€then€you€must€find€[the€defendant]Ð ú–  Ð[defendant€(name)]€guilty€of€the€crime€charged€[under€Count€_____];€otherwise€you€must€findÐ \ø" Ð[the€defendant]€[defendant€(name)]€not€guilty€of€this€crime€[under€Count€____].Ð ¾Z$ Ðà  à(Insert€an€instruction€advising€the€jury€to€consider€each€count€and€each€defendantÐ  !¼& Ðseparately.€€òòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r˜#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%râ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r)#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rx#Ô:€Ð ‚"( ÐCriminal€ðð12.13€(5th€ed.€2000).)€Ð  ä#€* ÐÓ€ÓրȼØ2Öà@V V ìàò òÔ% €U ÔÔ  Ô3.10.€€LESSER„INCLUDED€OFFENSEÔ 99_Ôó óˆÐ d ÐÌÓ€Óà  àIf€your€verdict€under€Instruction€No.€___€[as€to€any€particular€defendant€charged]€[underÐ <Ø ÐCount€___]€is€not€guilty,€or€if,€after€all€reasonable€efforts,€you€are€unable€to€reach€a€verdict€[as€toÐ ž : Ðthat€defendant]€on€Instruction€No.€___,€you€should€record€that€decision€on€the€verdict€forms€andÐ  œ Ðgo€on€to€consider€whether€[that]€defendant€is€guilty€of€the€crime€of€(describe€lesser„includedÐ b þ Ðoffense)€under€this€instruction.€€The€crime€of€(describe€lesser„included€offense),€[a€lesser„Ð Ä `  Ðincluded€offense€of€the€crime€charged€in€[Count€___€of]€the€indictment,]òò1óó€has€_____€elements,Ð &  Ðwhich€are:€Ð ˆ$  Ðà  àòòOneóó,€__________________________________________________________________;€Ð ê†  Ðà  àòòTwoóó,€______________________________________________________________;€and€Ð Lè  Ðà  àòòEtc.óó,€__________________________________________________________________.€Ð ®J Ðà  àFor€you€to€find€[a]€defendant€guilty€of€this€crime€[,€a€lesser„included€offense,]€[underÐ ¬ ÐCount€___],€the€Government€must€prove€all€of€these€elements€beyond€a€reasonable€doubt€[as€toÐ r Ðthat€defendant];€otherwise€you€must€find€the€[that€particular]€defendant€not€guilty€of€this€crimeÐ Ôp Ð[,a€lesser„included€offense,]€[under€Count€___].òò2óó€Ó€ÓÓ €ÓÐ 6Ò ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˜4 Ðà  à1.€€The€bracketed€language€describing€the€offense€as€a€lesser„included€offense€is€optional.Ð ú–  ÐÔ'°˜Õ%Ôà  à2.€€If€a€lesser„included€offense€is€submitted€to€the€jury€using€this€instruction,€which€allowsÐ \ø" Ða€guilty€verdict€on€the€lesser„included€offense,€and€if€the€jury€finds€the€defendant€not€guilty€of€theÐ Hä# Ðgreater€offense€or€is€unable€to€reach€a€verdict€on€the€greater€offense,€the€verdict€form€should€beÐ 4 Ð$ Ðmodified€to€reflect€that€option.Ð  !¼% ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ‚"' Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,š€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÖ(#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r )#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rg)#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¶)#Ô:€€CriminalÐ ä#€) Ððð20.05€(5th€ed.€2000)Ô':‚"P(Ô.€Ð Ð$l* Ðà  àòòSee€generallyóó€Fed.€R.€Crim.€P.€31(c).Ð 2&Î, Ðà  àIn€òòUnited€States€v.€Hansonóó,€618€F.2d€1261,€1265€(8th€Cir.€1980),€the€Eighth€CircuitÐ ”'0!. Ðadopted€the€Second€Circuit's€holding€in€òòUnited€States€v.€Tsanasóó,€572€F.2d€340,€346€(2d€Cir.Ð €("/ Ð1978),€thatÐ l)#0 Ðà0  à[Ô_Ôn]eitherÔ_Ô€an€instruction€which€requires€a€unanimous€verdict€of€not€guilty€of€greaterÐ Î*j$2 Ðoffense€before€allowing€the€jury€to€move€to€the€lesser,€nor€an€instruction€that€it€isÐ º+V%3 Ðsufficient€to€move€to€the€lesser€if€the€jury€cannot€reach€agreement€on€a€conviction€for€theÐ d Ðgreater€offense,€is€wrong€as€a€matter€of€law,€and€the€court€may€give€the€one€that€it€prefersÐ Pì Ðif€the€defendant€expresses€no€choice;€if€he€does,€court€should€give€the€form€of€instructionÐ <Ø Ðwhich€defendant€seasonably€elects.Ð( Ä(#(# ÐòòSee€also€United€States€v.€Royóó,€843€F.2d€305,€309€(8th€Cir.1988).Ð Š & Ðà  àThe€Committee€recommends€the€use€of€an€instruction€such€as€this€one,€which€presentsÐ ì ˆ Ðboth€alternatives.Ð Ø t Ðà  àA€five„part€test€for€determining€whether€a€lesser„included€offense€instruction€should€beÐ :Ö  Ðgiven€as€been€enunciated€frequently.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Neissóó,€684€F.2d€570,€571€(8thÐ &  ÐCir.€1982).€€In€òòUnited€States€v.€Royóó,€843€F.2d€at€310,€the€court€set€out€a€four„part€test€which€doesÐ ®  Ðnot€include€the€"mutuality"€factor€of€the€five„part€test.Ð þš  Ðà  àThe€Supreme€Court€has€settled€a€conflict€among€the€circuits€and€adopted€an€"elements"Ð `ü  Ðtest€to€determine€when€one€offense€is€necessarily€included€in€another.Ð Lè  Ðà0  àà ` àUnder€this€test,€one€offense€is€not€necessarily€included€in€another€unless€theÐ ®J Ðelements€of€the€lesser€offense€are€a€subset€of€the€elements€of€the€charged€offense.€€WhereÐ š6 Ðthe€lesser€offense€requires€an€element€not€required€for€the€greater€offense,€no€instructionÐ †" Ðis€to€be€given€under€Rule€31(c).€€Ðr(#(# ÐòòSchmuck€v.€United€Statesóó,€489€U.S.€705,€715€(1989).Ð Ôp Ðà  àIn€a€simple€case€with€only€one€defendant,€the€lesser„included€offense€instruction€couldÐ 6Ò Ðstart€with€the€phrase,€"[i]f€you€do€not€find€the€defendant€guilty€of€___€under€Instruction€No.€___,Ð "¾ Ðthen€you€must€consider€whether€he€is€guilty€of€____€under€this€instruction."€€The€instructionÐ ª Ðshould€then€continue€with€an€elements€instruction€and€burden€of€proof€instruction€for€the€lesser„Ð ú– Ðincluded€offense.Ð  æ‚ ÐÖ€áÈØ3ÖÓ €Óà@ÃÃìàò òÔ% €W ÔÔ  Ô3.11.€€REASONABLE€DOUBTÔ oe6Ôó óˆÐ d ÐÌÓ€Óà  àA€reasonable€doubt€is€a€doubt€based€upon€reason€and€common€sense,€and€not€the€mereÐ <Ø Ðpossibility€of€innocence.€€A€reasonable€doubt€is€the€kind€of€doubt€that€would€make€a€reasonableÐ ž : Ðperson€hesitate€to€act.€€Proof€beyond€a€reasonable€doubt,€therefore,€must€be€proof€of€such€aÐ  œ Ðconvincing€character€that€a€reasonable€person€would€not€hesitate€to€rely€and€act€upon€it.€Ð b þ ÐHowever,€proof€beyond€a€reasonable€doubt€does€not€mean€proof€beyond€all€possible€doubt.Ð Ä `  ÐÔ& þ ÔÓ €ÓÓ€Óà@55!ìàò òCommittee€Commentsó óˆÐ &  Ðà  àThis€instruction€has€been€approved€by€the€Eighth€Circuit€on€numerous€occasions.€€òòSeeÐ ˆ$  Ðe.g.,€United€States€v.€Ô_ÔHessmanÔ_Ôóó,€493€F.3d€977€(8òòthóó€Cir.€2007).€€òòSee€alsoóó€òòUnited€States€v.€Conleyóó,Ð t  Ð523€F.2d€650,€655€(8th€Cir.€1975);€òòUnited€States€v.€Simmsóó,€18€F.3d€588€(8th€Cir.€1994);€òòUnitedÐ `ü  ÐStates€v.€Westóó,€28€F.3d€748€(8th€Cir.€1994).€€In€the€opinion€of€this€Committee,€this€instruction€isÐ Lè  Ðmore€helpful€to€the€average€juror€than€are€other€model€instructions€on€burden€of€proof.Ô'þ&®8ÔÐ 8Ô  Ðà  àThe€instruction€must€be€couched€in€terms€of€hesitation€to€act.€€òòUnited€States€v.€Conleyóó,Ð š6 Ð523€F.2d€at€655;€òòUnited€States€v.€Jensenóó,€561€F.2d€1297,€1300„01€(8th€Cir.€1977),€and€cases€citedÐ †" Ðtherein.Ð r Ðà  àIt€is€the€courtððs€duty€to€instruct€on€the€meaning€of€reasonable€doubt.€€òòFriedman€v.€UnitedÐ Ôp ÐStatesóó,€381€F.2d€155€(8th€Cir.€1967).€€A€constitutionally€inadequate€reasonable€doubt€instructionÐ À\ Ðis€òònot€harmless€erroróó.€€òòSullivan€v.€Louisianaóó,€508€U.S.€275€(1993).šÐ ¬H Ðà  àThis€instruction€does€not€use€the€phrases,€ð ðmoral€evidenceðð€or€ð ðmoral€certainty,ðð€whichÐ ª Ðraised€some€serious€questions€in€òòSandoval€v.€Californiaóó,€511€U.S.€1101€(1994),€nor€otherÐ ú– Ðoffensive€language,€such€as€requiring€a€ð ðgrave€uncertainty,ðð€which€was€found€objectionable€inÐ æ‚ ÐòòCage€v.€Louisianaóó,€498€U.S.€39,€40€(1990).€€The€Supreme€Court€reiterated€in€òòSandovalóó€that€theÐ Òn ÐConstitution€does€not€mandate€any€particular€form€of€words.€€The€ð ðhesitate€to€actðð€formulation€inÐ ¾Z  Ðthis€instruction€is€permissible€and,€as€noted€above,€has€been€regularly€approved€in€the€EighthÐ ª F! ÐCircuit.Ð  –!2" ÐÖ€ãáØ4ÖÓ €Óà@˜˜ìàò òÔ% €Y ÔÔ  Ô3.12.€€ELECTION€OF€FOREPERSON;€DUTY€TO€DELIBERATE;€ˆÐ d Ðà@  ìàPUNISHMENT€NOT€A€FACTOR;€COMMUNICATIONS€ˆÐ Pì Ðà@  ìàWITH€COURT;€CAUTIONARY;€VERDICT€FORMÔ oesAÔó óˆÐ <Ø ÐÌÓ€Óà  àIn€conducting€your€deliberations€and€returning€your€verdict,€there€are€certain€rules€youÐ  ° Ðmust€follow.€€I€shall€list€those€rules€for€you€now.€Ð v  Ðà  àòòFirstóó,€when€you€go€to€the€jury€room,€you€must€select€one€of€your€members€as€yourÐ Ø t Ðforeperson.€€That€person€will€preside€over€your€discussions€and€speak€for€you€here€in€court.€Ð :Ö  Ðà  àòòSecondóó,€it€is€your€duty,€as€jurors,€to€discuss€this€case€with€one€another€in€the€jury€room.€Ð œ8  ÐYou€should€try€to€reach€agreement€if€you€can€do€so€without€violence€to€individual€judgment,Ð þš  Ðbecause€a€verdict€-€whether€guilty€or€not€guilty€-€must€be€unanimous.€Ð `ü  Ðà  àEach€of€you€must€make€your€own€conscientious€decision,€but€only€after€you€haveÐ Â^  Ðconsidered€all€the€evidence,€discussed€it€fully€with€your€fellow€jurors,€and€listened€to€the€views€ofÐ $À Ðyour€fellow€jurors.€Ð †" Ðà  àDo€not€be€afraid€to€change€your€opinions€if€the€discussion€persuades€you€that€you€should.€Ð è„ ÐBut€do€not€come€to€a€decision€simply€because€other€jurors€think€it€is€right,€or€simply€to€reach€aÐ Jæ Ðverdict.€Ð ¬H Ðà  àòòThirdóó,€if€the€defendant€is€found€guilty,€the€sentence€to€be€imposed€is€my€responsibility.€Ð ª ÐYou€may€not€consider€punishment€in€any€way€in€deciding€whether€the€Government€has€proved€itsÐ p   Ðcase€beyond€a€reasonable€doubt.€Ð Òn" Ðà  àòòFourthóó,€if€you€need€to€communicate€with€me€during€your€deliberations,€you€may€send€aÐ 4 Ð$ Ðnote€to€me€through€the€marshal€or€bailiff,€signed€by€one€or€more€jurors.€€I€will€respond€as€soon€asÐ –!2& Ðpossible€either€in€writing€or€orally€in€open€court.€€Remember€that€you€should€not€tell€anyone€-Ð ø"”( Ðincluding€me€-€how€your€votes€stand€numerically.€Ð Z$ö* Ðà  àòòFifthóó,€your€verdict€must€be€based€solely€on€the€evidence€and€on€the€law€which€I€haveÐ ¼%X, Ðgiven€to€you€in€my€instructions.€€The€verdict€whether€guilty€or€not€guilty€must€be€unanimous.€Ð 'º . ÐNothing€I€have€said€or€done€is€intended€to€suggest€what€your€verdict€should€be€-€that€is€entirelyÐ €("0 Ðâ âfor€you€to€decide.òò1óó€Ð â)~#2 Ðà  àòòFinallyóó,€the€verdict€form€is€simply€the€written€notice€of€the€decision€that€you€reach€in€thisÐ d Ðâ âcase.€€[The€form€reads:€€(read€form)].€€You€will€take€this€form€to€the€jury€room,€and€when€each€ofÐ Æb Ðyou€has€agreed€on€the€verdict[s],€your€foreperson€will€fill€in€the€form,€sign€and€date€it,€and€adviseÐ ( Ä Ðthe€marshal€or€bailiff€that€you€are€ready€to€return€to€the€courtroom.€Ð Š & Ðà  à[If€more€than€one€form€was€furnished,€you€will€bring€the€unused€forms€in€with€you.]Ð ì ˆ ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ N ê  Ðà  à1.€€The€trial€judge€may€give€a€fair€summary€of€the€evidence€as€long€as€the€comments€doÐ °L  Ðnot€relieve€the€jury€of€its€duty€to€find€that€each€element€of€the€charged€offense€is€satisfied.€Ð œ8  ÐJudges€may,€Ô'&N NÔin€appropriate€cases,€focus€the€jury€on€the€primary€disputed€issues,€but€cautionÐ ˆ$  Ðshould€be€exercised€in€doing€so.€€òòSeeóó€òòUnited€States€v.€Neumannóó,€887€F.2d€880€(8th€Cir.€òòen€bancóóÐ t  Ð1989).€Ð `ü  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Â^  Ðà  àAs€to€the€subject€covered€by€the€"First"€point,€òòseeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%ršQ#ÔÐ $À ÐJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%røQ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r?R#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rŽR#Ô:€€Criminal€ðð€20.01€(5th€ed.€2000)Ô':ÂäPÔ.€Ð ¬ Ðà  àAs€to€the€subject€covered€by€the€"Second"€point,€òòseeóó€š1A€Kevin€F.€OððMalley,€et€al.,Ð r КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r©S#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%róS#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r:T#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r‰T#Ô:€€Criminal€ðð€20.01€(5th€ed.€2000).€Ð ^ú Ðà  àThe€Eighth€Circuit€has€indicated€that€if€a€hammer€instruction€is€to€be€given,€it€isÐ À\ Ðpreferable€that€it€be€included€in€the€final€instructions€given€before€the€jurors€begin€theirÐ ¬H Ðdeliberations.€€òòPotter€v.€United€Statesóó,€691€F.2d€1275,€1277€(8th€Cir.€1982);€òòUnited€States€v.Ð ˜4 ÐArpanóó,€887€F.2d€873€(8th€Cir.€òòen€bancóó€1989).€€Accordingly,€the€Committee€recommends€that€theÐ „  Ðmatter€covered€by€this€"Second"€point€always€be€included€as€a€part€of€the€original€finalÐ p  Ðinstructions.€Ð \ø Ðà  àIn€this€circuit,€a€defendant€does€not€have€a€right€to€an€instruction€that€the€jury€has€the€rightÐ ¾Z! Ðto€reach€no€decision.€€òòUnited€States€v.€Arpanóó,€òòreaffirmingóó€òòUnited€States€v.€Skillmanóó,€442€F.2d€542Ð ª F" Ð(8th€Cir.€1971).€Ð –!2# Ðà  àAs€to€when€and€in€what€circumstances€a€supplemental€instruction€may€be€appropriate,€òòseeóóÐ ø"”% ÐInstruction€10.02€òòinfraóó.€Ð ä#€& Ðà  àAs€to€the€subject€covered€by€the€"Third"€point,€òòseeóó€š1A€Kevin€F.€OððMalley,€et€al.,Ð F%â( КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÝY#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r'Z#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rnZ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r½Z#Ô:€€Criminal€ðð€20.01€(5th€ed.€2000).€Ð 2&Î) Ðà  àAs€to€the€subject€covered€by€the€"Fourth"€point,€òòseeóó€š1A€Kevin€F.€OððMalley,€et€al.,Ð ”'0!+ КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÅ[#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r\#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rV\#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¥\#Ô:€€Criminal€ðð€20.01€(5th€ed.€2000).€Ð €(", Ðà  àAs€to€the€subject€covered€by€the€"Fifth"€point,€òòseeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r˜]#ÔÐ â)~#. Ðâ âJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r^#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rG^#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r–^#Ô:€€Criminal€ðð€20.01€(5th€ed.€2000).€Ð Î*j$/ Ðà  àAs€to€the€subject€covered€by€the€"Final"€point,€òòseeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r‰_#ÔÐ d Ðâ âJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rñ_#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r8`#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r‡`#Ô:€€Criminal€ðð€20.01€(5th€ed.€2000).€Ð  Pì ÐÖ€åãØ5ÖÓ €Óà@””$ìàò òÔ% €[ ÔÔ  Ô3.13.€€VENUEÔ oe[aÔó óˆÐ d ÐÌà  àÓ€ÓThe€Government€must€prove€by€the€greater€weight€of€the€evidence€that€the€offenseÐ <Ø Ðchargedòò1,2óó€was€begun,€continued€or€completedòò3óó€in€the€(insert€district)€District€of€(insert€State)òò4óó.Ð ž : Ðà  àTo€prove€something€by€the€greater€weight€of€the€evidence€is€to€prove€that€it€is€more€likelyÐ  œ Ðtrue€than€not€true.€€This€is€a€lesser€standard€than€proof€beyond€a€reasonable€doubt.€€TheÐ b þ Ðrequirement€of€proof€beyond€a€reasonable€doubt€applies€to€all€other€issues€in€the€case€[exceptÐ Ä `  Ðinsanity].Ó€ÓÓ €ÓÐ &  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˆ$  Ðà  à1.€€The€actual€offense€as€charged€in€the€elements€instruction€may€be€named€in€lieu€ofÐ ê†  Ðusing€the€phrase€"offense€charged."€€If€the€elements€instructions€do€not€submit€all€alternativeÐ Ör  Ðmeans€of€Ô'&ˆPdÔcommitting€the€crime€charged,€this€instruction€should€be€revised€to€make€it€consistentÐ Â^  Ðwith€the€elements€instructions.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Shyresóó,€898€F.2d€647,€657„58€(8th€Cir.Ð ®J Ð1990).Ð š6 Ðà  à2.€€The€instruction€should€be€tailored€to€fit€the€individual€case.€€In€describing€the€eventÐ ü˜ Ðthat€establishes€venue,€the€court€should€be€careful€not€to€assume€as€true€something€that€must€beÐ è„ Ðproven€beyond€a€reasonable€doubt,€such€as€the€use€of€the€mail.€€Ð Ôp Ðà  à3.€€This€language€applies€to€continuous€crimes.€€òòSeeóó€18€U.S.C.€ðð€3237(a)€(1988).Ð 6Ò Ðà  à4.€€Where€appropriate,€the€geographic€area€encompassed€by€the€district€may€be€set€out€inÐ ˜4 Ðan€instruction.šÐ „  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ æ‚ Ðà  àVenue€is€a€question€of€fact€for€the€jury€and€€must€be€instructed€upon€if€in€issue.€€However,Ð Hä! Ðfailure€to€give€such€an€instruction€is€not€reversible€error€where€the€evidence€establishing€venue€isÐ 4 Ð" ÐÔ'&æ iÔvery€clear€or€uncontradicted.€€òòUnited€States€v.€Redfearnóó,€906€F.2d€352€(8th€Cir.€1990);€òòUnitedÐ  !¼# ÐStates€v.€Netzóó,€758€F.2d€1308,€1312€(8th€Cir.€1985);€òòUnited€States€v.€Moecklyóó,€769€F.2d€453,€461Ð  "¨$ Ð(8th€Cir.€1985);€òòUnited€States€v.€Shyresóó,€898€F.2d€647,€657„58€(8th€Cir.€1990).Ð ø"”% Ðà  àVenue€need€only€be€proved€by€a€preponderance€of€the€evidence.€€òòNetzóó,€758€F.2d€at€1312.Ð  Z$ö' ÐÓ €ÓÔr<ìèdÔÔw<ìÔšÑ8€w,XXdìXXdì8ÑÖ€çÞì'ÖÑ  ÑÖ€èåØ6Öà@B B ìàÔ% €\ ÔÔ  Ôò ò4.00.€€FINAL€INSTRUCTIONS:€€CONSIDERATION€OF€ˆÐ °x Ðà@2 2 ìàPARTICULAR€KINDS€OF€EVIDENCEˆÐ œd  ÐÌà@ ìàIntroductory€Commentó óÔ irmԈРt<  ÐÌÓ €Óà  àThis€section€covers€jury€instructions€which€address€particular€kinds€of€evidence.€€TheseÐ L   Ðinstructions,€like€those€in€Section€2€of€this€Manual,€are€in€a€variety€of€forms.€€Some€are€limitingÐ 8  Ðinstructions€which€must€be€given€if€requested€under€Fed.€R.€Evid.€105,€others€are€purelyÐ $ ì  Ðdiscretionary€with€the€court€and€often€need€not€be€given€if€the€same€concept€is€covered€in€a€moreÐ  Ø  Ðgeneral€instruction.€€Others€serve€to€explain€to€the€jury€how€to€evaluate€certain€kinds€of€evidenceÐ ü Ä  Ðthat€may€be€outside€its€daily€experience.€Ð è °  Ðà  àThe€instructions€set€out€in€Section€2€are€not€repeated€here;€however,€any€of€thoseÐ J Ðinstructions€which€were€given€during€trial€should€in€most€cases€be€repeated€in€the€final€charge.€Ð 6þ ÐMoreover€any€Section€2€instruction€which€was€not€given€during€trial€but€is€applicable€andÐ "ê Ðproperly€requested€could€be€appropriately€given€during€the€final€charge.€Ð Ö Ðà  àCertain€credibility€instructions€are€covered€in€this€section.€€The€Committee€Comments€toÐ p8 ÐInstruction€3.04,€òòsupraóó,€cover€credibility€in€general€and€situations€in€which€a€specific€instructionÐ \$ Ðmay€or€may€not€be€appropriate.€Ð H Ðà  àThe€instructions€in€this€section€cover€the€most€commonly€encountered€situations.€€OtherÐ ªr Ðinstructions€may€be€appropriate€in€particular€cases.€Ð  –^‘ ÐÖ€èì8ÖÓ €Óà@è è ìàò òÔ% €^ ÔÔ  Ô4.01.€€DEFENDANT'S€FAILURE€TO€TESTIFYÔ irtÔó óˆÐ d ÐÌÓ€ÓÓ €Óà@c c ìà(See€last€paragraph€of€Instructions€3.05€-€3.08,€òòsupraóó.)€Ó€ÓˆÐ <Ø ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ž : ÐÔ'Nž uÔà  àAlthough€it€is€not€reversible€error€to€give€an€instruction€such€as€this€without€specificÐ  œ Ðrequest,€or€even€over€the€defendant's€objection,€òòLakeside€v.€Oregonóó,€435€U.S.€333€(1978),€theÐ ì ˆ ÐCommittee€recommends€that€the€instruction€not€be€given€unless€a€defendant€specifically€requestsÐ Ø t Ðit.€€If€the€instruction€is€requested,€it€òòmustóó€be€given,€òòBruno€v.€United€Statesóó,€308€U.S.€287,€292-94Ð Ä `  Ð(1939),€even€in€a€multi-defendant€trial€where€another€defendant€objects.€€òòId.óó;€òòUnited€States€v.Ð °L  ÐSchroederóó,€433€F.2d€846,€851€(8th€Cir.€1970).€Ð œ8  Ðà  àThe€Committee€recommends€the€practice€of€inquiring,€on€the€record€but€òòoutsideóó€the€jury'sÐ þš  Ðpresence,€whether€the€defendant€elects€to€testify€and,€if€not,€whether€this€instruction€is€desired.€Ð  ê†  ÐÖ€éØ9ÖÓ €Óà@UUìàò òÔ% €` ÔÔ  Ô4.02.€€CHARACTER€AND€REPUTATION,€FOR€à@@¥ ¥ ìàTRUTHFULNESS,€ˆÐ d Ðà@  ìàWITNESSES€(Including€the€Defendant)Ô irÜyÔ€òò1óóó óˆÐ Pì ÐÌà  àÓ€ÓYou€have€heard€testimony€about€the€character€and€reputation€of€[(name€of€witness)]€[theÐ ( Ä Ðdefendant]€[defendant€(name)]€for€truthfulness.€€You€may€consider€this€evidence€only€in€decidingÐ Š & Ðwhether€to€believe€the€testimony€of€[(name€of€witness)]€[the€defendant]€[defendant€(name)]€andÐ ì ˆ Ðhow€much€weight€to€give€to€it.€Ó€ÓÓ €ÓÐ N ê  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ °L  Ðà  à1.€€This€instruction€should€òònotóó€be€used€where€a€defendant's€character€for€truthfulness€inÐ ®  Ðfact€represents€a€"pertinent€character€trait"€within€the€scope€of€Rule€404(a)(1).€€òòUnited€States€v.Ð þš  ÐKrappóó,€Ô'&°z|Ô815€F.2d€1183,€1187€(8th€Cir.€1987).€€In€a€perjury€case,€for€example,€the€defendant'sÐ ê†  Ðcharacter€for€truthfulness€would€presumably€be€a€"pertinent€character€trait,"€and€it€would€beÐ Ör  Ðerroneous€to€instruct€that€the€evidence€could€be€used€only€in€deciding€whether€to€believe€theÐ Â^  Ðdefendant's€testimony€(assuming€that€he€testified).€€The€same€problem€may€also€exist€with€respectÐ ®J Ðto€certain€types€of€fraud€charges€and€other€offenses.€€In€any€such€situation,€if€an€instruction€is€toÐ š6 Ðbe€given€at€all€(òòseeóó€Committee€Comments,€Instruction€4.03,€òòinfraóó,€and€òòUnited€States€v.€Krappóó,Ð †" Ð815€F.2d€at€1187-88),€it€should€advise€the€jury€that€it€"may€consider€this€evidence€in€decidingÐ r Ðwhether€or€not€the€defendant€committed€the€crime€of€__________."€€A€similar€sort€of€instruction,Ð ^ú Ðif€one€is€desired,€may€be€used€to€cover€evidence€of€other€pertinent€character€traits€within€RuleÐ Jæ Ð404(a)(1)€(e.g.,€peaceableness€in€a€murder€case,€etc.),€and€to€cover€pertinent€character€traits€of€aÐ 6Ò Ðòòvictimóó€within€the€scope€of€Rule€404(a)(2)€(e.g.,€victim's€aggressive€character€where€self€defenseÐ "¾ Ðis€a€defense).€Ð ª ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ p  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r—ƒ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ráƒ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r(„#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rw„#Ô:€€CriminalÐ Òn Ððð15.09€(5th€ed.€2000)Ô':pƒÔ.€€òòSee€generallyóó€Fed.€R.€Evid.€404(a)(3),€608.€Ð ¾Z Ðà  àOnce€a€criminal€defendant€has€testified,€his€or€her€character€for€truth€and€veracity€may€beÐ  !¼! Ðattacked,€as€with€any€other€witness,€in€the€ways€provided€for€in€Rule€608€(and€609),€Fed.€R.€Evid.€Ð  "¨" ÐIt€is€not€necessary,€for€that€purpose,€that€he€or€she€first€have€attempted€to€introduce€evidence€ofÐ ø"”# Ðhis€or€her€good€character€for€truth€and€veracity,€òòUnited€States€v.€Walkeróó,€313€F.2d€236,€238€(6thÐ ä#€$ ÐCir.€1963).€€A€defendant€who€testifies€has€no€right€to€offer€evidence€of€his€or€her€character€forÐ Ð$l% Ðtruthfulness€(as€a€witness)€unless€that€character€has€first€been€attacked,€either€in€a€way€providedÐ ¼%X& Ðfor€in€Rule€608€or€in€some€other€actual€way.€€òòSeeóó€3€òòWeinstein's€Evidenceóó€ðð€608[08]€(1985).€Ð ¨&D ' ÐThere€are,€however,€constitutional€limitations€on€excluding€character€evidence€offered€by€aÐ ”'0!( Ðdefendant.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Watsonóó,€669€F.2d€1374,€1381-84€(11th€Cir.€1982);€òòUnitedÐ €(") ÐStates€v.€Davisóó,€639€F.2d€239€(5th€Cir.€1981).€Ð l)#* Ðà  àIf€the€defendant€offers€evidence€of€a€pertinent€character€trait€of€the€victim,€evidence€of€theÐ Î*j$, Ðdefendantððs€own€character€as€to€that€trait€becomes€admissible.€€Fed.€R.€Evid.€404(a)(1).Ð  º+V%- ÐÖ€ÊéØ:ÖÓ €Óà@  ìàò òÔ% €b ÔÔ  Ô4.03.€€DEFENDANT'S€CHARACTER€"STANDING€ALONE"Ô ir)‹Ôó óˆÐ d ÐÌÓ€ÓÓ €Óà@ëëìà(No€instruction€recommended.)€Ó€ÓˆÐ <Ø ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ ž : Ðà  àòòSeeóó€òòUnited€States€v.€Krappóó,€815€F.2d€1183,€1187€(8th€Cir.€1987).€€Ð  œ ÐÔ'°ž ŒÔà  àRule€405€of€the€Federal€Rules€of€Evidence€allows€testimony€as€to€the€reputation€of€theÐ b þ Ðdefendant€or€an€opinion€as€to€the€defendant's€character€in€cases€where€evidence€of€character€or€aÐ N ê  Ðcharacter€trait€is€admissible.€€The€Eighth€Circuit,€along€with€some€other€circuits,€has€disapprovedÐ :Ö  Ðthe€giving€of€a€"standing€alone"€instruction€(that€proof€of€the€defendant's€good€character,€standingÐ &  Ðalone,€may€be€sufficient€to€create€a€reasonable€doubt€with€respect€to€such€evidence)€with€regardÐ ®  Ðto€such€evidence.€€òòUnited€States€v.€Krappóó;€òòBlack€v.€United€Statesóó,€309€F.2d€331,€343-44€(8th€Cir.Ð þš  Ð1962).€€òòSee€alsoóó€òòUnited€States€v.€Winteróó,€663€F.2d€1120,€1148€(1st€Cir.€1981);€holding€that€suchÐ ê†  Ðan€instruction€is€an€unwarranted€invasion€of€the€jury's€special€function€in€deciding€what€weight€toÐ Ör  Ðgive€any€particular€item€of€evidence;€òòUnited€States€v.€Loganóó,€717€F.2d€84€(3d€Cir.€1983);€òòUnitedÐ Â^  ÐStates€v.€Foleyóó,€598€F.2d€1323€(4th€Cir.€1979);€òòUnited€States€v.€Ruppelóó,€666€F.2d€261€(5th€Cir.Ð ®J Ð1982).€€òòBut€seeóó€Justice€White's€dissent€to€the€denial€of€certiorari€in€òòSpangler€v.€United€Statesóó,€487Ð š6 ÐU.S.€1224€(1988).€Ð †" Ðà  àA€"standing€alone"€instruction€on€good€character€does€appear€in€many€jury€instructionÐ è„ Ðmanuals.€€òòSeeóó€Federal€Judicial€Center,€Pattern€Criminal€Jury€Instructions€ðð€51€(1988);€SeventhÐ Ôp ÐCircuit€Federal€Jury€Instructions€ðð€3.06€(1999);€Eleventh€Circuit€Pattern€Jury€Instructions:€Ð À\ ÐCriminal€(Special)€ðð€11€(1997).€Ð ¬H Ðà  àVolume€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r(”#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rr”#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¹”#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r•#Ô:€Ð ª ÐCriminal€ðð15.15€(5th€ed.€2000)€proposes€an€instruction€which€does€not€use€the€"standing€alone"Ð ú– Ðlanguage€but€simply€directs€the€jury€to€consider€that€evidence€along€with€the€other€evidence€inÐ æ‚ Ðthe€case.€€Ð  Òn ÐÖ€ÌÊØ;ÖÓ €Óà@îîìàò òÔ% €d ÔÔ  Ô4.04.€€TESTIMONY€UNDER€GRANT€OF€IMMUNITY€OR€PLEA€BARGAINÔ ir–Ôó óˆÐ d ÐÌÓ€Óà  àYou€have€heard€evidence€that€(name€of€witness)€[has€made€a€plea€agreement€with€theÐ <Ø ÐGovernment]€[has€received€a€promise€from€the€Government€that€[he]€[she]€will€not€beÐ ž : Ðprosecuted]€[has€received€a€promise€from€the€Government€that€[his]€[her]€testimony€will€not€beÐ  œ Ðused€against€[him]€[her]€in€a€criminal€case].€€[His]€[Her]€testimony€was€received€in€evidence€andÐ b þ Ðmay€be€considered€by€you.€€You€may€give€[his]€[her]€testimony€such€weight€as€you€think€itÐ Ä `  Ðdeserves.€€Whether€or€not€[his]€[her]€testimony€may€have€been€influenced€by€the€[pleaÐ &  Ðagreement]€[Government's€promise]€is€for€you€to€determine.€Ð ˆ$  Ðà  à[The€witness's€guilty€plea€cannot€be€considered€by€you€as€any€evidence€of€this€defendant'sÐ ê†  Ðguilt.€€The€witness's€guilty€plea€can€be€considered€by€you€only€for€the€purpose€of€determiningÐ Lè  Ðhow€much,€if€at€all,€to€rely€upon€the€witness's€testimony.]òò1óóÓ€ÓÓ €ÓÐ ®J ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€Use€only€where€the€government's€promises€have€been€coupled€with€a€guilty€plea€by€theÐ r Ðwitness.€€Where€there€has€simply€been€a€guilty€plea€by€the€witness€to€the€crime€on€trial,€withoutÐ ^ú Ðany€Ô'&›Ôevidence€of€a€plea€bargain€or€other€governmental€promise,€use€Instruction€2.19,€òòsupraóó.šÐ Jæ ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¬H Ðà  àòòSeeóó€òòUnited€States€v.€Ridingeróó,€805€F.2d€818,€821€n.5€(8th€Cir.€1986);€š1A€Kevin€F.Ð ª ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r=ž#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r‡ž#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rΞ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rŸ#Ô:€€Criminal€ðð15.03€(5th€ed.€2000);Ð ú– ÐòòUnited€States€v.€Ô'&¬[ÔHastingsóó,€577€F.2d€38,€42€(8th€Cir.€1978).€€Ð æ‚  Ðà  àThis€instruction€is€designed€to€be€used€in€normal€situations€involving€a€plea€agreement€orÐ Hä" Ða€grant€of€immunity€under€18€U.S.C.€ðð€6002.€€If€in€a€particular€case€a€witness€receives€a€differentÐ 4 Ð# Ðor€additional€promise€from€the€government,€there€should€be€an€appropriate€modification€of€thisÐ  !¼$ Ðinstruction.€Ð  "¨% Ðà  àAn€instruction€regarding€the€credibility€of€immunized€witnesses,€accomplices,Ð n# ' Ðinformants,€etc.€is€permissible€and€the€Committee€recommends€one€be€given€if€requested.€Ð Z$ö( ÐFailure€to€give€such€an€instruction€is€not€reversible€error,€however,€where€the€testimony€isÐ F%â) Ðcorroborated.€€òòUnited€States€v.€McGinnisóó,€783€F.2d€755,€758€(8th€Cir.€1986);€òòUnited€States€v.Ð 2&Î* ÐMothershedóó,€859€F.2d€585,€592€(8th€Cir.€1988).€€Ð 'º + Ðà  àWhere€the€testimony€is€uncorroborated,€it€is€the€better€practice€to€caution€the€jury.€€TheÐ €("- Ðjury€is€sufficiently€cautioned€when€it€is€directed€to€the€specific€factors€the€jury€should€take€intoÐ l)#. Ðaccount€in€assessing€the€credibility€of€these€categories€of€witnesses.€€òòUnited€States€v.€Bowmanóó,Ð X*ô#/ Ðâ â798€F.2d€333,€334-35€(8th€Cir.€1986);€òòUnited€States€v.€Ridingeróó,€805€F.2d€818,€821-22€(8th€Cir.Ð D+à$0 Ð1986).€€This€instruction€and€Instructions€4.05A€and€4.06€were€drafted€to€direct€the€jury's€attentionÐ d Ðto€the€specific€factors.€Ð Pì Ðâ âà  àIt€should€be€noted€that,€although€other€circuits€have€treated€the€failure€to€caution€the€juryÐ ²N Ðon€uncorroborated€testimony€as€reversible€error,€òòUnited€States€v.€McGinnisóó,€783€F.2d€at€758,€thisÐ ž : Ðcircuit€has€long€held€that€there€is€no€such€"absolute€and€mandatory€duty€.€.€.€imposed€upon€theÐ Š & Ðcourt€to€advise€the€jury€by€instruction€that€they€should€consider€the€testimony€of€anÐ v  Ðuncorroborated€accomplice€with€caution."€€òòEsters€v.€United€Statesóó,€260€F.2d€393,€397€(8th€Cir.Ð b þ Ð1958),€òòconstruingóó€òòCaminetti€v.€United€Statesóó,€242€U.S.€470,€496€(1917).€€This€circuit€continues€toÐ N ê Ðconstrue€òòCaminettióó€in€accord€with€òòEstersóó.€€òòUnited€States€v.€Rockelmanóó,€49€F.3d€418,€423€(8th€Cir.Ð :Ö  Ð1995);€òòUnited€States€v.€Schoenfeldóó,€867€F.2d€1059,€1061-62€(8th€Cir.€1989);€òòUnited€States€v.Ð &  ÐShriveróó,€838€F.2d€980,€983€(8th€Cir.€1988).€€Ð ®  Ðà  àWhile€òòCaminettióó€acknowledges€that€the€better€practice€is€to€"caution"€the€jury,€it€did€notÐ t  Ðrequire€that€the€jury€be€so€instructed€or€specify€the€form€of€any€such€"caution."€€Often€this€hasÐ `ü  Ðbeen€accomplished€by€what€this€circuit€has€labeled€a€"cautionary€tail,"€language€to€the€effect€thatÐ Lè  Ðtestimony€from€such€a€witness€must€be€examined€with€greater€caution€and€care€than€ordinaryÐ 8Ô  Ðwitnesses.€€òòSeeóó,€òòe.g.óó,€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rŽ¬#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rج#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r­#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rn­#Ô:€Ð $À ÐCriminal€ðððð€15.02„.05€(5th€ed.€2000).€€However€this€Circuit€has€criticized€the€use€of€aÐ ¬ Ð"cautionary€tail"€as€an€unwarranted€intrusion€into€the€jury's€functions.€Ð ü˜ Ðà  àAccordingly,€if€an€instruction€along€with€the€lines€of€the€text€is€given,€which€identifiesÐ ^ú Ðspecific€factors€the€jury€should€take€into€account€in€assessing€credibility,€the€CommitteeÐ Jæ Ðrecommends€against€the€use€of€a€"cautionary€tail"€in€these€kinds€of€instructions€(4.04,€4.05A,€andÐ 6Ò Ð4.06).€Ð  "¾ ÐÖ€ÐÌØ<ÖÓ €Óà@Õ Õ ìàò òÔ% €f ÔÔ  Ô4.05A.€€TESTIMONY€OF€ACCOMPLICEÔ irj°Ôó óˆÐ d ÐÌà  àÓ€ÓYou€have€heard€testimony€from€(name€of€witness)€who€stated€that€[he]€[she]€participatedÐ <Ø Ðin€the€crime€charged€against€the€defendant.€€[His]€[Her]€testimony€was€received€in€evidence€andÐ ž : Ðmay€be€considered€by€you.€€You€may€give€[his]€[her]€testimony€such€weight€as€you€think€itÐ  œ Ðdeserves.€€Whether€or€not€[his]€[her]€testimony€may€have€been€influenced€by€[his]€[her]€desire€toÐ b þ Ðplease€the€Government€or€to€strike€a€good€bargain€with€the€Government€about€[his]€[her]€ownÐ Ä `  Ðsituation€is€for€you€to€determine.€Ó€ÓÓ €ÓÐ &  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àòòSeeóó€òòUnited€States€v.€Ridingeróó,€805€F.2d€818,€821€n.5€(8th€Cir.€1986);€š1A€Kevin€F.Ð ê†  ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rU´#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rŸ´#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%ræ´#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r5µ#Ô:€€Criminal€ðð€15.04€(5th€ed.€2000);Ð Ör  ÐòòÔ'&ˆs³ÔUnited€States€v.€Valdezóó,€529€F.2d€996,€997€(8th€Cir.€1976).€€Ð Â^  Ðà  àòòSee€alsoóó€Committee€Comments,€Instruction€4.04,€òòsupraóó.€Ð $À Ðà  àAn€accomplice€instruction€may€be€given€if€requested€but€is€not€required.€€òòUnited€States€v.Ð †" ÐRockelmanóó,€49€F.3d€418,€423€(8th€Cir.€1995);€òòUnited€States€v.€Schoenfeldóó,€867€F.2d€1059,Ð r Ð1061-62€(8th€Cir.€1989);€òòUnited€States€v.€Robertsóó,€848€F.2d€906,€908€(8th€Cir.€1988);€òòUnitedÐ ^ú ÐStates€v.€Shriveróó,€838€F.2d€980,€983€(8th€Cir.€1988).€€Ð Jæ Ðà  àThis€instruction€is€to€be€used€when€the€accomplice€is€called€by€the€government€and€hisÐ ¬H Ðtestimony€does€not€exculpate€the€defendant.€€Do€not€use€this€instruction€if€the€witness€receivedÐ ˜4 Ðimmunity;€in€that€case,€use€Instruction€4.04,€òòsupraóó.€Ð „  Ðà  àAn€accomplice€instruction€is€generally€thought€to€be€helpful€to€a€defendant's€case,€and€theÐ æ‚ Ðgiving€of€such€an€instruction,€even€over€defense€counsel's€objection,€may€not€be€prejudicial€error.€Ð Òn  ÐòòUnited€States€v.€Smithóó,€596€F.2d€319,€322€(8th€Cir.€1979)€(defense€counsel€objected€because€heÐ ¾Z! Ðdid€not€wish€to€call€attention€to€accomplice€testimony).€Ð  ª F" ÐÖ€ÓÐØ=ÖÓ €Óà@ç ç ìàò òÔ% €h ÔÔ  Ô4.05B.€€CREDIBILITY€„€COOPERATING€WITNESSÔ ‹»Ôó óˆÐ d ÐÌà  àÓ€ÓYou€[have€heard]€[are€about€to€hear]€evidence€that€[name€of€witness]€hopes€to€receive€aÐ <Ø Ðreduced€sentence€on€criminal€charges€pending€against€[him]€[her]€in€return€for€[his]€[her]Ð ž : Ðcooperation€with€the€Government€in€this€case.€€[Name€of€witness]€entered€into€an€agreement€withÐ  œ Ð[name€of€agency]€which€provides€(specify€general€agreement,€for€example,€that€in€return€for€hisÐ b þ Ðassistance,€the€Government€will€dismiss€certain€charges,€recommend€a€less€severe€sentenceÐ Ä `  Ð[which€could€be€less€than€the€mandatory€minimum€sentence€for€the€crime[s]€with€which€he/she€isÐ &  Ðcharged]).€€[[Name€of€witness]€is€subject€to€a€mandatory€minimum€sentence,€that€is,€a€sentenceÐ ˆ$  Ðthat€the€law€provides€must€be€of€a€certain€minimum€length.€€If€the€prosecutor€handling€thisÐ ê†  Ðwitnessððs€case€believes€[he]€[she]€provided€substantial€assistance,€that€prosecutor€can€file€in€theÐ Lè  Ðcourt€in€which€the€charges€are€pending€against€this€witness€a€motion€to€reduce€[his]€[her]Ð ®J Ðsentence€below€the€statutory€minimum.€€The€judge€has€no€power€to€reduce€a€sentence€forÐ ¬ Ðsubstantial€assistance€unless€the€Government,€acting€through€the€United€States€Attorney,€files€aÐ r Ðsuch€a€motion.€€If€such€a€motion€for€reduction€of€sentence€for€substantial€assistance€is€filed€by€theÐ Ôp ÐGovernment,€then€it€is€up€to€the€judge€to€decide€whether€to€reduce€the€sentence€at€all,€and€if€so,Ð 6Ò Ðhow€much€to€reduce€it.]€Ð ˜4 Ðà  àYou€may€give€the€testimony€of€this€witness€such€weight€as€you€think€it€deserves.€Ð ú–  ÐWhether€or€not€testimony€of€a€witness€may€have€been€influenced€by€[his]€[her]€hope€of€receivingÐ \ø" Ða€reduced€sentence€is€for€you€to€decide.€Ð  ¾Z$ ÐÖ€ÔÓì>ÖÓ€Óà@¨ ¨ ìàò òÔ% €j ÔÔ  Ô4.06.€€TESTIMONY€OF€INFORMERÔ èÃÔó óˆÐ d ÐÌÓ€Óà  àYou€have€heard€evidence€that€(name€of€witness)€has€an€arrangement€with€the€GovernmentÐ <Ø Ðunder€which€[he]€[she]€[gets€paid]€[receives€(describe€benefit)]€for€providing€information€to€theÐ ž : ÐGovernment.€€[His]€[Her]€testimony€was€received€in€evidence€and€may€be€considered€by€you.€Ð  œ ÐYou€may€give€[his]€[her]€testimony€such€weight€as€you€think€it€deserves.€€Whether€or€not€[his]Ð b þ Ð[her]€information€or€testimony€may€have€been€influenced€by€[such€payments]€[receivingÐ Ä `  Ð(describe€benefit)]€is€for€you€to€determine.Ó€ÓÓ €ÓÐ &  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àòòSeeóó€òòUnited€States€v.€Ridingeróó,€805€F.2d€818,€821€(8th€Cir.€1986).€€Ð ê†  ÐÔ'°ˆïÆÔà  àòòSee€alsoóó€Committee€Comments,€Instruction€4.04,€òòsupraóó.€Ð Lè  Ðà  àThe€giving€of€a€special€instruction€on€the€credibility€of€an€informer€is€within€theÐ ®J Ðdiscretion€of€the€trial€court.€€òòUnited€States€v.€Robertsonóó,€706€F.2d€253,€255€(8th€Cir.€1983).€€TheÐ š6 Ðpresence€of€substantial€independent€evidence€in€support€of€the€defendant's€guilt€is€a€factorÐ †" Ðentitled€to€considerable€weight€in€determining€whether€the€trial€court€abused€that€discretion€inÐ r Ðrefusing€to€give€an€informer€instruction.€€òòId.óó€Ð ^ú Ðà  àCase€law€clearly€identifies€an€informer€as€a€witness€who€is€a€narcotics€user€or€addict€andÐ À\ Ðwho€is€testifying€either€to€gain€some€advantage€or€to€avoid€some€disadvantage,€or€who€is€paid€onÐ ¬H Ða€contingency€fee€basis€by€the€government.€€òòSeeóó€òòGovernment€of€Virgin€Islands€v.€Hendricksóó,€476Ð ˜4 ÐF.2d€776,€779-80€(3d€Cir.€1973).€€Informants€include€witnesses€who€are€paid€in€cash€or€receiveÐ „  Ðother€benefits€for€their€testimony€in€a€specific€case€or€on€a€continuing€basis€by€the€government.€Ð p  ÐòòUnited€States€v.€Leeóó,€506€F.2d€111,€122-23€(D.C.€Cir.€1974).€Ð \ø Ðà  àA€witness€who€did€not€receive€any€pay€or€promises€was€held€not€to€be€an€informer€inÐ ¾Z! ÐòòUnited€States€v.€Kleinóó,€701€F.2d€66,€68€(8th€Cir.€1983)€and€in€òòJones€v.€United€Statesóó,€396€F.2dÐ ª F" Ð66,€68€(8th€Cir.€1969).€€A€reluctant€witness€who€was€told€he€would€not€be€prosecuted€if€he€toldÐ –!2# Ðthe€truth€was€not€considered€an€informer€in€òòUnited€States€v.€Phillipsóó,€522€F.2d€388,€391-92€(8thÐ ‚"$ ÐCir.€1975).€€In€all€of€these€cases€it€was€held€that€a€cautionary€instruction€was€not€required.Ð n# % Ðà  àThe€Eighth€Circuit€has€declined€to€adopt€a€per€se€rule€requiring€that€an€addict-informantÐ Ð$l' Ðinstruction€be€given€on€request.€€Instead,€the€circumstances€of€each€case€determine€the€need€forÐ ¼%X( Ðan€addict-informant€instruction.€€òòUnited€States€v.€Hoppeóó,€645€F.2d€630,€633€(8th€Cir.€1981)€(listsÐ ¨&D ) Ðseveral€factors€obviating€need€for€addict-informant€instruction);€òòUnited€States€v.€Shigemuraóó,€682Ð ”'0!* ÐF.2d€699,€702-03€(8th€Cir.€1982);€òòUnited€States€v.€Broylesóó,€764€F.2d€525,€527€(8th€Cir.€1985).€Ð  €("+ ÐÖ€áÔØ?ÖÓ €Óà@ƒƒ ìàò òÔ% €l ÔÔ  Ô4.07.€€COMMON€SCHEME€-€ACTS€OR€DECLARATIONS€OF€PARTICIPANTÔ ÷ÑÔó óˆÐ d ÐÌÓ€Óà@EEìà(òòSeeóó€Instruction€5.06I,€òòinfraóó.)òò1óóÓ€ÓÓ €ÓˆÐ <Ø ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ž : Ðà  à1.€€The€"Coconspirator€Statements"€instruction€at€No.€5.06I,€òòinfraóó,€can€be€easily€modifiedÐ  œ Ðto€apply€to€acts€or€declarations€of€a€participant€in€a€common€scheme.€Ð ì ˆ ÐÔ'œž ýÒÔÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ N ê  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¸Ô#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÕ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rIÕ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r˜Õ#Ô:€€CriminalÐ °L  Ððð18.02€(5th€ed.€2000)Ð œ8  ÐÔ'œN 2ÔÔà  àòòSeeóó€Committee€Comments,€Instruction€5.06I,€òòinfraóó.€Ð þš  Ðà  àWhere€there€is€evidence€of€a€common€scheme€or€plan,€acts€and€declarations€of€theÐ `ü  Ðparticipants€may€be€introduced€in€the€same€manner€as€acts€or€declarations€of€co-conspirators.€Ð Lè  ÐFed.€R.€Evid.€801(d)(2)(E)€defining€such€declarations€to€be€non-hearsay€applies€whether€or€not€aÐ 8Ô  Ðconspiracy€was€charged.€€òòUnited€States€v.€Kieferóó,€694€F.2d€1109,€1112€n.2€(8th€Cir.€1982);Ð $À ÐòòUnited€States€v.€Milleróó,€644€F.2d€1241,€1244€(8th€Cir.€1981).€Ð  ¬ ÐÖ€äáØ@ÖÓ €Óà@Þ Þ ìàò òÔ% €n ÔÔ  Ô4.08.€€EYEWITNESS€TESTIMONYÔ ÙÔó óˆÐ d ÐÌÓ€Óà  àThe€value€of€identification€testimony€depends€on€the€opportunity€the€witness€had€toÐ <Ø Ðobserve€the€offender€at€the€time€of€the€offense€and€to€make€a€reliable€identification€later.€Ð ž : Ðà  àIn€evaluating€such€testimony€you€should€consider€all€of€the€factors€mentioned€in€theseÐ  œ Ðinstructions€concerning€your€assessment€of€the€credibility€of€any€witness,€and€you€should€alsoÐ b þ Ðconsider,€in€particular,€whether€the€witness€had€an€adequate€opportunity€to€observe€the€person€inÐ Ä `  Ðquestion€at€the€time€of€the€offense.€€You€may€consider,€in€that€regard,€such€matters€as€the€lengthÐ &  Ðof€time€the€witness€had€to€observe€the€person€in€question,€the€prevailing€conditions€at€that€time€inÐ ˆ$  Ðterms€of€visibility€or€distance€and€the€like,€and€whether€the€witness€had€known€or€observed€theÐ ê†  Ðperson€at€earlier€times.€Ð Lè  Ðà  à[In€general,€a€witness€uses€his€or€her€senses€to€make€an€identification.€€Usually€theÐ ®J Ðwitness€identifies€an€offender€by€the€sense€of€sight€--€but€this€is€not€necessarily€so,€and€otherÐ ¬ Ðsenses€may€be€used.]Ð r Ðà  àYou€should€also€consider€whether€the€identification€made€by€the€witness€after€the€offenseÐ Ôp Ðwas€the€product€of€[his]€[her]€own€recollection.€€You€may€consider,€in€that€regard,€the€strength€ofÐ 6Ò Ðthe€identification,€and€the€circumstances€under€which€the€identification€was€made,€and€the€lengthÐ ˜4 Ðof€time€that€elapsed€between€the€occurrence€of€the€crime€and€the€next€opportunity€the€witnessÐ ú–  Ðhad€to€see€the€defendant.€Ð \ø" Ðà  à[You€may€also€take€into€account€that€an€identification€made€by€picking€the€defendant€outÐ ¾Z$ Ðof€a€group€of€similar€individuals€is€generally€more€reliable€than€one€which€results€from€theÐ  !¼& Ðpresentation€of€the€defendant€alone€to€the€witness.]€Ð ‚"( Ðà  àIf€the€identification€by€the€witness€may€have€been€influenced€by€the€circumstances€underÐ ä#€* Ðwhich€the€defendant€was€presented€to€[him]€[her]€for€identification,€you€should€scrutinize€theÐ F%â, Ðidentification€with€great€care.€Ð ¨&D . Ðà  à[You€may€take€into€account€any€occasions€in€which€the€witness€failed€to€make€anÐ  (¦!0 Ðidentification€of€the€defendant,€or€made€an€identification€that€was€inconsistent€with€[his]€[her]Ð l)#2 Ðâ âidentification€at€trial.]€Ð Î*j$4 Ðà  àThe€Government€has€the€burden€of€proving€identity€beyond€a€reasonable€doubt.€€It€is€notÐ d Ðâ âessential€that€the€witness€be€free€from€doubt€as€to€the€correctness€of€the€identification.€€HoweverÐ Æb Ðyou,€the€jury,€must€be€satisfied€beyond€a€reasonable€doubt€of€the€accuracy€of€the€identification€ofÐ ( Ä Ðthe€defendant€before€you€may€find€[him]€[her]€guilty.€€If€you€are€not€convinced€beyond€aÐ Š & Ðreasonable€doubt€that€the€defendant€was€the€person€who€committed€the€crime,€you€must€find€theÐ ì ˆ Ðdefendant€not€guilty.€Ó€ÓÓ €ÓÐ N ê  ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ °L  Ðà  àòòÔ'N°ŠæÔSeeóó€òòUnited€States€v.€Telfaireóó,€469€F.2d€552,€558-59€(D.C.€Cir.€1972);€š1A€Kevin€F.Ð ®  ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rç#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÉç#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rè#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r_è#Ô:€€Criminal€ðððð€14.10,€14.11€(5th€ed.Ð þš  Ð2000).€€Ð ê†  Ðà  àAlthough€the€court€in€òòTelfaireóó€found€the€case€before€it€was€not€one€requiring€a€specialÐ Lè  Ðeyewitness€instruction,€as€part€of€its€appellate€function€it€drafted€an€eyewitness€instruction€forÐ 8Ô  Ðfuture€use€in€appropriate€cases.€€The€instruction€in€this€manual€is€basically€the€same€instruction.€Ð $À ÐHowever,€changes€have€been€made€in€vocabulary€and€sequence€and€repetitive€material€has€beenÐ ¬ Ðeliminated.€Ð ü˜ Ðà  àThe€purpose€of€the€òòTelfaireóó€instruction€was€to€adopt€the€approach€of€òòUnited€States€v.Ð ^ú ÐBarberóó,€442€F.2d€517,€528€(3d€Cir.€1971)€to€(1)"obviate€skeletal€pattern€instructions"€and€(2)Ð Jæ Ð"assure€the€essential€particularity€demanded€by€the€facts€surrounding€each€identification."€€469Ð 6Ò ÐF.2d€at€557.€€òòTelfaireóó€stressed€that€the€instruction€was€to€be€used€as€a€model,€with€the€language€toÐ "¾ Ðbe€revised€and€adapted€to€suit€the€proof€and€contentions€of€each€case.€€òòId.óó€Ð ª Ðà  àThis€Circuit€has€strongly€recommended€the€giving€of€a€òòTelfaireóó€instruction,€if€requested,Ð p  Ðin€a€case€in€which€the€reliability€of€eyewitness€identification€of€a€defendant€presents€a€seriousÐ \ø Ðquestion,€although€the€exact€language€need€not€be€given,€and€further,€where€the€government'sÐ Hä  Ðcase€rests€solely€or€substantially€on€questionable€eyewitness€identification,€it€is€reversible€error€toÐ 4 Ð! Ðrefuse€to€give€a€òòTelfaireóó„type€instruction.€€òòUnited€States€v.€Maysóó,€822€F.2d€793,€798€(8th€Cir.Ð  !¼" Ð1987);€òòWilliams€v.€Lockhartóó,€736€F.2d€1264,€1267€(8th€Cir.€1984);€òòUnited€States€v.€Cainóó,€616Ð  "¨# ÐF.2d€1056,€1058€(8th€Cir.€1980);€òòUnited€States€v.€Greeneóó,€591€F.2d€471,€474-77€(8th€Cir.€1979);Ð ø"”$ ÐòòDurns€v.€United€Statesóó,€562€F.2d€542,€549-50€(8th€Cir.€1977);€òòUnited€States€v.€Dodgeóó,€538€F.2dÐ ä#€% Ð770,€783-84€(8th€Cir.€1976);€òòUnited€States€v.€Roundtreeóó,€527€F.2d€16,€19€(8th€Cir.€1975).€Ð Ð$l& Ðà  àIn€òòDodgeóó,€the€court€indicated€it€would€view€with€concern€the€failure€to€give€specific€andÐ 2&Î( Ðdetailed€instructions€on€identification€in€future€cases€where€the€identification€of€the€defendant€isÐ 'º ) Ðbased€solely€or€substantially€on€eyewitness€testimony.€€538€F.2d€at€784.€€Failure€to€give€such€anÐ  (¦!* Ðinstruction€in€that€case€was€not€grounds€for€reversal€since€the€identification€was€not€consideredÐ ö(’"+ Ð"questionable."€€òòSee€alsoóó€òòUnited€States€v.€Johnsonóó,€848€F.2d€904,€906€(8th€Cir.€1988)€holdingÐ â)~#, Ðthat€a€specific€eyewitness€instruction€was€not€necessary€where€nothing€suggested€that€theÐ Î*j$- Ðeyewitness'€testimony€was€unreliable.€€A€general€credibility€instruction€was€held€sufficient.€€InÐ º+V%. ÐòòDurnsóó€failure€to€include€the€first€and€last€paragraphs€of€òòTelfaireóó€was€found€not€to€be€error€whereÐ d Ðthere€was€substantial€circumstantial€evidence€in€addition€to€the€eyewitness€identification.€€562Ð Pì ÐF.2d€at€549-50.€Ð <Ø Ðà  àIn€òòGreeneóó€the€court€found€failure€to€give€the€instruction€reversible€error,€analyzing€theÐ ž : Ðbasic€question€as€whether€eyewitness€testimony€is€essential€to€support€a€conviction.€€591€F.2d€atÐ Š & Ð475.€€Three€factors€not€present€in€òòDodgeóó€were€found€present€in€òòGreeneóó:€€l)€€the€eyewitnessÐ v  Ðidentification€was€the€sole€basis€for€conviction;€2)€there€was€the€possibility€of€misidentificationÐ b þ Ðand€3)€the€trial€court€gave€no€instruction€alerting€the€jury€to€the€crucial€role€that€eyewitnessÐ N ê Ðidentification€played€in€that€case.€€591€F.2d€at€476.€€It€should€be€further€noted€that€the€òòTelfaireóóÐ :Ö  Ðinstruction€was€requested.€€591€F.2d€at€474-75€n.4.€Ð &  Ðà  àIn€òòCainóó€and€òòMaysóó€there€was€no€prejudicial€error€to€refuse€to€give€a€requested€òòTelfaireóóÐ ˆ$  Ðinstruction€where€the€identification€testimony€was€strongly€corroborated.€€616€F.2d€at€1058-59;Ð t  Ð822€F.2d€at€798.€€In€òòRoundtreeóó€the€court€found€no€error€where€the€instruction€had€not€beenÐ `ü  Ðrequested.€€527€F.2d€at€13.€Ð Lè  Ðà  àIn€òòUnited€States€v.€Grey€Bearóó,€883€F.2d€1382€(8th€Cir.€1989),€the€court€upheld€a€trialÐ ®J Ðcourtððs€refusal€to€give€a€very€detailed€identification€instruction€where€the€instruction€givenÐ š6 Ðadequately€pointed€out€the€relevant€considerations€to€be€weighed€in€gauging€eyewitnessÐ †" Ðtestimony€including€accurate€recollection€and€the€ability€to€observe.Ð  r ÐÖ€íäØAÖÓ €Óà@2 2 ìàò òÔ% €p ÔÔ  Ô4.09.€€INFLUENCING€WITNESS,€ETC.Ô ecÔüÔó óˆÐ d ÐÌà  àÓ€ÓAttempts€by€a€defendant€to€[conceal]€[destroy]€[make€up€evidence]€[influence€a€witness]Ð <Ø Ð[influence€witnesses]€in€connection€with€the€crime€charged€in€this€case€may€be€considered€by€youÐ ž : Ðin€light€of€all€the€other€evidence€in€the€case.€€You€may€consider€whether€this€evidence€shows€aÐ  œ Ðconsciousness€of€guilt€and€determine€the€significance€to€be€attached€to€any€such€conduct.€Ð b þ Ðà  à[Furthermore,€you€should€also€understand€that€such€testimony€does€not€relate€to€the€otherÐ Ä `  Ðdefendant[s]€in€any€way€at€all,€and€must€not€be€used€against€[him]€[her]€[them]€for€any€purposeÐ &  Ðwhatsoever.]òò1óó€Ó€ÓÓ €ÓÐ ˆ$  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ê†  Ðà  à1.€€This€limiting€paragraph€must€be€given€when€requested€in€multi„defendant€cases,Ð Lè  Ðòòunlessóó€the€concealment,€threats,€etc.€were€part€of€a€conspiracy.€Ð 8Ô  ÐÔ'œêMÔÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ š6 Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rû#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rE#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŒ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÛ#Ô:€€CriminalÐ ü˜ Ððð14.07€(5th€ed.€2000).€Ð è„ ÐÔ'œšuÔà  àIf€the€probative€value€of€the€evidence€outweighs€the€prejudicial€impact€under€Fed.€R.Ð Jæ ÐEvid.€403,€evidence€of€threats€by€a€defendant€against€a€potential€witness€can€be€used€to€showÐ 6Ò Ðguilty€knowledge.€€òòUnited€States€v.€Whiteóó,€794€F.2d€367,€371€(8th€Cir.€1986).€€òòCf.óó€òòUnited€StatesÐ "¾ Ðv.€Weiróó,€575€F.2d€668,€670€(8th€Cir.€1978)€(prejudicial€impact€not€outweighed).€€Evidence€ofÐ ª Ðattempts€to€influence€witnesses€is€admissible€and€it€is€for€the€jury€to€say€what€weight€should€beÐ ú– Ðgiven€to€it.€€òòUnited€States€v.€Hallóó,€565€F.2d€1052,€1055€(8th€Cir.€1977).€Ð æ‚ Ðà  àAn€instruction€allowing€the€jury€to€consider€whether€such€evidence€points€to€aÐ Hä! Ðconsciousness€of€guilt€was€held€appropriate€under€the€evidence€in€òòUnited€States€v.€Ruckeróó,€586Ð 4 Ð" ÐF.2d€899,€904€(2d€Cir.€1978).€Ð   !¼# ÐÖ€ëíØBÖÓ €Óà@I I ìàò òÔ% €r ÔÔ  Ô4.10.€€OPINION€EVIDENCE€„€EXPERT€WITNESSÔ se¬Ôó óˆÐ d ÐÌà  àÓ€ÓYou€have€heard€testimony€from€persons€described€as€experts.€€Persons€who,€byÐ <Ø Ðknowledge,€skill,€training,€education€or€experience,€have€become€expert€in€some€field€may€stateÐ ž : Ðtheir€opinions€on€matters€in€that€field€and€may€also€state€the€reasons€for€their€opinion.€Ð  œ Ðà  àExpert€testimony€should€be€considered€just€like€any€other€testimony.€€You€may€accept€orÐ b þ Ðreject€it,€and€give€it€as€much€weight€as€you€think€it€deserves,€considering€the€witness's€educationÐ Ä `  Ðand€experience,€the€soundness€of€the€reasons€given€for€the€opinion,€the€acceptability€of€theÐ &  Ðmethods€used,€and€all€the€other€evidence€in€the€case.€Ó€ÓÓ €ÓÐ ˆ$  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ê†  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÈ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rY #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¨ #Ô:€€CriminalÐ Lè  Ððð14.01€(5th€ed.€2000)Ô':êB Ô.€€òòSee€alsoóó€òòChatman€v.€United€Statesóó,€557€F.2d€147,€148-49€(8th€Cir.€1977).€Ð  8Ô  ÐÖ€íëØCÖÓ €Óà@  ìàò òÔ% €t ÔÔ  Ô4.11.€€DEMONSTRATIVE€SUMMARIES€NOT€RECEIVED€IN€EVIDENCEÔ seù Ôó óˆÐ d ÐÌà  àÓ€ÓCertain€charts€and€summaries€have€been€shown€to€you€in€order€to€help€explain€the€factsÐ <Ø Ðdisclosed€by€the€books,€records,€or€other€underlying€evidence€in€the€case.€€Those€charts€orÐ ž : Ðsummaries€are€used€for€convenience.€€They€are€not€themselves€evidence€or€proof€of€any€facts.€€IfÐ  œ Ðthey€do€not€correctly€reflect€the€facts€shown€by€the€evidence€in€the€case,€you€should€disregardÐ b þ Ðthese€charts€and€summaries€and€determine€the€facts€from€the€books,€records€or€other€underlyingÐ Ä `  Ðevidence.€Ó€ÓÓ €ÓÐ &  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rŠ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÔ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rj#Ô:€€CriminalÐ ê†  Ððð14.02€(5th€ed.€2000);€òòUnited€States€v.€Lewisóó,€759€F.2d€Ô':ˆÔ1316,€1329€n.6€(8th€Cir.€1985);€òòUnitedÐ Ör  ÐStates€v.€Diezóó,€515€F.2d€892,€905-06€(5th€Cir.€1975).€€òòSee€generallyóó€5€Weinstein's€Evidence€ððÐ Â^  Ð1006€(1978).€Ð ®J Ðà  àòòThis€instruction€should€be€given€only€where€the€chart€or€summary€is€used€solely€asÐ ¬ Ðdemonstrative€evidence.óó€€Where€such€exhibits€are€admitted€into€evidence€pursuant€to€Fed.€R.Ð ü˜ ÐEvid.€1006,€do€òònotóó€give€this€instruction.€€For€summaries€admitted€as€evidence€pursuant€to€Fed.€R.Ð è„ ÐEvid.€1006,€òòseeóó€Instruction€4.12,€òòinfraóó.€Ð Ôp Ðà  àSending€purely€demonstrative€charts€to€the€jury€room€is€disfavored.€€If€they€are€submittedÐ 6Ò Ðlimiting€instructions€are€strongly€suggested.€€òòUnited€States€v.€Possickóó,€849€F.2d€332,€339€(8th€Cir.Ð "¾ Ð1988).€€The€court€may€advise€the€jury€that€demonstrative€evidence€will€not€be€sent€back€to€theÐ ª Ðjury€room.€€Ð  ú– ÐÖ€ðíØDÖÓ €Óà@ttìàò òÔ% €v ÔÔ  Ô4.12.€€RULE€1006€SUMMARIESÔ se’Ôó óˆÐ d ÐÌà  àÓ€ÓYou€will€remember€that€certain€[schedules]€[summaries]€[charts]€were€admitted€inÐ <Ø Ðevidence.€€You€may€use€those€[schedules]€[summaries]€[charts]€as€evidence,€even€though€theÐ ž : Ðunderlying€documents€and€records€are€not€here.òò1óó€€[However,€the€[accuracy]€[authenticity]€of€thoseÐ  œ Ð[schedules]€[summaries]€[charts]€has€been€challenged.€€It€is€for€you€to€decide€how€much€weight,Ð b þ Ðif€any,€you€will€give€to€them.€€In€making€that€decision,€you€should€consider€all€of€the€testimonyÐ Ä `  Ðyou€heard€about€the€way€in€which€they€were€prepared.]òò2óóÓ€ÓÓ €ÓÐ &  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˆ$  Ðà  à1.€€This€instruction€is€not€necessary€if€a€stipulation€instruction€has€been€given€on€theÐ ê†  Ðsubject.€Ð Ör  ÐÔ'œˆµÔà  à2.€€The€bracketed€portion€of€this€instruction€should€be€given€if€the€accuracy€orÐ 8Ô  Ðauthenticity€has€been€challenged.€Ð $À ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ †" Ðà  àòòSee€generallyóó€Fed.€R.€Evid.€1006,€1008(c);€5€òòWeinstein's€Evidenceóó€ðððð€1006,€1008€(1978)Ô'N†MÔ.€Ð è„ Ðà  àThis€instruction€is€based€on€Rule€1006€of€the€Federal€Rules€of€Evidence,€which€permitsÐ Jæ Ðsummaries€to€be€admitted€as€evidence€without€admission€of€the€underlying€documents€as€long€asÐ 6Ò Ðthe€opposing€party€has€had€an€opportunity€to€examine€and€copy€the€documents€at€a€reasonableÐ "¾ Ðtime€and€place€and€if€those€underlying€documents€would€be€admissible.€€òòFord€Motor€Co.€v.€AutoÐ ª ÐSupply€Co.,€Inc.óó,€661€F.2d€1171,€1175-76€(8th€Cir.€1981).€€The€Rules€contemplate€that€theÐ ú– Ðsummaries€will€not€be€admitted€until€the€court€has€made€a€preliminary€ruling€as€to€their€accuracy.€Ð æ‚ ÐòòSeeóó€Fed.€R.€Evid.€104;€òòUnited€States€v.€Robinsonóó,€774€F.2d€261,€276€(8th€Cir.€1985).€Ð Òn  Ðà  àAs€òòWeinsteinóó€notes,€and€as€Rule€1008(c)€makes€clear,€the€trial€judge€makes€only€aÐ 4 Ð" Ðpreliminary€determination€regarding€a€Rule€1006€summary,€the€accuracy€of€which€is€challenged.€Ð  !¼# ÐThe€admission€is€within€the€sound€discretion€of€the€trial€judge.€€òòUnited€States€v.€Kingóó,€616€F.2dÐ  "¨$ Ð1034,€1041€(8th€Cir.€1980).€€If€the€determination€is€to€admit€the€summary,€the€jury€remains€theÐ ø"”% Ðfinal€arbiter€with€respect€to€how€much€weight€it€will€be€given€and€should€be€instructedÐ ä#€& Ðaccordingly.€Ð Ð$l' Ðà  àThe€"voluminous"€requirement€of€Rule€1006€does€not€require€that€it€literally€beÐ 2&Î) Ðimpossible€to€examine€all€the€underlying€records,€but€only€that€in-court€examination€would€be€anÐ 'º * Ðinconvenience.€€òòUnited€States€v.€Possickóó,€849€F.2d€332,€339€(8th€Cir.€1988).€Ð  (¦!+ Ðà  àCharts€and€diagrams€admitted€under€Rule€1006€may€be€sent€to€the€jury€at€the€districtÐ l)#- Ðcourt's€discretion.€€òòPossickóó,€849€F.2d€at€339;€òòUnited€States€v.€Orlowskióó,€808€F.2d€1283,€1289€(8thÐ X*ô#. ÐCir.€1986);€òòUnited€States€v.€Robinsonóó,€774€F.2d€at€275.€Ð D+à$/ Ðà  àWhen€this€type€of€exhibit€is€sent€to€the€jury,€a€limiting€instruction€is€appropriate,€butÐ d Ðfailure€to€give€an€instruction€on€the€use€of€charts€is€not€reversible€error.€€òòPossickóó,€849€F.2d€at€340.€Ð Pì Ðà  àThere€may€be€cases€in€which€a€variety€of€summaries€are€before€the€jury,€some€beingÐ ²N Ðsimply€demonstrative€evidence,€some€being€unchallenged€Rule€1006€summaries,€and€some€beingÐ ž : Ðchallenged€Rule€1006€summaries.€€In€that€situation,€or€any€variant€thereof,€it€will€be€necessary€forÐ Š & Ðthe€trial€court€to€distinguish€between€the€various€items,€probably€by€exhibit€number,€and€to€frameÐ v  Ðan€instruction€which€makes€the€appropriate€distinctions.€Ð  b þ ÐÖ€ñðØEÖÓ €Óà@MMìàò òÔ% €x ÔÔ  Ô4.13.€€SPECIFIC€INFERENCESÔ ntÍ(Ô€òò1óóó óˆÐ d ÐÌà  àÓ€Ó[[(Insert€fact€deduced)€is€an€element€of€the€offense€of€(describe€offense),€which€must€beÐ <Ø Ðproved€beyond€a€reasonable€doubt.]òò2óó€€If€you€find€proof€beyond€a€reasonable€doubt€that€(insert€factÐ ž : Ðestablished),€that€is€evidence€from€which€you€may,€but€are€not€required€to,€find€or€infer€thatÐ  œ Ð(insert€fact€deduced).]òò3óó€Ó€ÓÓ €ÓÐ b þ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ä `  Ðà  à1.€€This€is€a€very€generalized€format.€€Requests€for€inference€instructions€may€be€made€byÐ &  Ðthe€government€or€the€defense.€€If€an€inference€instruction€is€to€be€given,€effort€should€be€made€toÐ ®  ÐÔ'&Ä ÿ*Ômore€specifically€tailor€it€to€the€given€situation.€Ð þš  Ðà  à2.€€This€admonition€may€be€necessary€if€this€instruction€is€not€given€in€proximity€to€theÐ `ü  Ðelements€instruction.€Ð Lè  Ðà  à3.€€Definitions€or€further€cautionary€instructions€may€be€helpful€or€required.€€òòSeeóó,€òòe.g.óó,Ð ®J ÐòòBarnes€v.€United€Statesóó,€412€U.S.€837,€840€n.3€(1973).€€òòUnited€States€v.€Johnsonóó,€563€F.2d€936,Ð š6 Ð940€n.2€(8th€Cir.€1977)€and€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r.#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rË.#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r/#ÔÐ †" ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%ru/#Ô:€€Criminal€ðð59.16€(5th€ed.€2000)€on€the€inferences€arising€from€possession€ofÐ r Ðrecently€stolen€property;€òòUnited€States€v.€Hayesóó,€631€F.2d€593,€594€(8th€Cir.€1980)€and€š2A€KevinÐ ^ú ÐF.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¿0#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r 1#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rP1#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rŸ1#Ô:€€Criminal€ðð52.05€(5th€ed.Ð Jæ Ð2000)€on€the€inferences€arising€from€the€possession€of€recently€stolen€mail;€òòUnited€States€v.Ð 6Ò ÐBeardsleeóó,€609€F.2d€914,€919€(8th€Cir.€1979),€on€the€inferences€arising€from€the€possession€ofÐ "¾ Ðproperty€recently€purchased€in€another€state.€Ð ª ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ p  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÔ3#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r4#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%re4#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r´4#Ô:€€CriminalÐ Òn Ððð12.05€(5th€ed.€2000).€€Ð ¾Z  ÐÔ'œpN3Ôà  àAn€instruction€advising€the€jury€that€it€may€make€reasonable€inferences€is€included€in€theÐ  !¼" Ðgeneral€charges€on€evidence€at€Instructions€1.01€and€3.03,€òòsupraóó.€€Ð  "¨# Ðà  àAn€instruction€directing€the€jury's€attention€to€a€specific€inference€should€be€given€onlyÐ n# % Ðwhen€a)€there€is€a€specific€inference€at€issue€supported€by€the€evidence;€b)€it€is€one€which€isÐ Z$ö& Ðspecifically€recognized€by€common€law,€judicial€precedent€or€statute€and€c)€it€has€been€requested.€Ð F%â' Ðà  àMany€of€the€inferences€recognized€by€common€law€were€and€are€still€calledÐ ¨&D ) Ð"presumptions."€€However,€if€used€in€an€instruction,€these€"presumptions"€òòmustóó€be€phrased€inÐ ”'0!* Ðterms€of€a€permissive€inference.€€òòSandstrom€v.€Montanaóó,€442€U.S.€510€(1979).€Ð €("+ Ðà  àExamples€of€inferences€recognized€at€common€law€include€the€inferences€which€may€beÐ â)~#- Ðdrawn€from€the€possession€of€recently€stolen€property,€òòBarnes€v.€United€Statesóó,€412€U.S.€837Ð Î*j$. Ð(1973)€(knowledge);€òòUnited€States€v.€Johnsonóó,€563€F.2d€936,€940-41€(8th€Cir.€1977)€(knowledgeÐ º+V%/ Ðand€participation),€including€recently€stolen€mail,€òòUnited€States€v.€Hayesóó,€631€F.2d€593,€594€(8thÐ d ÐCir.€1980)€and€òòUnited€States€v.€Bloomóó,€482€F.2d€1162,€1163-66€(8th€Cir.€1973)€(knowledge€itÐ Pì Ðwas€stolen€from€the€mail);€and€possession€in€a€state€other€than€the€state€in€which€the€property€hadÐ <Ø Ðbeen€recently€purchased,€òòUnited€States€v.€Beardsleeóó,€609€F.2d€914,€919€(8th€Cir.€1979)Ð ( Ä Ð(transportation),€or€stolen,€òòUnited€States€v.€Mitchellóó,€558€F.2d€1332,€1335-36€(8th€Cir.€1977)Ð  ° Ð(transportation).Ð  œ Ðà  àThese€also€include€inferences€which€may€be€drawn€from€false€exculpatory€statementsÐ b þ Ð(Instruction€4.15,€òòinfraóó)€and€failure€to€produce€certain€witnesses€under€certain€conditionsÐ N ê Ð(Instruction€4.16,€òòinfraóó).€€Other€common€law€inferences€on€which€instructions€may€be€properÐ :Ö  Ðinclude€"presumptions€of€regularity."€€òòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r€>#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÊ>#ÔÐ &  ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r%?#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rt?#Ô:€€Criminal€ðð12.06€(5th€ed.€2000);€òòUnited€States€v.€Ruckeróó,€435Ð ®  ÐF.2d€950,€952-53€(8th€Cir.€1971).€Ð þš  Ðà  àInstructions€on€inferences€are€most€helpful€when€they€involve€inferences€which€the€lawÐ `ü  Ðallows€which€may€not€be€readily€apparent€to€the€lay€person,€such€as€advising€the€jury€that€the€lawÐ Lè  Ðallows€mailing€to€be€established€by€proof€of€business€custom€in€a€mail€fraud€case.€€òòSeeóóÐ 8Ô  ÐInstruction€6.18.1341,€òòinfraóó.€€However,€instructions€on€inferences€based€solely€on€common€senseÐ $À Ðand€experience€have€been€discouraged.€€The€inference€of€consciousness€of€guilt€which€may€beÐ ¬ Ðdrawn€from€flight€is€one€example.€€The€giving€of€an€instruction€on€that€inference€has€always€beenÐ ü˜ Ðlimited€to€very€narrow€circumstances,€òòUnited€States€v.€Whiteóó,€488€F.2d€660,€661-62€(8th€Cir.Ð è„ Ð1973),€and€has€recently€been€altogether€discouraged.€€òòSeeóó€òòUnited€States€v.€McQuarryóó,€726€F.2dÐ Ôp Ð401,€403€(8th€Cir.€1984)€(McMillian,€J.€concurring).€€However,€an€instruction€limiting€suchÐ À\ Ðevidence€to€the€determination€of€consciousness€of€guilt€along€the€lines€of€Instruction€4.09,€òòsupraóó,Ð ¬H Ðmay€in€some€cases€be€appropriate.€Ð ˜4 Ðà  àStatutory€inferences€are€subject€to€the€test€whether€it€can€be€said€with€substantialÐ ú– Ðassurance€that€the€presumed€fact€is€more€likely€than€not€to€flow€from€the€proved€fact€on€which€itÐ æ‚ Ðis€made€to€depend.€€òòLeary€v.€United€Statesóó,€395€U.S.€6,€36€(1969);€òòUnited€States€v.€Franklinóó,€568Ð Òn ÐF.2d€1156,€1157€(8th€Cir.€1978).€Ð ¾Z Ðà  àAn€example€of€a€statutory€inference€is€found€in€18€U.S.C.€ðð€659€(bills€of€lading€constituteÐ  !¼ Ðprima€facie€evidence€of€the€origin€and€destination€of€a€shipment).€€òòUnited€States€v.€Franklinóó,€568Ð  "¨  ÐF.2d€at€1157.€€òòSee€alsoóó€Notes€4,€Instructions€6.18.659A€and€6.18.659B,€òòinfraóó.€€Another€exampleÐ ø"”! Ðis€found€in€26€U.S.C.€ðð€6064€(an€individual's€signature€on€an€income€tax€return€is€prima€facieÐ ä#€" Ðevidence€that€the€return€was€signed€by€him).€€òòUnited€States€v.€Cashioóó,€420€F.2d€1132,€1135€(5thÐ Ð$l# ÐCir.€1969).€€òòSee€alsoóó€Instructions€6.26.7201€and€6.26.7206,€òòinfraóó;€š2B€Kevin€F.€OððMalley,€et€al.,Ð ¼%X$ КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÅI#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rJ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rVJ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¥J#Ô:€€Criminal€ðð67.22€(5th€ed.€2000).€€A€furtherÐ ¨&D % Ðexample€is€found€in€18€U.S.C.€ðð€892b,€listing€the€four€factors€which€constitute€prima€facieÐ ”'0!& Ðevidence€that€a€loan€is€extortionate.€€òòUnited€States€v.€DeVincentóó,€546€F.2d€452,€454-55€(1st€Cir.Ð €("' Ð1976).€Ð l)#( Ðà  àOther€examples€of€statutory€inferences€are€found€in€21€U.S.C.€ðð€174€(knowledge€ofÐ Î*j$* Ðimportation€can€be€inferred€from€possession€of€heroin€and€opium€(but€not€cocaine),€òòTurner€v.Ð º+V%+ ÐUnited€Statesóó,€396€U.S.€398€(1970)),€and€in€26€U.S.C.€ðð€5601(b)(2)€("possession"€and€"carryingÐ d Ðon"€can€be€inferred€from€the€defendant's€unexplained€presence€at€a€still.€€òòUnited€States€v.€Gaineyóó,Ð Pì Ð380€U.S.€63€(1965).€€But€òòcf.óó€òòUnited€States€v.€Romanoóó,€382€U.S.€136€(1965)).€€Ð <Ø Ðà  àThere€is€some€debate€on€the€propriety€of€instructing€the€jury€on€inferences.€€For€the€viewsÐ ž : Ðof€an€American€Bar€Association€committee,€òòseeóó€120€F.R.D.€299,€315-20€(1988).€Ð  Š & ÐÖ€òñØFÖÓ €Óà@A A ìàò òÔ% €z ÔÔ  Ô4.14.€€SILENCE€IN€THE€FACE€OF€ACCUSATIONÔ  ÀOÔó óˆÐ d ÐÌà  àÓ€Ó[Evidence€has€been€introduced€that€a€statement€accusing€the€defendant€of€the€crimeÐ <Ø Ðcharged€in€the€indictment€was€made,€and€that€the€defendant€did€not€[deny€the€accusation]€[[objectÐ ž : Ðto]€[contradict]€the€statement]].€€If€you€find€that€the€defendant€was€present€and€actually€heard€andÐ  œ Ðunderstood€the€statement,€and€that€it€was€made€under€such€circumstances€that€the€defendantÐ b þ Ðwould€be€expected€to€[deny]€[contradict]€[object€to]€it€if€it€was€not€true,€then€you€may€considerÐ Ä `  Ðwhether€the€defendant's€silence€was€an€admission€of€the€truth€of€the€statement.]òò1óó€Ó€ÓÓ €ÓÐ &  ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˆ$  Ðà  à1.€€In€the€previous€edition,€this€Committee€joined€in€the€comments€to€Ninth€Cir.€Crim.Ð ê†  ÐJury€Instr.€4.2€(1997)€andÔ':ˆSÔ€Federal€Judicial€Center,€Pattern€Criminal€Jury€Instructions€ðð€45€(1988)Ð Ör  Ðrecommending€that€no€instruction€on€this€topic€be€given.€€However,€without€such€an€instruction,Ð Â^  Ðthe€jury€is€given€no€guidance€on€the€important€findings€it€must€make€before€it€can€considerÐ ®J Ðsilence€to€be€an€admission.€€Accordingly,€if€requested€by€the€defendant,€the€jury€may€beÐ š6 Ðinstructed€on€the€elements€it€must€find€before€it€can€find€evidence€of€the€defendant's€silence€to€beÐ †" Ðan€admission.€Ð r ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ôp Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rËV#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rW#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r\W#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r«W#Ô:€€CriminalÐ 6Ò Ððð14.05€(5th€ed.€2000);€òòUnited€States€v.€Ô':ÔEVÔCarteróó,€760€F.2d€1568,€1580€n.5€(11th€Cir.€1985).€Ð "¾ Ðà  àThe€general€rule€is€that€€Ð „  Ðà0  àwhen€a€statement€tending€to€incriminate€one€accused€of€committing€a€crime€is€made€inÐ æ‚ Ðhis€presence€and€hearing€and€such€statement€is€not€denied,€contradicted,€or€objected€to€byÐ Òn  Ðhim,€both€the€statement€and€the€fact€of€his€failure€to€deny€are€admissible€in€a€criminalÐ ¾Z! Ðprosecution€as€evidence€of€his€acquiescence€in€its€truth€€*€*€*€[if€made]€under€suchÐ ª F" Ðcircumstances€as€would€warrant€the€inference€that€he€would€naturally€have€contradictedÐ –!2# Ðthem€if€he€did€not€assent€to€their€truth.€Ð‚"$(#(# ÐòòArpan€v.€United€Statesóó,€260€F.2d€649,€655€(8th€Cir.€1958)€and€cases€cited€therein.€€òòSee€alsoóóÐ ä#€& ÐòòUnited€States€v.€Mitchellóó,€558€F.2d€1332,€1334-35€(8th€Cir.€1977).€€Since€the€adoption€of€theÐ Ð$l' ÐFederal€Rules€of€Evidence,€such€evidence€has€come€in€as€an€adoptive€admission€under€Fed.€R.Ð ¼%X( ÐEvid.€801(d)(2)(B).€€òòSeeóó€òòUnited€States€v.€Carteróó,€760€F.2d€at€1579.€Ð ¨&D ) Ðà  àWhether€all€the€elements€necessary€to€give€such€silence€capacity€to€be€admitted€as€anÐ  (¦!+ Ðimplied€or€adoptive€statement€are€preliminary€questions€for€the€court.€€òòArpanóó,€260€F.2d€at€654;Ð ö(’", ÐòòCarteróó,€760€F.2d€at€1579-80.€€If€the€court€allows€the€evidence,€whether€those€elements€have€beenÐ â)~#- Ðâ âproved€becomes€a€jury€question.€€òòArpanóó,€260€F.2d€at€655;€òòCarteróó,€760€F.2d€at€1580€n.5.€Ð Î*j$. Ðà  àPost-arrest€silence€by€a€defendant€after€òòMirandaóó€warnings€have€been€given€isÐ d Ðâ âinadmissible€against€the€defendant.€€òòDoyle€v.€Ohioóó,€426€U.S.€610€(1976).€€If€a€defendant€gives€aÐ Pì Ðstatement,€however,€his€silence€as€to€other€matters€may€be€admitted.€€òòAnderson€v.€Charlesóó,€447Ð <Ø ÐU.S.€404€(1980);€òòseeóó€òòUnited€States€v.€Mitchellóó,€558€F.2d€1332,€1334-35€(8th€Cir.€1977).€€AÐ ( Ä Ðdefendant's€pre-arrest€silence€may€be€admitted,€òòJenkins€v.€Andersonóó,€447€U.S.€231€(1980)€as€wellÐ  ° Ðas€silence€after€arrest€but€prior€to€warnings.€€òòFletcher€v.€Weiróó,€455€U.S.€603€(1982).€Ð   œ ÐÖ€ôòØGÖÓ €Óà@Î Î ìàò òÔ% €} ÔÔ  Ô4.15.€€FALSE€EXCULPATORY€STATEMENTSÔ  (bÔó óˆÐ d ÐÌÓ€Óà@ÒÒìà(No€instruction€recommended.)€€Ó€ÓÓ €ÓˆÐ <Ø ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ž : Ðà  àAlthough€the€Committee€does€not€normally€recommend€an€instruction€on€this€issue,€theÐ  œ Ðfollowing€instruction€may,€in€appropriate€circumstances,€be€given:€€Ð ì ˆ ÐÔ'œž cÔà0  àà ` àWhen€a€defendant€voluntarily€and€intentionally€offers€an€explanation,€or€makesÐ N ê  Ðsome€statement€before€trial€tending€to€show€his€innocence,€and€this€explanation€orÐ :Ö  Ðstatement€is€later€shown€to€be€false,€you€may€consider€whether€this€evidence€points€to€aÐ &  Ðconsciousness€of€guilt.€€The€significance€to€be€attached€to€any€such€evidence€is€a€matterÐ ®  Ðfor€you€to€determine.€€Ðþš (#(# Ðà  àThe€instruction€is€aimed€at€pretrial€fabrications,€and€is€not€generally€appropriate€forÐ `ü  Ðcasting€doubt€on€a€defendantððs€trial€testimony.€€òòUnited€States€v.€Clarkóó,€45€F.3d€1247,€1251€(8thÐ Lè  ÐCir.€1995).Ð 8Ô  Ðà  àIf€the€defendant€denies€making€the€statement,€or€denies€that€it€is€exculpatory,€thisÐ š6 Ðlanguage€should€be€changed€to€allow€the€jury€to€decide€whether€or€not€the€statement€was€made€orÐ †" Ðwhether€or€not€it€was€exculpatory.€€òòUnited€States€v.€Holbertóó,€578€F.2d€128,€130€(5th€Cir.€1978).€Ð r Ðà  àIf€the€falsity€of€the€exculpatory€statement€is€controverted,€this€language€should€beÐ Ôp Ðchanged€to€allow€the€jury€to€find€whether€or€not€the€statement€was€false.€€òòSeeóó€òòUnited€States€v.Ð À\ ÐPringleóó,€576€F.2d€1114,€1120€n.6€(5th€Cir.€1978).€Ð ¬H Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rj#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r_j#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¦j#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rõj#Ô:€€CriminalÐ ª Ððð14.06€(5th€ed.€2000);€òòUnited€States€v.€Wellsóó,€702€F.2d€141,€144€n.2€(8th€Cir.€1983);€òòUnitedÐ ú– ÐStates€v.€Turneróó,€551€F.2d€780,€783€(8th€Cir.€1977).€Ð æ‚ Ðà  àòòSee€alsoóó€Committee€Comments,€Instruction€4.13,€òòsupraóó,€on€specific€inferences.€Ð Hä Ðà  àFalse€exculpatory€statements€are€properly€admissible€as€substantive€evidence€tending€toÐ ª F! Ðshow€consciousness€of€guilt.€€òòUnited€States€v.€Hudsonóó,€717€F.2d€1211,€1215€(8th€Cir.€1983)€andÐ –!2" Ðcases€cited€therein.€€This€Circuit€has€repeatedly€held€that€an€instruction€of€this€nature€"is€properlyÐ ‚"# Ðgiven€when€a€defendant€.€.€.€offers€an€exculpatory€explanation€which€is€later€proven€to€be€false."€Ð n# $ ÐòòWellsóó,€702€F.2d€at€144;€òòUnited€States€v.€Hudsonóó,€717€F.2d€1211€(8òòthóó€Cir.€1983);€òòsee€alsoóó€òòRizzo€v.Ð Z$ö% ÐUnited€Statesóó,€304€F.2d€810,€830€(8th€Cir.€1962),€and€cases€cited€therein.€€òòSee€furtheróó,€òòWilson€v.Ð F%â& ÐUnited€Statesóó,€162€U.S.€613,€620-21€(1896)€indicating€that€such€conduct€formerly€gave€rise€to€aÐ 2&Î' Ð"presumption"€of€guilt.€Ð 'º ( Ðà  àòòWellsóó€also€held€that€such€an€instruction€does€not€unfairly€penalize€the€criminal€defendantÐ €("* Ðwho,€upon€confrontation,€denies€the€crime€rather€than€remain€silent.€€702€F.2d€at€144.€€òòHudsonóóÐ l)#+ Ðfurther€held€such€an€instruction€proper€because€it€permits€the€jury€to€attach€as€much€or€as€littleÐ X*ô#, Ðsignificance€to€the€statement€as€it€chooses.€€717€F.2d€at€1215.€Ð D+à$- Ðà  àWhile€general€denials€of€guilt€later€contradicted€are€not€considered€exculpatoryÐ d Ðstatements,€any€other€exculpatory€statement€which€is€contradicted€by€evidence€at€trial€justifies€theÐ Pì Ðgiving€of€this€kind€of€jury€instruction.€€òòUnited€States€v.€McDougaldóó,€650€F.2d€532,€533€(4th€Cir.Ð <Ø Ð1981)€(citing€òòUnited€States€v.€Bear€Killeróó,€534€F.2d€1253,€1260€(8th€Cir.€1976)).€€Ð ( Ä Ðà  àThe€comments€to€Federal€Judicial€Center,€Pattern€Criminal€Jury€Instructions€ðð€44€(1988),Ð Š & ÐSeventh€Circuit€Federal€Jury€Instructions:€€Criminal€ðð€3.22€(1999)€and€Ninth€Cir.€Crim.€JuryÐ v  ÐInstr.€4.3€(1997)€recommend€that€no€instruction€on€this€subject€be€given€and€that€the€subject€beÐ b þ Ðleft€to€argument€of€counsel.€€However,€the€courts€in€many€circuits€have€approved€the€giving€of€anÐ N ê Ðinstruction€of€this€nature.€€òòSeeóó,€in€addition€to€the€Eighth€Circuit€cases€cited€above,€òòUnited€StatesÐ :Ö  Ðv.€Zangóó,€703€F.2d€1186,€1191€(10th€Cir.€1982);€òòUnited€States€v.€McDougaldóó,€650€F.2d€at€533Ð &  Ð(noting€that€such€instructions€"have€long€been€approved€by€the€courts"€(citing€òòWilsonóó));€òòUnitedÐ ®  ÐStates€v.€Boekelmanóó,€594€F.2d€1238,€1240-41€(9th€Cir.€1979);€òòUnited€States€v.€Pringleóó,€576€F.2dÐ þš  Ð1114,€1120€(5th€Cir.€1978).€Ð  ê†  ÐÖ€øôØHÖÓ €Óà@__ìàò òÔ% € ÔÔ  Ô4.16.€€MISSING€WITNESSÔ ro)xÔó óˆÐ d ÐÌÓ€Óà@¥¥ìà(No€model€instruction€provided)òò1óó€Ó€ÓÓ €ÓˆÐ <Ø ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ž : Ðà  à1.€€Because€of€the€limited€circumstances€in€which€a€missing€witness€instruction€would€beÐ  œ Ðappropriate,€no€model€instruction€is€provided€here.€€With€respect€to€argument€of€a€party's€failureÐ ì ˆ Ðto€Ô'&ž yÔcall€a€particular€witness,€the€Committee€recommends€that€the€court€review€the€subject€withÐ Ø t Ðcounsel€before€argument,€on€the€record€but€outside€the€jury's€presence,€to€determine€whether€suchÐ Ä `  Ðan€argument€will€be€permitted€and€if€so€what€limits€to€place€on€it.€€òòBut€noteóó,€neither€argument€norÐ °L  Ðan€instruction€on€this€subject€should€be€permitted€as€òòagainstóó€a€defendant€who€has€offered€noÐ œ8  Ðevidence.€Ð ˆ$  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ê†  Ðà  àExamples€of€missing€witness€instructions€may€be€found€in€š1A€Kevin€F.€OððMalley,€et€al.,Ð Lè  КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r}#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rX}#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŸ}#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rî}#ÔÔ':êE|Ô:€€Criminal€ðð€14.15€(5th€ed.€2000).€Ð 8Ô  Ðà  àThe€rule€which€forms€the€basis€of€the€"absent€witness"€instruction€provides€that€"if€a€partyÐ š6 Ðhas€it€particularly€within€his€power€to€produce€witnesses€whose€testimony€would€elucidate€theÐ †" Ðtransaction,€the€fact€that€he€does€not€do€it€creates€the€presumption€that€the€testimony,€if€produced,Ð r Ðwould€be€unfavorable."€€òòUnited€States€v.€Andersóó,€602€F.2d€823,€825€(8th€Cir.€1979)€(quotingÐ ^ú Ðfrom€òòGraves€v.€United€Statesóó,€150€U.S.€118,€121€(1893)).€€However€it€is€well€settled€that€theÐ Jæ Ðpropriety€of€giving€this€instruction€is€within€the€discretion€of€the€trial€court.€€òòUnited€States€v.Ð 6Ò ÐWilliamsóó,€604€F.2d€1102,€1117€(8th€Cir.€1979);€òòAndersóó;€òòUnited€States€v.€Johnsonóó,€562€F.2d€515,Ð "¾ Ð517€(8th€Cir.€1977);€òòUnited€States€v.€Kirkóó,€534€F.2d€1262,€1280€(8th€Cir.€1976);€òòUnited€States€v.Ð ª ÐWilliamsóó,€481€F.2d€735,€738€(8th€Cir.€1973).€Ð ú– Ðà  àIt€has€also€long€been€held€that,€upon€a€request€for€a€jury€instruction,€the€inference€is€one€toÐ \ø Ðbe€applied€with€caution€andÐ Hä Ðà0  àthat€it€is€not€one€which€is€abstractly€entitled€to€be€given€application;€but€that€it€is€to€beÐ ª F  Ðaccorded€opportunity€for€significance€and€effect€only€when€there€has€been€shown€aÐ –!2! Ðfactual€area€in€which€it€can€logically€operate.€Ð‚""(#(# ÐòòWilson€v.€United€Statesóó,€352€F.2d€889,€892€(8th€Cir.€1965),€òòquoted€with€approval€inóó€òòUnitedÐ ä#€$ ÐStates€v.€Higginbothamóó,€451€F.2d€1283,€1286€(8th€Cir.€1971).€Ð Ð$l% Ðà  àThis€is€because€the€applicable€rule€in€this€Circuit€is€that:Ð 2&Î' Ðà0  àAbsent€unusual€circumstances€such€as€knowingly€concealing€evidence€favorable€to€aÐ ”'0!) Ðdefendant,€the€government€has€a€wide€discretion€with€respect€to€the€witnesses€to€be€calledÐ €("* Ðto€prove€its€case.€€The€government€is€not€ordinarily€compelled€to€call€all€witnessesÐ l)#+ Ðcompetent€to€testify€including€special€agents€or€informers.€ÐX*ô#,(#(# ÐòòWilliamsóó,€481€F.2d€at€737;€òòUnited€States€v.€Mosbyóó,€422€F.2d€72,€74€(8th€Cir.€1970).€Ð º+V%. Ðà  àThe€instruction€has€been€held€properly€refused€where€the€ability€to€produce€the€witnessÐ d Ðwas€not€solely€or€otherwise€in€the€power€of€the€government€such€as€where€a€witness€could€notÐ Pì Ðtestify€due€to€illness,€òòWilliamsóó,€604€F.2d€at€1117;€where€the€witness€was€not€subpoenaed€byÐ <Ø Ðeither€party,€òòWilliamsóó,€604€F.2d€at€1120;€òòHigginbothamóó,€451€F.2d€at€1286;€where€the€witness€wasÐ ( Ä Ðargued€to€be€"unavailable"€because€he€worked€for€the€government,€òòAndersóó,€602€F.2d€at€825;Ð  ° Ðwhere€the€witness/informant's€whereabouts€were€no€longer€known€to€the€government,€òòJohnsonóó,Ð  œ Ð562€F.2d€at€517;€where€there€was€no€showing€that€the€government€possessed€the€sole€power€toÐ ì ˆ Ðproduce€the€witnesses,€òòKirkóó,€534€F.2d€at€1280;€where€the€defendant€made€no€motion€to€produceÐ Ø t Ðor€attempt€to€subpoena€the€witness,€òòWilliamsóó,€481€F.2d€at€737.€€Ð Ä ` Ðà  àMoreover,€the€instruction€is€not€appropriate€where€the€testimony€of€the€witness€would€notÐ &  Ð"elucidate€the€transaction"€such€as€where€the€testimony€would€be€cumulative,€òòUnited€States€v.Ð ®  ÐJohnsonóó,€467€F.2d€804,€808€(1st€Cir.€1972),€or€where€it€would€be€irrelevant.€€òòUnited€States€v.Ð þš  ÐEmalfarbóó,€484€F.2d€787€(7th€Cir.€1973).€€Ð  ê†  ÐÖ€ùøØIÖÓ €Óà@• • ìàò òÔ% € ÔÔ  Ô4.17.€€DIRECT€AND€CIRCUMSTANTIAL€EVIDENCEÔ ctÍÔó óˆÐ d ÐÌÓ€Óà@« « ìà(òòSeeóó€last€paragraph€of€Instruction€1.03,€òòsupraóó.)Ó€ÓÓ €ÓˆÐ <Ø Ðà@55!ìàò òCommittee€Commentsó óˆÐ ž : Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rF#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r×#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r&#Ô:€€CriminalÐ  œ Ððð12.04€(5th€ed.€2000);€òòUnited€States€v.€Kirkóó,€534€F.2d€1262,€1279€(8th€Cir.€1976).Ð  ì ˆ КÖ€ïçì7ÖÑ  ÑÖ€ðùØJÖÓ €Óà@ÛÛìàÔ% €‘ ÔÔ  Ôò ò5.00.€€FINAL€INSTRUCTIONS:€€CRIMINAL€RESPONSIBILITYˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ cto‘ԈРˆØ ÐÌà  àThis€section€addresses€situations€in€which€a€person€may€be€found€guilty€of€a€crime€even€ifÐ `° Ðthat€person€did€not€personally€carry€out€all€of€the€acts€constituting€the€substantive€offense.Ð  L œ ÐÖ€ðìLÖà@9 9 ìàò òÔ% €” ÔÔ  Ô5.01.€€AIDING€AND€ABETTING€(18€U.S.C.€ðð€2(a))Ô ctE“Ôó ó€ò òòò1óóó óˆÐ d ÐÌà  àÓ€ÓA€person€may€[also]òò2óó€be€found€guilty€of€(insert€principal€offense)€even€if€[he]€[she]Ð @Ü Ðpersonally€did€not€do€every€act€constituting€the€offense€charged,òò3óó€if€[he]€[she]€aided€and€abettedÐ ¢ > Ðthe€commission€of€(describe€principal€offense).€Ð    Ðà  àIn€order€to€have€aided€and€abetted€the€commission€of€a€crime€a€person€must€[,€before€or€atÐ f  Ðthe€time€the€crime€was€committed,]:òò4óóÐ È d  Ðà0  àà ` à(1)€have€known€(describe€principal€offense)€was€being€committed€or€going€to€beÐ *Æ  Ðcommitted;€[and]€ÐŒ( (#(# Ðà0  àà ` à(2)€have€knowingly€acted€in€some€way€for€the€purpose€of€[causing]€[encouraging]Ð îŠ  Ð[aiding]€the€commission€of€(describe€principal€offense)[.]€[;€and]€ÐPì (#(# Ðà0  àà ` à[(3)€have€[intended]€[known]€(insert€mental€state€required€by€principal€offense).]òò5óó€Ð²N(#(# Ðà  àFor€you€to€find€the€defendant€guilty€of€(insert€principal€offense)€by€reason€of€aiding€andÐ ° Ðabetting,€the€Government€must€prove€beyond€a€reasonable€doubt€that€all€of€the€elements€ofÐ v Ð(describe€principal€offense)€were€committed€by€some€person€or€persons€and€that€the€defendantÐ Øt Ðaided€and€abetted€the€commission€of€that€crime.€Ð :Ö Ðà  à[You€should€understand€that€merely€being€present€at€the€scene€of€an€event,€or€merelyÐ œ8 Ðacting€in€the€same€way€as€others€or€merely€associating€with€others,€does€not€prove€that€a€personÐ þš  Ðhas€become€an€aider€and€abettor.€€A€person€who€has€no€knowledge€that€a€crime€is€beingÐ `ü" Ðcommitted€or€about€to€be€committed,€but€who€happens€to€act€in€a€way€which€advances€someÐ Â^$ Ðoffense,€does€not€thereby€become€an€aider€and€abettor.]Ó€ÓÓ €ÓÐ $!À& ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ †""( Ðà  à1.€€Unless€the€principal€offense€is€also€submitted€to€the€jury,€this€instruction€should€beÐ è#„* Ðread€together€with€Ô':†"²›Ôthe€principal€offense€instruction€as€one€instruction.€€The€Burden€of€ProofÐ Ô$p+ Ðlanguage€of€Instruction€3.09€should€be€deleted€and€the€Burden€of€Proof€language€from€InstructionÐ À%\, Ð5.01€used.€€If€there€is€a€self€defense€or€entrapment€defense,€the€appropriate€language€fromÐ ¬&H - ÐInstruction€3.09€must€be€included.€€The€instruction€should€look€something€like€the€following:€Ð ˜'4!. Ðà0  àà ` àThe€crime€of€________€as€charged€in€the€indictment,€has€____€elements,€whichÐ ú(–"0 Ðare:€Ðæ)‚#1(#(# Ðà0  àà ` àòòOneóó,€____________________________________________________________;ÐH+ä$3(#(# Ðà0  àà ` àòòTwoóó,€_________________________________________________________;€andÐd(#(# Ðà0  àà ` àòòEtc.óó,€_____________________________________________________________.€ÐÆb(#(# Ðà0  àà ` àA€person€may€be€found€guilty€of€(insert€principal€offense)€even€if€[he]€[she]Ð ( Ä Ðpersonally€did€not€do€every€act€constituting€the€offense€charged,€if€[he]€[she]€aided€andÐ  ° Ðabetted€the€commission€of€(describe€principal€offense).€Ð œ(#(# Ðà0  àà ` àIn€order€to€have€aided€and€abetted€the€commission€of€a€crime€a€person€must€[,Ð b þ Ðbefore€or€at€the€time€the€crime€was€committed,]:€ÐN ê (#(# Ðà0  àà ` à(1)€have€known€(describe€principal€offense)€was€being€committed€or€going€to€beÐ °L  Ðcommitted;€[and]Ðœ8 (#(# Ðà0  àà ` à(2)€have€knowingly€acted€in€some€way€for€the€€purpose€of€[causing]€[encouraging]Ð þš  Ð[aiding]€the€commission€of€(describe€principal€offense)[.]€[;€and]€Ðê† (#(# Ðà0  àà ` à[(3)€have€[intended]€[known]€(insert€mental€state€required€by€principal€offense).]€ÐLè (#(# Ðà0  àà ` àFor€you€to€find€the€defendant€guilty€of€(insert€principal€offense)€by€reason€ofÐ ®J Ðaiding€and€abetting,€the€Government€must€prove€beyond€a€reasonable€doubt€all€of€theÐ š6 Ðelements€of€(describe€principal€offense)€were€committed€by€some€person€or€persons€andÐ †" Ðthat€the€defendant€aided€and€abetted€that€crime€[and€must€further€prove€beyond€aÐ r Ðreasonable€doubt€that€the€defendant€was€not€[entrapped]€[acting€in€self€defense],€[actingÐ ^ú Ðin€defense€of€_______]€[as€defined€in€Instruction€No.€_____]];€otherwise€you€must€find€Ð Jæ Ðthe€[that€particular]€defendant€not€guilty€of€this€crime€[under€Count€____].Ð6Ò(#(# Ðà  à2.€€Use€if€the€defendant's€guilt€on€the€principal€offense€is€also€being€submitted€to€the€jury.€Ð ˜4 Ðà  à3.€€This€instruction€should€be€given€only€when€the€evidence€in€the€case€shows€that€moreÐ ú– Ðthan€one€person€has€performed€acts€necessary€for€the€commission€of€an€offense.€€In€other€words,Ð æ‚ Ða€person€cannot€aid€and€abet€himself€in€the€commission€of€a€crime.Ð Òn Ðà  à4.€€Use€only€if€there€is€a€disputed€issue€with€respect€to€whether€the€defendant€acted€beforeÐ 4 Ð! Ðthe€crime€was€completed.€€This€language€has€been€repeatedly€approved.€€òòSeeóó€òòUnited€States€v.Ð  !¼" ÐJarboeóó,€513€F.2d€33,€36€(8th€Cir.€1975).€Ð  "¨# Ðà  à5.€€If€the€principal€offense€requires€a€particular€mental€state,€the€aider€and€abettor€mustÐ n# % Ðshare€in€that€mental€state.€€òòUnited€States€v.€Lardóó,€734€F.2d€1290,€1298€(8th€Cir.€1984);€òòJarboeóó.€Ð Z$ö& ÐThe€instruction€must€include€that€mental€state.€€òòSeeóó€òòUnited€States€v.€Burkhalteróó,€583€F.2d€389,Ð F%â' Ð391€(8th€Cir.€1978)€(knowledge€that€the€item€transferred€was€a€firearm€required,€but€knowledgeÐ 2&Î( Ðthat€the€principal€was€unlicensed€was€not€required).€€òòUnited€States€v.€Powellóó,€929€F.2d€724€(D.C.Ð 'º ) ÐCir.€1991).Ð  (¦!* Ðà@55!ìàò òCommittee€Commentsó óˆÐ l)#, Ðà  àSubsection€2(a)€of€Title€18,€United€States€Code,€applies€to€the€entire€Criminal€Code.€Ð Î*j$. ÐòòUnited€States€v.€Sopczakóó,€742€F.2d€1119,€1121€(8th€Cir.€1984).€Ð º+V%/ Ðà0  àTo€be€guilty€of€aiding€and€abetting€is€to€be€guilty€as€if€one€were€a€principal€of€theÐ d Ðunderlying€offense.€€Aiding€and€abetting€is€not€a€separate€crime€but€rather€is€linked€to€theÐ Pì Ðunderlying€offense€and€shares€the€requisite€intent€of€the€offense.Ð<Ø(#(# ÐòòUnited€States€v.€Roan€Eagleóó,€867€F.2d€436,€445€(8òòthóó€Cir.€1989).€€Ð ž : Ðà  àThe€elements€of€aiding€and€abetting€are€generally€ð ð(1)€that€the€defendant€associatedÐ  œ Ðhimself€with€the€unlawful€venture;€(2)€that€he€participated€in€it€as€something€he€wished€to€bringÐ ì ˆ Ðabout;€and€(3)€that€he€sought€by€his€actions€to€make€it€succeed.ðð€€òòUnited€States€v.€Santanaóó,€524Ð Ø t ÐF.3d€851,€853€(8òòthóó€Cir.€2008)€(quoting€òòUnited€States€v.€McCrackenóó,€110€F.3d€535,€540€(8òòthóó€Cir.Ð Ä `  Ð1997)).Ð °L  Ðà  àAssociation€with€the€offense€has€been€interpreted€as€meaning€sharing€in€the€state€of€mindÐ ®  Ðof€the€principal.€€òòUnited€States€v.€Roan€Eagleóó,€867€F.2d€at€445€n.15.€€òòóóAccordingly,€the€instructionÐ þš  Ðhas€provided€for€inserting€the€intent€or€knowledge€required€for€the€principal€offense,€if€anyÐ ê†  Ðparticular€state€of€mind€is€required.€€òòSeeóó€Note€4,€òòsupraóó.€Ð Ör  Ðà  àA€defendant€may€be€convicted€on€the€theory€of€aiding€and€abetting€even€where€theÐ 8Ô  Ðindictment€does€not€charge€him€on€that€theory.€€òòUnited€States€v.€Beardsleeóó,€609€F.2d€914€(8thÐ $À ÐCir.€1979).€€This€instruction€covers€either€situation.€Ð ¬ Ðà  àA€person€may€be€convicted€of€an€offense€on€the€theory€of€aiding€and€abetting€even€if€theÐ r Ðalleged€principal€has€earlier€been€acquitted.€€òòStandefer€v.€United€Statesóó,€447€U.S.€10€(1980).€Ð ^ú Ðà0  àIn€order€to€sustain€the€conviction€of€a€defendant€who€has€been€charged€as€an€aider€andÐ À\ Ðabettor,€it€is€necessary€that€there€be€evidence€showing€an€offense€to€have€been€€committedÐ ¬H Ðby€a€principal€and€that€the€principal€was€aided€or€abetted€by€the€accused,€although€it€is€notÐ ˜4 Ðnecessary€that€the€principal€be€convicted€or€even€that€the€identity€of€the€principal€beÐ „  Ðestablished.Ðp (#(# ÐòòRay€v.€United€Statesóó,€588€F.2d€601,€603-04€(8th€Cir.€1978);€òòPigman€v.€United€Statesóó,€407€F.2dÐ Òn Ð237,€239€(8th€Cir.€1969).€€òòSee€alsoóó€òòUnited€States€v.€Hudsonóó,€717€F.2d€1211,€1214€(8òòthóó€Cir.€1983).€Ð ¾Z Ðà  àThere€must€be€knowing€participation€in€the€activity.€€òòUnited€States€v.€Roan€Eagleóó,€867Ð  !¼! ÐF.2d€at€445.€€òòSee€alsoóó€òòUnited€States€v.€Powellóó,€929€F.2d€724€(D.C.€Cir.€1991),€for€discussion€ofÐ  "¨" Ðwhat€must€be€known€to€aid€and€abet€a€violation€of€18€U.S.C.€ðð€924(c).ššÐ  ø"”# ÐÖ€ñìMÖÓ €Óà@±± ìàò òÔ% €– ÔÔ  Ô5.02.€€CAUSING€AN€OFFENSE€TO€BE€COMMITTED€(18€U.S.C.€ðð€2(b))Ô bºÔó óˆÐ d ÐÌÓ €Óà  àÓ€Ó(No€definition€of€"causing"€is€provided.€€The€Elements€instruction€should€be€modified€toÐ <Ø Ðindicate€that€the€defendant€voluntarily€and€intentionally€caused€any€acts€he€did€not€personallyÐ ž : Ðdo.)òò1óó€Ó€ÓÐ  œ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ b þ Ðà  à1.€€Thus,€for€example,€the€elements€of€Mail€Theft,€Instruction€6.18.1708A,€òòinfraóó,€wouldÐ Ä `  Ðbe€modified€as€follows:€Ð °L  ÐÔ'œb !¼Ôà0  àà0` (#(#àà  àòòOneóó,€the€letter€was€in€the€United€States€mail;€Ð® ` (#` (# Ðà0  àà0` (#(#àà  àòòTwoóó,€the€defendant€òòvoluntarily€and€intentionally€causedóó€John€Doe€to€take€the€letter€fromÐ t  Ðthe€mail;Ð`ü ` (#` (# Ðà0  àà0` (#(#àà  àòòThreeóó,€in€so€doing€the€defendant€intended€to€deprive€the€addressee€temporarily€orÐ Â^  Ðpermanently€of€the€letter.ЮJ` (#` (# Ðà  àNote€that€the€defendant€must€have€the€state€of€mind€required€by€the€principal€offense.€€òòSeeóóÐ ¬ ÐòòUnited€States€v.€Ruckeróó,€586€F.2d€899,€905€(2d€Cir.€1978).€Ð ü˜ ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ^ú Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¡À#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rëÀ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r2Á#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÁ#Ô:€€CriminalÐ À\ Ððð18.01€(5th€ed.€2000).€Ð ¬H ÐÔ'œ^ÀÔà  àSection€2(a)€and€2(b)€offenses€may€overlap.€Ð ª Ðà0  àSection€2(b)€merely€"removes€all€doubt€that€one€who€puts€in€motion€or€assists€in€theÐ p  Ðillegal€enterprise€or€causes€the€commission€of€an€indispensable€element€of€the€offense€byÐ \ø  Ðan€innocent€agent€or€instrumentality€is€guilty."€€The€statute€makes€it€"unnecessary€that€theÐ Hä! Ðintermediary€who€commits€the€forbidden€act€have€a€criminal€intent."€€òòUnited€States€v.Ð 4 Ð" ÐRapoportóó,€545€F.2d€802,€806€(2d€Cir.€1976).€Ð !¼#(#(# ÐòòUnited€States€v.€Ruckeróó,€586€F.2d€899,€905€(2d€Cir.€1978).€€òòSee€alsoóó€òòUnited€States€v.€Cookóó,€745Ð ‚"% ÐF.2d€1311,€1315€(10th€Cir.€1984).Ð n# & Ðà  àA€person€who€is€legally€incapable€of€committing€an€offense€as€a€principal€because€heÐ Ð$l( Ðdoes€not€have€the€required€status€(òòe.g.óó€a€bank€employee€under€18€U.S.C.€ðð€656)€can€commit€thatÐ ¼%X) Ðoffense€by€causing€an€intermediary€who€has€such€status€to€do€the€acts.€€òòUnited€States€v.Ð ¨&D * ÐTobon-Builesóó,€706€F.2d€1092,€1099-1100€(11th€Cir.€1983);€òòUnited€States€v.€Ruffinóó,€613€F.2d€408,Ð ”'0!+ Ð413-14€(2d€Cir.€1979).€€Ð  €(", ÐÖ€ñìNÖÓ €Óà@  ìàò òÔ% €˜ ÔÔ  Ô5.03.€€CORPORATE€RESPONSIBILITYÔ  ÇÔó óˆÐ d ÐÌà  àÓ€ÓDefendant[s]€(insert€name[s])€[is]€[are]€[a]€corporation[s].€€A€corporation€may€be€foundÐ <Ø Ðguilty€of€a€criminal€offense.€Ð ž : Ðà  àA€corporation€can€act€only€through€its€agents€„„€that€is,€its€directors,€officers,€employees,Ð  œ Ðand€other€persons€authorized€to€act€for€it.€Ð b þ Ðà  àTo€find€a€corporate€defendant€guilty€you€must€find€beyond€a€reasonable€doubt€that:€Ð Ä `  Ðà  àòòOneóó,€each€element€of€the€crime€charged€against€the€corporation€was€committed€by€one€orÐ &  Ðmore€of€its€agents;€and€Ð ˆ$  Ðà  àòòTwoóó,€in€committing€those€acts€the€agent[s]€intended,€at€least€in€part,€to€benefit€theÐ ê†  Ðcorporation;€and€Ð Lè  Ðà  àòòThreeóó,€each€act€was€within€the€scope€of€employment€of€the€agent€who€committed€it.€Ð ®J Ðà  àFor€an€act€to€be€within€the€scope€of€an€agent's€employment€it€must€relate€directly€to€theÐ ¬ Ðperformance€of€the€agent's€general€duties€for€the€corporation.€€It€is€not€necessary€that€the€act€itselfÐ r Ðhave€been€authorized€by€the€corporation.€Ð Ôp Ðà  àIf€an€agent€was€acting€within€the€scope€of€his€employment,€the€fact€that€the€agent's€actÐ 6Ò Ðwas€illegal,€contrary€to€his€employer's€instructions€or€against€the€corporation's€policies€will€notÐ ˜4 Ðrelieve€the€corporation€of€responsibility€for€it.€Ð ú–  Ðà  à[You€may,€however,€consider€the€existence€of€corporate€policies€and€instructions€and€theÐ \ø" Ðdiligence€of€efforts€to€enforce€them€in€determining€whether€the€agent€was€acting€with€intent€toÐ ¾Z$ Ðbenefit€the€corporation€or€within€the€scope€of€his€employment.]òò1óó€Ð  !¼& Ðà  à[If€you€find€that€an€act€of€an€agent€was€not€committed€within€the€scope€of€the€agent'sÐ ‚"( Ðemployment€or€with€intent€to€benefit€the€corporation,€then€you€must€consider€whether€theÐ ä#€* Ðcorporation€later€approved€the€act.€€An€act€is€approved€if,€after€it€is€performed,€another€agent€ofÐ F%â, Ðthe€corporation,€having€full€knowledge€of€the€act€and€acting€within€the€scope€of€his€employmentÐ ¨&D . Ðand€with€the€intent€to€benefit€the€corporation,€approves€the€act€by€his€words€or€conduct.€€AÐ  (¦!0 Ðâ âcorporation€is€responsible€for€any€act€or€omission€approved€by€its€agents.]òò2óóÓ€ÓÓ €ÓÐ l)#2 ÐÔ& & Ôâ ââ ââ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€This€bracketed€paragraph€should€only€be€given€if€there€is€evidence€of€such€instructionsÐ Æb Ðor€policies€and€enforcement€efforts.€€As€noted€in€the€comments€below,€the€Committee€does€notÐ ²N ÐÔ'&d<ÒÔbelieve€that€current€case€law€supports€an€instruction€stating€that€any€act€of€a€corporate€agent€inÐ ž : Ðviolation€of€corporate€rules€or€policies€is€outside€the€scope€of€employment.Ð Š & Ðà  à2.€€This€bracketed€paragraph€should€be€given€only€if€there€is€evidence€of€ratification.€Ð ì ˆ Ð"Ratification€is€an€express€or€implied€adoption€or€confirmation,€with€knowledge€of€all€materialÐ Ø t Ðmatters€by€one€person€of€an€act€performed€in€his€behalf€by€another€who€at€that€time€assumed€toÐ Ä `  Ðact€as€his€agent€but€lacked€authority€to€do€so."€€òòFederal€Enterprises€v.€Greyhound€Leasing€&Ð °L  ÐFin.óó,€849€F.2d€1059,€1062€n.5€(8th€Cir.€1988),€quoting€Missouri€cases.€Ð œ8  Ðà@55!ìàò òCommittee€Commentsó óˆÐ þš  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r%×#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ro×#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¶×#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rØ#Ô:€€CriminalÐ `ü  Ððð18.05€(5th€ed.€2000).€€òòSee€alsoóó€"Corporate€Crime:€€Regulating€Corporate€Behavior€throughÐ Lè  ÐCriminal€Sanctions,"€92€Harv.€L.€Rev.€1227,€1247€(1979).€€Ð 8Ô  Ðà  à"Generally€a€corporation€is€responsible€for€the€criminal€acts€of€its€officers,€agents€andÐ š6 Ðemployees€committed€within€the€scope€of€their€employment€and€for€the€benefit€of€theÐ †" Ðcorporation."€€òòUnited€States€v.€Richmondóó,€700€F.2d€1183,€1195€n.7€(8th€Cir.€1983)€(citing€òòUnitedÐ r ÐStates€v.€Cincottaóó,€689€F.2d€238€(1st€Cir.€1982),€and€òòUnited€States€v.€Demauroóó,€581€F.2d€50,€53Ð ^ú Ð(2d€Cir.€1978)).€€òòSee€also€New€York€Central€&€H.€R.R.€v.€United€Statesóó,€212€U.S.€481,€493-95Ð Jæ Ð(1909);€òòEgan€v.€United€Statesóó,€137€F.2d€369,€379€(8th€Cir.€1943);€òòUnited€States€v.€Beuschóó,€596Ð 6Ò ÐF.2d€871,€877-78€(9th€Cir.€1979),€and€òòUnited€States€v.€Hilton€Hotels€Corporationóó,€467€F.2dÐ "¾ Ð1000,€1004-07€(9th€Cir.€1972).Ð ª Ðà  à"Scope€of€employment"€is€not€confined€to€its€strict€agency€definition,€but€applies€to€actsÐ p  Ðdirectly€related€to€the€performance€of€duties€which€the€officer€or€agent€has€the€broad€authority€toÐ \ø Ðperform.€€òòContinental€Baking€Company€v.€United€Statesóó,€281€F.2d€137,€149-50€(6th€Cir.€1960);Ð Hä ÐòòUnited€States€v.€Carteróó,€311€F.2d€934,€941-42€(6th€Cir.€1963);€òòUnited€States€v.€Koppers€Co.,€Inc.óó,Ð 4 Ð Ð652€F.2d€290,€298€(2d€Cir.€1981).€€It€includes€acts€on€the€corporation's€behalf€in€performance€ofÐ  !¼  Ðthe€agent's€general€line€of€work.€€òòUnited€States€v.€Automated€Medical€Laboratories,€Inc.óó,€770Ð  "¨! ÐF.2d€399,€407€(4th€Cir.€1985);€òòUnited€States€v.€Armour€&€Co.óó,€168€F.2d€342,€344€(3d€Cir.€1948);Ð ø"”" ÐòòHilton€Hotelsóó,€467€F.2d€at€1004.€€"Thus,€scope€of€employment€in€practice€means€little€more€thanÐ ä#€# Ðthat€the€act€occurred€while€the€offending€employee€was€carrying€out€a€job-related€activity."€€92Ð Ð$l$ ÐHarv.€L.€Rev.,€òòsupraóó,€at€1250.€€òòSee€Eganóó,€137€F.2d€at€379-80,€for€an€application€of€this€definition.€Ð ¼%X% Ðà  àSome€courts€in€criminal€cases€have€attempted€to€define€"scope€of€employment"€in€termsÐ 'º ' Ðof€"actual"€and€"apparent"€authority.€€òòSeeóó,€òòe.g.óó,€òòContinental€Bakingóó,€281€F.2d€at€150-51;€òòUnitedÐ  (¦!( ÐStates€v.€American€Radiator€and€Standard€Sanitary€Corp.óó,€433€F.2d€174,€204-05€(3d€Cir.€1970);Ð ö(’") ÐòòUnited€States€v.€Basic€Const.€Co.óó,€711€F.2d€570,€572-73€(4th€Cir.€1983);€òòUnited€States€v.€Bi-CoÐ â)~#* ÐPavers,€Inc.óó,€741€F.2d€730,€737-38€(5th€Cir.€1984).€€"Actual"€authority€is€broken€down€intoÐ Î*j$+ Ð"express"€and€"implied"€authority.€€However,€as€òòContinental€Bakingóó€points€out,€these€conceptsÐ º+V%, Ðand€their€definitions€are€most€helpful€and€relevant€in€deciding€certain€contract€and€tort€questionsÐ d Ðin€civil€cases€and€do€not€properly€address€the€true€basis€for€criminal€liability.€€281€F.2d€at€149-50.€Ð Pì ÐòòSee€also€United€States€v.€Carteróó,€311€F.2d€at€941-42.€€In€criminal€cases,€analyzing€"scope€ofÐ <Ø Ðemployment"€in€terms€of€"authority"€collides€with€the€rule€that€the€corporation€can€be€liableÐ ( Ä Ð"without€proof€that€the€conduct€was€within€the€agent's€actual€authority,€and€even€though€it€mayÐ  ° Ðhave€been€contrary€to€express€instructions."€€òòUnited€States€v.€Hilton€Hotels€Corporationóó,€467Ð  œ ÐF.2d€at€1004.Ð ì ˆ Ðà  àIntent€to€benefit€the€corporation€is€treated€as€a€separate€element€in€this€instruction.€€It€isÐ N ê Ðsometimes€treated€as€part€of€the€definition€of€"scope€of€employment."€€òòSee€United€States€v.Ð :Ö  ÐAutomated€Medical€Laboratories,€Inc.óó,€770€F.2d€at€407.€Ð &  Ðà  àIf€the€act€is€done€within€the€course€of€employment€and€with€intent€to€benefit€theÐ ˆ$  Ðcorporation,€the€corporation€is€criminally€liable€even€if€the€act€was€unlawful,€òòEganóó,€137€F.2d€atÐ t  Ð379;€òòUnited€States€v.€American€Radiator€and€Standard€Sanitary€Corp.óó,€433€F.2d€at€204-05;Ð `ü  ÐòòUnited€States€v.€Automated€Medical€Laboratories,€Inc.óó,€770€F.2d€at€407,€or€was€done€contrary€toÐ Lè  Ðinstructions€or€policies.€€òòEgan,€id.óó;€òòAmerican€Radiator,€id.óó;€òòAutomated€Medical€Laboratories,Ð 8Ô  ÐInc.,€idóó.;€òòHilton€Hotelsóó,€467€F.2d€at€1044;€òòUnited€States€v.€Beuschóó,€596€F.2d€at€877;€òòUnited€StatesÐ $À Ðv.€Harvey€L.€Young€&€Sons,€Inc.óó,€464€F.2d€1295,€1297€(10th€Cir.€1972).€€òòCf.óó€š1A€Kevin€F.Ð ¬ ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rûë#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rEì#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŒì#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÛì#Ô:€€Criminal€ðð18.05€(5th€ed.€2000),Ð ü˜ Ðwhich€includes€a€statement€that€a€corporate€agent€is€not€acting€within€the€scope€of€hisÐ è„ Ðemployment€when€he€performs€an€act€which€the€corporation€has€forbidden.€€The€Committee€doesÐ Ôp Ðnot€believe€this€portion€of€No.€18.05€is€supported€by€current€case€law.Ð À\ Ðà  àThe€jury€may,€however,€consider€the€existence€of€such€policies€or€instructions€inÐ "¾ Ðdetermining€whether€the€agent€was€acting€for€the€benefit€of€the€corporation.€€òòUnited€States€v.Ð ª ÐBeuschóó,€596€F.2d€at€878;€òòUnited€States€v.€Basic€Const.€Co.óó,€711€F.2d€at€573.€€The€fact€that€anÐ ú– Ðemployee€did€not€follow€instructions€"may€be€a€factor€militating€against€corporate€criminalÐ æ‚ Ðresponsibility€but€rises€no€higher."€€òòUnited€States€v.€Harvey€L.€Young€&€Sons,€Inc.óó,€464€F.2d€atÐ Òn Ð1297.€€Merely€stating€or€publishing€such€instructions€and€policies€without€diligently€enforcingÐ ¾Z Ðthem€is€not€enough€to€place€the€acts€of€an€agent€who€violates€them€outside€the€scope€of€hisÐ ª F Ðemployment.€€òòBeuschóó,€596€F.2d€at€878.€Ð –!2 Ðà  àThe€agent€need€only€intend€in€part€to€benefit€the€corporation.€€He€may€also€intend€toÐ ø"”! Ðbenefit€himself.€€òòUnited€States€v.€Goldóó,€743€F.2d€800,€823€(11th€Cir.€1984);€òòUnited€States€v.Ð ä#€" ÐAutomated€Medical€Laboratories,€Inc.óó,€770€F.2d€at€407.€€It€is€not€necessary€that€the€actions€haveÐ Ð$l# Ðactually€benefitted€the€corporation.€€òòId.óó;€òòUnited€States€v.€Carteróó,€311€F.2d€at€942.€€However,€thereÐ ¼%X$ Ðis€no€corporate€liability€where€the€agent€acts€solely€for€his€personal€gain,€directly€contrary€to€theÐ ¨&D % Ðinterests€of€the€corporation.€€òòStandard€Oil€Company€of€Texas€v.€United€Statesóó,€307€F.2d€120€(5thÐ ”'0!& ÐCir.€1962).€Ð  €("' ÐÖ€ìOÖÓ €Óà@°°ìàò òÔ% €š ÔÔ  Ô5.04.€€PERSONAL€RESPONSIBILITY€OF€CORPORATE€AGENTÔ €p_õÔó óˆÐ d ÐÌà  àÓ€ÓA€person€is€responsible€for€acts€which€[he]€[she]€performs,€or€causes€to€be€performed,€onÐ <Ø Ðbehalf€of€a€corporation,€just€as€[he]€[she]€is€responsible€for€acts€performed€on€[his]€[her]€ownÐ ž : Ðbehalf.€€This€is€so€even€if€[he]€[she]€acted€on€instructions€of€a€superior.€€[But€a€person€is€notÐ  œ Ðresponsible€for€the€acts€performed€by€other€people€on€behalf€of€a€corporation,€even€if€thoseÐ b þ Ðpersons€are€officers,€employees€or€other€agents€of€the€corporation.]òò1óó€Ó€ÓÓ €ÓÐ Ä `  ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ &  Ðà  à1.€€Do€òònotóó€use€the€last€sentence€if€a€conspiracy€involving€other€corporate€employees€orÐ ˆ$  Ðagents€is€charged.€Ô_ÔÔ':&9øÔÔ_ÔÐ  t  ÐÖ€"ìPÖÓ €Óà@ˆ ˆ ìàò òÔ% €œ ÔÔ  Ô5.05.€€ACCESSORY€AFTER€THE€FACT€(18€U.S.C.€ðð€3)Ô €p£ùÔó óˆÐ d ÐÌà  àÓ€ÓAs€I€told€you,€the€crime€charged€in€[Count€__]€[this€case]€is€being€an€accessory€after€theÐ <Ø Ðfact€to€(describe€principal€offense,€e.g.,€the€kidnaping€of€Jane€Doe.)€€A€defendant€may€be€foundÐ ž : Ðguilty€of€being€an€accessory€after€the€fact€even€though€[he]€[she]€did€not€personally€commit€theÐ  œ Ðcrime€of€(describe€principal€offense).€Ð b þ Ðà  àThe€crime€of€being€an€accessory€after€the€fact,€as€charged€in€[Count€__€of]€the€indictment,Ð Ä `  Ðhas€three€elements,€which€are:Ð &  Ðà  àòòOneóó,€(name[s]€of€principal[s])€had€committed€the€offense€of€(describe€principal€offense).òò1óó€Ð ˆ$  Ðà  àòòTwoóó,€the€defendant€knew€that€(name[s]€of€principal[s])€had€committed€the€offense€ofÐ ê†  Ð(describe€principal€offense);€and€Ð Lè  Ðà  àòòThreeóó,€after€the€crime€of€(describe€principal€offense)€had€been€committed€by€(name[s]€ofÐ ®J Ðprincipal[s]),€the€defendant€helpedòò2óó€[him]€[her]€[them],€in€order€to€prevent€[his]€[her]€[their]Ð ¬ Ðarrest,€trial€or€punishment.€Ð r Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð Ôp Ðà  àTo€assist€you€in€determining€whether€the€crime€of€(describe€offense)€was€committed€byÐ 6Ò Ðsome€other€person€or€persons,€as€required€by€Element€One€above,€you€are€advised€that€theÐ ˜4 Ðelements€of€(describe€offense)€are€as€follows:òò3óó€Ð ú–  Ðà  àòòOneóó,€__________________________________________________________________;Ð \ø" Ðà  àòòTwoóó,€______________________________________________________________;€andÐ ¾Z$ Ðà  àòòEtc.óó,€__________________________________________________________________.Ó€ÓÓ €ÓÐ  !¼& ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ‚"( Ðà  à1.€€This€must€be€a€federal€offense.€Ð ä#€* ÐÔ'°‚"þÔà  à2.€€The€language€of€the€statute€is€"receives,€relieves,€comforts€or€assists."€Ð F%â, Ðà  à3.€€List€the€elements€of€the€offense€to€which€the€defendant€is€alleged€to€have€been€anÐ ¨&D . Ðaccessory€after€the€fact.€€òòSeeóó€Instruction€3.09,€òòsupraóó,€and€Section€6,€òòinfraóó.€Ð ”'0!/ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ö(’"1 Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r}#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÇ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r]#Ô:€€CriminalÐ X*ô#3 Ððð22.03€(5th€ed.€2000)Ô':ö(÷Ô;€òòUnited€States€v.€Bissonetteóó,€586€F.2d€73,€76€(8th€Cir.€1978).€Ð D+à$4 Ðà  àAn€accessory€after€the€fact€is€one€who,€knowing€that€a€substantive€offense€has€beenÐ d Ðcommitted€by€another,€receives,€relieves,€comforts€or€assists€the€principal€in€order€to€hinder€orÐ Pì Ðdelay€the€principal's€apprehension,€trial€or€punishment.€€òòSkelly€v.€United€Statesóó,€76€F.2d€483,€487Ð <Ø Ð(10th€Cir.€1935).€Ð ( Ä Ðà  àKnowledge€is€an€element€for€being€an€accessory€after€the€fact€under€18€U.S.C.€ðð€3€(1976).€Ð Š & ÐKnowledge€requires€knowing€that€an€offense€has€been€committed,€but€it€does€not€requireÐ v  Ðknowledge€that€a€warrant€has€been€issued.€€òòUnited€States€v.€Bissonetteóó,€586€F.2d€at€76.€Ð b þ Ð(Knowledge€of€the€issuance€of€a€warrant€is€required€where€the€charge€is€harboring€a€fugitiveÐ N ê Ðunder€18€U.S.C.€ðð€1071.€€òòId.óó€at€77;€òòUnited€States€v.€Udeyóó,€748€F.2d€1231€(8th€Cir.€1984).)€Ð :Ö  ÐKnowledge€may€be€inferred€from€circumstantial€evidence.€€òòBissonetteóó,€586€F.2d€at€76.€Ð &  Ðà  àAssistance€given€to€the€offender€must€be€after€the€fact€because€if€it€was€given€before€orÐ ˆ$  Ðduring€the€commission€of€the€offense,€the€person€assisting€would€be€an€aider€and€abettor.€€òòUnitedÐ t  ÐStates€v.€Balanoóó,€618€F.2d€624,€631€(10th€Cir.€1979);€òòUnited€States€v.€Barlowóó,€470€F.2d€1245,Ð `ü  Ð1253€(D.C.€Cir.€1972).€Ð  Lè  ÐÖ€#"ìQÖÓ €Óà@¬ ¬ ìàò òÔ% €ž ÔÔ  Ô5.06A.€€CONSPIRACY:€€ELEMENTS€(18€U.S.C.€ðð€371)Ô €p Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€conspiracyòò1óó€as€charged€in€[Count€__€of]€the€indictment,€has€fouròò2óó€elements,Ð <Ø Ðwhich€are:€Ð ž : Ðà  àòòOneóó,€on€or€before€(insert€date),€two€[or€more]€persons€reached€an€agreement€or€came€to€anÐ  œ Ðunderstanding€[to€(insert€offense,€e.g.,€transport€stolen€property€across€state€lines)]€[to€defraud€theÐ b þ ÐUnited€States€by€(describe€means,€e.g.,€impeding,€impairing,€obstructing€and€defeating€the€lawfulÐ Ä `  Ðgovernmental€functions€of€the€Internal€Revenue€Service€in€the€ascertainment,€computation,Ð &  Ðassessment€and€collection€of€income€taxes)];€Ð ˆ$  Ðà  àòòTwoóó,€the€defendant€voluntarily€and€intentionally€joined€in€the€agreement€orÐ ê†  Ðunderstanding,€either€at€the€time€it€was€first€reached€or€at€some€later€time€while€it€was€still€inÐ Lè  Ðeffect;€Ð ®J Ðà  àòòThreeóó,€at€the€time€the€defendant€joined€in€the€agreement€or€understanding,€[he]€[she]Ð ¬ Ðknew€the€purpose€of€the€agreement€or€understanding;€and€Ð r Ðà  àòòFouróó,€while€the€agreement€or€understanding€was€in€effect,€a€person€or€persons€who€hadÐ Ôp Ðjoined€in€the€agreement€knowingly€did€one€or€more€of€the€following€acts:€€(list€overt€acts€forÐ 6Ò Ðwhich€there€is€sufficient€evidenceòò3óó)€for€the€purpose€of€carrying€out€or€carrying€forward€theÐ ˜4 Ðagreement€or€understanding.€Ð ú–  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ \ø" ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¾Z$ Ðà  à1.€€The€general€conspiracy€statute€is€18€U.S.C.€ðð€371.€€At€least€24€other€conspiracyÐ  !¼& Ðstatutes€are€found€in€Titles€15,€18€and€21.€€Ð  "¨' ÐÔ'œ¾ÚÔà  à2.€€Conspiracies€charged€under€18€U.S.C.€ðð€371€require€an€overt€act€which€is€covered€inÐ n# ) ÐElement€Four.€€An€overt€act€is€not€required€in€conspiracies€charged€under€15€U.S.C.€ðð€1;€18Ð Z$ö* ÐU.S.C.€ðððð€241,€286,€384€and€1951;€and€21€U.S.C.€ðð€846.€€When€one€of€these€conspiracies€isÐ F%â+ Ðcharged,€Element€Four€should€be€omitted.€€òòSeeóó€Instruction€6.21.846A;€òòUnited€States€v.€Shabanióó,Ð 2&Î, Ð513€U.S.€10€(1994)€(21€U.S.C.€ðð€846€does€not€require€proof€of€an€overt€act).Ð 'º - Ðà  à3.€€The€government€may€prove€uncharged€overt€acts€to€satisfy€this€element.€€òòUnited€StatesÐ €("/ Ðv.€Sellersóó,€603€F.2d€53€(8th€Cir.€1979),€òòvacatedóó,€447€U.S.€932€(1980),€òòaff'd€in€relevant€partóó,€628Ð l)#0 Ðâ âF.2d€1085€(8th€Cir.€1980).€Ð X*ô#1 ÐÔ& : Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€š1A€and€2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rR#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r™#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rè#Ô:€Ð Æb ÐCriminal€ðððð18.02,€Ô':drÔ31.01„.11€(5th€ed.€2000).€€òòSee€alsoóó€òòUnited€States€v.€Sopczakóó,€742€F.2d€1119,Ð ²N Ð1121€(8th€Cir.€1984);€òòUnited€States€v.€Brownóó,€584€F.2d€252,€260€(8th€Cir.€1978).€Ð ž : Ðà  à"The€offense€of€conspiracy€consists€of€an€agreement€between€[two€or€more€persons]€toÐ  œ Ðcommit€an€offense,€attended€by€an€act€of€one€or€more€of€the€conspirators€to€effect€the€object€ofÐ ì ˆ Ðthe€conspiracy."€€òòUnited€States€v.€Hoelscheróó,€764€F.2d€491,€494€(8th€Cir.€1985);€òòUnited€States€v.Ð Ø t ÐBrownóó,€604€F.2d€557,€560€(8th€Cir.€1979)€(citing€òòUnited€States€v.€Skillmanóó,€442€F.2d€542,€547Ð Ä `  Ð(8th€Cir.€1971),€and€òòUnited€States€v.€Jacksonóó,€549€F.2d€517,€530€(8th€Cir.€1977)).€Ð °L  Ðà  àA€single€defendant€can€be€indicted€and€convicted€of€conspiracy,€provided€that€anÐ ®  Ðunlawful€agreement€with€others€is€proved,€òòKitchell€v.€United€Statesóó,€354€F.2d€715,€720€n.8€(1stÐ þš  ÐCir.€1966),€although€if€the€other€conspirator(s)€have€actually€been€acquitted€of€that€conspiracyÐ ê†  Ðthere€can€be€no€conviction€of€the€sole€remaining€alleged€conspirator.€€òòUnited€States€v.€Petersonóó,Ð Ör  Ð488€F.2d€645€(5th€Cir.€1974).€€In€an€instance€where€all€other€òònamedóó€conspirators€have€beenÐ Â^  Ðacquitted,€but€there€is€evidence€that€the€conspiracy€involved€other,€òòunnamedóó€conspirators,Ð ®J Ðconviction€of€the€sole€remaining€named€conspirator€is€permissible.€€òòUnited€States€v.€Allenóó,€613Ð š6 ÐF.2d€1248€(3d€Cir.€1980);€òòUnited€States€v.€Artusoóó,€618€F.2d€192€(2d€Cir.€1980).€Ð †" Ðà  àOne€who€joins€an€existing€conspiracy€is€guilty€of€conspiracy€and€adopts€the€prior€acts€ofÐ è„ Ðthe€other€conspirators.€€òòUnited€States€v.€Greenóó,€600€F.2d€154€(8th€Cir.€1979);€òòUnited€States€v.Ð Ôp ÐLemmóó,€680€F.2d€1193,€1204€(8th€Cir.€1982).€€A€new€conspiracy€is€not€created€each€time€a€newÐ À\ Ðmember€joins,€or€an€old€member€quits,€an€existing€conspiracy.€€òòUnited€States€v.€Burchinalóó,€657Ð ¬H ÐF.2d€985,€990€(8th€Cir.€1981);€òòUnited€States€v.€Heateróó,€689€F.2d€783,€788€(8th€Cir.€1982).€€AÐ ˜4 Ðdefendant€must€know€of€the€existence€of€the€conspiracy.€€Without€such€knowledge€he€cannot€beÐ „  Ðguilty€even€if€his€acts€furthered€the€conspiracy.€€òòUnited€States€v.€Falconeóó,€311€U.S.€205,€210Ð p  Ð(1940).€€€Ð \ø Ðà  àProof€of€association€or€acquaintanceship€alone€is€not€enough€to€establish€a€conspiracy;Ð ¾Z Ðhowever,€it€has€a€sufficient€bearing€on€the€issue€to€make€it€admissible.€€òòUnited€States€v.€Apkeróó,Ð ª F Ð705€F.2d€293,€298€(8th€Cir.€1983);€òòUnited€States€v.€Brownóó,€584€F.2d€at€259-60.€Ð –!2  Ðà  àThe€government€need€show€that€only€one€of€the€conspirators€engaged€in€one€overt€act€inÐ ø"”" Ðfurtherance€of€the€conspiracy.€€òòUnited€States€v.€Hermesóó,€847€F.2d€493,€495€(8th€Cir.€1988).Ð  ä#€# ÐÖ€&#ìRÖÓ €Óà@_ _ ìàò òÔ% €¡ ÔÔ  Ô5.06B.€€CONSPIRACY:€€"AGREEMENT"€EXPLAINEDÔ €3H'Ôó óˆÐ d ÐÌà  àÓ€ÓThe€Government€must€prove€that€the€defendant€reached€an€agreement€or€understandingÐ <Ø Ðwith€at€least€one€other€person.€€[It€makes€no€difference€whether€that€person€is€a€defendant€orÐ ž : Ðnamed€in€the€indictment.€€You€do€not€have€to€find€that€all€of€the€persons€charged€were€membersÐ  œ Ðof€the€conspiracy.]òò1óó€Ð b þ Ðà  àThe€"agreement€or€understanding"€need€not€be€an€express€or€formal€agreement€or€be€inÐ Ä `  Ðwriting€or€cover€all€the€details€of€how€it€is€to€be€carried€out.€€Nor€is€it€necessary€that€the€membersÐ &  Ðhave€directly€stated€between€themselves€the€details€or€purpose€of€the€scheme.€Ð ˆ$  Ðà  àYou€should€understand€that€merely€being€present€at€the€scene€of€an€event,€or€merelyÐ ê†  Ðacting€in€the€same€way€as€others€or€merely€associating€with€others,€does€not€prove€that€a€personÐ Lè  Ðhas€joined€in€an€agreement€or€understanding.€€A€person€who€has€no€knowledge€of€a€conspiracyÐ ®J Ðbut€who€happens€to€act€in€a€way€which€advances€some€purpose€of€one,€does€not€thereby€becomeÐ ¬ Ða€member.€Ð r Ðà  àBut€a€person€may€join€in€an€agreement€or€understanding,€as€required€by€this€element,Ð Ôp Ðwithout€knowing€all€the€details€of€the€agreement€or€understanding,€and€without€knowing€who€allÐ 6Ò Ðthe€other€members€are.€€Further€it€is€not€necessary€that€a€person€agree€to€play€any€particular€partÐ ˜4 Ðin€carrying€out€the€agreement€or€understanding.€€A€person€may€become€a€member€of€a€conspiracyÐ ú–  Ðeven€if€that€person€agrees€to€play€only€a€minor€part€in€the€conspiracy,€as€long€as€that€person€hasÐ \ø" Ðan€understanding€of€the€unlawful€nature€of€the€plan€and€voluntarily€and€intentionally€joins€in€it.€Ð ¾Z$ Ðà  àYou€must€decide,€after€considering€all€of€the€evidence,€whether€the€conspiracy€alleged€inÐ  !¼& Ð[the€indictment]€[Count€___€of€the€indictment]€existed.€€If€you€find€that€the€alleged€conspiracyÐ ‚"( Ðdid€exist,€you€must€also€decide€whether€the€[defendant]€[defendant€whose€case€you€areÐ ä#€* Ðconsidering]€voluntarily€and€intentionally€joined€the€conspiracy,€either€at€the€time€it€was€firstÐ F%â, Ðformed€or€at€some€later€time€while€it€was€still€in€effect.€€In€making€that€decision,€you€mustÐ ¨&D . Ðconsider€only€evidence€of€[the€defendantððs]€[that€defendantððs]€own€actions€and€statements.€€YouÐ  (¦!0 Ðmay€not€consider€actions€and€pretrial€statements€of€others€[,€except€to€the€extent€that€pretrialÐ l)#2 Ðâ âstatements€of€others€describe€something€that€had€been€said€or€done€by€[the]€[that]€defendant].òò2óó€€Ó€ÓÓ €ÓÐ Î*j$4 ÐÔ& & Ôâ ââ ââ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€Use€such€part€or€parts€of€this€paragraph€as€are€pertinent€to€the€case.€€Where€the€otherÐ Æb Ðconspirators€are€not€named,€the€jury€may€be€instructed€that€there€is€no€requirement€that€the€otherÐ ²N ÐÔ'&d3Ôconspirators€be€named€as€long€as€the€jury€finds€beyond€a€reasonable€doubt€that€there€are€otherÐ ž : Ðcoconspirators.€€òòUnited€States€v.€Collinsóó,€552€F.2d€243€(8th€Cir.€1977).€Ð Š & Ðà  à2.€€This€paragraph€is€consistent€with€the€courtððs€ruling€in€òòBourjaily€v.€United€Statesóó,€483Ð ì ˆ ÐU.S.€171€(1987),€and€òòUnited€States€v.€Shigemuraóó,€682€F.2d€699,€705€(8th€Cir.€1982).€€òòSee€alsoÐ Ø t ÐUnited€States€v.€Stephensonóó,€53€F.3d€836€(7th€Cir.€1995);€òòUnited€States€v.€Hagmannóó,€950€F.2dÐ Ä `  Ð175,€180€(5th€Cir.€1991);€òòUnited€States€v.€de€Ortizóó,€907€F.2d€629,€635€(7th€Cir.€1990)€(òòen€bancóó).Ð °L  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ®  Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rá7#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r+8#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rr8#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÁ8#Ô:€€CriminalÐ t  Ððððð31.04,€31.05,€31.07€(5th€ed.€2000)Ô':\7Ô.€Ð `ü  Ðà  àAgreement€among€the€coconspirators€to€pool€their€resources€is€the€essence€of€the€crime.€Ð Â^  ÐòòIannelli€v.€United€Statesóó,€420€U.S.€770,€777€(1975).€€To€prove€the€existence€of€an€agreement,Ð ®J Ðproof€of€a€formal€agreement€is€not€necessary€„€proof€of€a€common€plan€or€tacit€understanding€isÐ š6 Ðsufficient.€€òòUnited€States€v.€Powellóó,€853€F.2d€601,€604€(8th€Cir.€1988);€òòUnited€States€v.Ð †" ÐCampbellóó,€848€F.2d€846,€851€(8th€Cir.€1988);€òòUnited€States€v.€Massaóó,€740€F.2d€629,€636€(8thÐ r ÐCir.€1984);€òòNilva€v.€United€Statesóó,€212€F.2d€115,€121€(8th€Cir.€1954).€Ð ^ú Ðà  àMere€knowledge€of€an€illegal€act€or€association€with€an€individual€engaged€in€illegalÐ À\ Ðconduct€is€not€enough€to€prove€a€person€has€joined€a€conspiracy.€€òòUnited€States€v.€Raymondóó,€793Ð ¬H ÐF.2d€928,€932€(8th€Cir.€1986).€€However,€the€defendants€need€not€have€knowledge€of€every€detailÐ ˜4 Ðor€part€of€a€conspiracy€as€long€as€the€evidence€overall€shows€that€the€defendants€agreed€to€theÐ „  Ðessential€nature€of€the€conspiracy.€€òòBlumenthal€v.€United€Statesóó,€332€U.S.€539,€557€(1947).€Ð p  Ðà  àThe€Eighth€Circuit€has€held€that€once€the€government€has€established€existence€of€aÐ Òn Ðconspiracy,€even€slight€evidence€connecting€a€particular€defendant€to€the€conspiracy€may€beÐ ¾Z Ðsufficient€proof€of€the€defendant's€involvement€in€the€conspiracy.€€òòUnited€States€v.€Reevesóó,€83Ð ª F  ÐF.3d€203€(8th€Cir.€1996).Ð –!2! Ðà  àHowever,€"slight€evidence"€is€a€standard€for€appellate€review€and€this€term€should€not€beÐ ø"”# Ðincluded€in€jury€instructions.€€òòUnited€States€v.€Cooperóó,€567€F.2d€252,€253€(3d€Cir.€1977).€Ð ä#€$ Ðà  àThe€conspirators€need€not€know€or€even€have€contact€with€each€other.€€òòUnited€States€v.Ð F%â& ÐMichaelsóó,€726€F.2d€1307,€1311€(8th€Cir.€1984);€òòBlumenthal€v.€United€Statesóó,€332€U.S.€at€557-58.€Ð 2&Î' ÐIt€is€sufficient€that€a€conspirator€knows€that€the€purpose€and€complexity€of€the€scheme€wouldÐ 'º ( Ðrequire€the€aid€and€assistance€of€the€additional€persons.€€òòUnited€States€v.€Rosado„Fernandezóó,€614Ð  (¦!) ÐF.2d€50,€53€(5th€Cir.€1980);€òòUnited€States€v.€Wilsonóó,€506€F.2d€1252,€1257€(7th€Cir.€1974).€Ð  ö(’"* ÐÖ€(&ìSÖÓ €Óà@xxìàò òÔ% €£ ÔÔ  Ô5.06C.€€CONSPIRACY:€€SUBSTANTIVE€OFFENSE;€ELEMENTSÔ th¬CÔ€òò1óóó óˆÐ d ÐÌÓ€Óà  à[To€assist€you€in€determining€whether€there€was€an€agreement€or€understanding€to€(nameÐ <Ø Ðsubstantive€offense,€e.g.,€transport€stolen€property€across€state€lines),€you€are€advised€that€theÐ ž : Ðelements€of€(name€offense)€are:€Ð  œ Ðà  àòòOneóó,€__________________________________________________________________;Ð b þ Ðà  àòòTwoóó,€______________________________________________________________;€andÐ Ä `  Ðà  àòòEtc.óó,€_________________________________________________________________.òò2óóÐ &  ÐKeep€in€mind€that€the€indictment€charges€a€conspiracy€to€commit€(name€offense)€and€not€thatÐ ˆ$  Ð(name€offense)€was€committed.]òò3óó€Ð ê†  Ðà  à[Count€__€of€the€indictment€charges€defendant[s]€(name[s])€[and€others€who€are€notÐ Lè  Ðpresently€defendants€in€this€case]€with€the€charge€of€conspiracy€to€commit€(name€substantiveÐ ®J Ðoffense,€e.g.,€mail€fraud).€€Earlier€in€these€instructions€I€defined€the€elements€of€(name€of€offense,Ð ¬ Ðe.g.,€mail€fraud)€in€relation€to€the€charges€that€the€defendant€(describe€conduct,€e.g.,€willfullyÐ r Ðparticipated€in€a€scheme€to€defraud).€€You€may€use€those€definitions€in€considering€whether€theÐ Ôp Ðdefendants€conspired€to€commit€(name€offense,€e.g.,€mail€fraud),€keeping€in€mind€that€theÐ 6Ò Ðcharges€in€Count€__€charge€a€conspiracy€to€commit€(name€offense,€e.g.,€mail€fraud)€and€not€thatÐ ˜4 Ð(name€offense,€e.g.,€mail€fraud)€was€committed.]òò4óóÓ€ÓÓ €ÓÐ ú–  ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ \ø" Ðà  à1.€€Use€this€instruction€if€a€conspiracy€to€commit€a€substantive€offense€has€been€charged.€Ð ¾Z$ ÐÔ'°\òJÔà  à2.€€List€elements€of€offense€which€was€the€object€of€the€conspiracy.€€òòSeeóó€Instruction€3.09,Ð  !¼& Ðòòsupraóó,€and€Section€6,€òòinfraóó.€Ð  "¨' Ðà  à3.€€Use€this€paragraph€if€a€conspiracy€to€violate€a€federal€statute€is€charged€and€theÐ n# ) Ðsubstantive€offense€is€not€charged€elsewhere€in€the€indictment.€Ð Z$ö* Ðà  à4.€€Use€this€paragraph€if€a€conspiracy€to€violate€a€federal€statute€is€charged€and€theÐ ¼%X, Ðsubstantive€offense€is€also€charged€in€the€indictment€and€submitted€to€the€jury.€Ð  ¨&D - ÐÖ€)(ìTÖÓ €Óà@b b ìàò òÔ% €¦ ÔÔ  Ô5.06D.€€CONSPIRACY:€€"OVERT€ACT"€EXPLAINEDÔ th{NÔ€òò1óóó óˆÐ d ÐÌà  àÓ€ÓIt€is€not€necessary€that€the€act€done€in€furtherance€of€the€conspiracy€be€in€itself€unlawful.€Ð <Ø ÐIt€may€be€perfectly€innocent€in€itself.€€Ð ž : Ðà  àIt€is€not€necessary€that€the€defendant€have€personally€committed€the€act,€known€about€it,Ð  œ Ðor€witnessed€it.€€It€makes€no€difference€which€of€the€conspirators€did€the€act.€€This€is€because€aÐ b þ Ðconspiracy€is€a€kind€of€"partnership"€so€that€under€the€law€each€member€is€an€agent€or€partner€ofÐ Ä `  Ðevery€other€member€and€each€member€is€bound€by€or€responsible€for€the€acts€of€every€otherÐ &  Ðmember€done€to€further€their€scheme.Ð ˆ$  Ðà  à[It€is€not€necessary€that€the€Government€prove,€beyond€a€reasonable€doubt,€that€more€thanÐ ê†  Ðone€act€was€done€in€furtherance€of€the€conspiracy.€€It€is€sufficient€if€the€Government€provesÐ Lè  Ðbeyond€a€reasonable€doubt,€òòoneóó€such€act;€but€in€that€event,€in€order€to€return€a€verdict€of€guilty,Ð ®J Ðyou€must€unanimously€agree€upon€which€act€was€done.]€€Ó€ÓÓ €ÓÐ ¬ ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€Use€if€evidence€has€been€admitted€on€more€than€one€overt€act.€Ð Ôp ÐÔ'°rŸSÔÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ 6Ò Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%ràT#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r*U#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rqU#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÀU#Ô:€€CriminalÐ ˜4 Ððððð31.03,€31.07€(5th€ed.€2000).€Ð „  ÐÔ'œ6[TÔà  àThe€overt€act€itself€need€not€be€criminal€in€nature.€€òòUnited€States€v.€Hermesóó,€847€F.2dÐ æ‚! Ð493,€496€(8th€Cir.€1988).€€An€overt€act€may€be€perfectly€innocent€in€itself.€€òòUnited€States€v.Ð Òn" ÐDonahueóó,€539€F.2d€1131,€1136€(8th€Cir.€1976).€€The€overt€act€need€not€involve€more€than€one€ofÐ ¾Z# Ðthe€conspirators.€€òòUnited€States€v.€Bassóó,€472€F.2d€207,€213€(8th€Cir.€1973).€Ð ª F$ Ðà  àThe€overt€act€found€by€the€jury€must€have€taken€place€within€the€statute€of€limitations.€€IfÐ  "¨& Ðthis€is€an€issue,€the€jury€should€be€appropriately€instructed.€€òòUnited€States€v.€Alfonso-Perezóó,€535Ð ø"”' ÐF.2d€1362€(2d€Cir.€1976).€Ð ä#€( Ðà  àThe€Government€is€not€limited€in€its€proof€to€establishing€overt€acts€specified€in€theÐ F%â* Ðindictment,€nor€must€the€Government€prove€every€overt€act€alleged.€€òòUnited€States€v.€Lewisóó,€759Ð 2&Î+ ÐF.2d€1316,€1344€(8th€Cir.€1985).€Ð  'º , ÐÖ€ô)ìUÖÓ €Óà@< < ìàò òÔ% €É ÔÔ  Ô5.06E.€€CONSPIRACY:€€SUCCESS€IMMATERIALÔ 0€éZÔó óˆÐ d ÐÌà  àÓ€ÓIt€is€not€necessary€for€the€Government€to€prove€that€the€conspirators€actually€succeeded€inÐ <Ø Ðaccomplishing€their€unlawful€plan.€Ó€ÓÓ €ÓÐ ž : ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ  œ Ðà  àòòSeeóó€2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rº\#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r]#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rK]#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rš]#Ô:€€CriminalÐ b þ Ððð31.08€(5th€ed.€2000).Ð N ê  ÐÔ'œ 6\Ôà  àThere€is€likewise€no€requirement€that€the€defendant€benefitted€from€the€unlawful€plan.€Ð °L  ÐòòUnited€States€v.€Kibbyóó,€848€F.2d€920,€922€(8th€Cir.€1988).€Ð  œ8  ÐÖ€,ôìVÖÑ8€w,XXdìXXdì8ÑÓ €Óà@B B ìàò òÔ% €Ë ÔÔ  Ô5.06F.€€SINGLE€CONSPIRACY:€€MULTIPLE€CRIMESÔ 0€š_Ô€òò1óóó óˆÐ d ÐÌÓ €Óà  àÓ€ÓThe€indictment€charges€a€conspiracy€to€commit€[two]€[three,€etc.]€separate€crimes.€€It€isÐ <Ø Ðnot€necessary€for€the€Government€to€prove€a€conspiracy€to€commit€[òòbothóó]€[òòallóó]€of€those€crimes.€€ItÐ ž : Ðwould€be€sufficient€if€the€Government€proves,€beyond€a€reasonable€doubt,€a€conspiracy€toÐ  œ Ðcommit€òòoneóó€of€those€crimes.€€In€that€event,€to€return€a€verdict€of€guilty,€you€must€unanimouslyÐ b þ Ðagree€òòwhichóó€of€the€[two]€[three,€etc.]€crimes€was€the€subject€of€the€conspiracy.€€If€you€are€unableÐ Ä `  Ðto€unanimously€agree,€you€cannot€find€the€defendant€guilty€of€conspiracy.€€[In€this€case,€you€mustÐ &  Ðdecide€which€of€the€controlled€substances,€if€any,€[each]€defendant€conspired€to€[manufacture]Ð ˆ$  Ð[distribute]€[possess€with€intent€to€distribute]€and€record€your€unanimous€verdict€on€the€formÐ ê†  Ðprovided.]òò2óóÓ€ÓÐ Lè  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€For€use€only€where€the€indictment€has€charged€a€single€conspiracy€to€commit€multipleÐ ¬ Ðcrimes.€Ð ü˜ ÐÔ'œ®$dÔà  à2.€€Where€evidence€at€trial€shows€two€alternative€drugs€were€involved€in€a€multi„drugÐ ^ú Ðconspiracy,€a€special€verdict€form€is€required;€otherwise,€the€sentencing€court€must€use€theÐ Jæ Ðrelevant€drug€conversion€which€yields€the€most€favorable€sentencing€result€for€the€defendants.€Ð 6Ò ÐòòUnited€States€v.€Bakeróó,€16€F.3d€854,€858€(8th€Cir.€1994)€(citing€the€principle€as€also€applying€toÐ "¾ Ð21€U.S.C.€ðð€856);€òòUnited€States€v.€Page„Beyóó,€960€F.2d€724,€727„28€(8th€Cir.€1992)€(no€plainÐ ª Ðerror€given€the€evidence€at€trial€and€the€fact€that€it€would€have€made€no€difference€in€the€sentenceÐ ú– Ðif€the€jury€had€found€that€the€defendant€was€involved€with€only€one€of€the€charged€substances);Ð æ‚ ÐòòUnited€States€v.€Wattsóó,€950€F.2d€508,€515€(8th€Cir.€1991).Ð  Òn  ÐÓ €ÓÖ€/,ìWÖà@  ìàò òÔ% €Î ÔÔ  Ô5.06G.€€CONSPIRACY:€€SINGLE/MULTIPLE€CONSPIRACIESÔ 0€ñhÔó óˆÐ d ÐÌÓ€Óà  à(1)€€The€indictment€charges€that€the€defendants€were€members€of€one€single€conspiracy€toÐ <Ø Ðcommit€the€crime€of€_______.òò1óóÐ ž : Ðà  à(2)€€One€of€the€issues€you€must€decide€is€whether€there€were€really€two€(or€more)€separateÐ  œ Ðconspiracies€„„€one€[between]€[among]€________€and€_______€to€commit€the€crime€ofÐ b þ Ð_________,€and€another€one€[between]€[among]€________€and€_______€to€commit€the€crime€ofÐ Ä `  Ð_________.òò2óóÐ &  Ðà  à(3)€€The€Government€must€convince€you€beyond€a€reasonable€doubt€that€each€defendantÐ ˆ$  Ðwas€a€member€of€the€conspiracy€charged€in€the€indictment.€€If€the€Government€fails€to€prove€thisÐ ê†  Ðas€to€a€defendant,€then€you€must€find€that€the€defendant€not€guilty€of€the€conspiracy€charge,€evenÐ Lè  Ðif€you€find€that€[he]€[she]€was€a€member€of€some€other€conspiracy.€€Proof€that€a€defendant€was€aÐ ®J Ðmember€of€some€other€conspiracy€is€not€enough€to€convict.Ð ¬ Ðà  à(4)€€But€proof€that€a€defendant€was€a€member€of€some€other€conspiracy€would€not€preventÐ r Ðyou€from€returning€a€guilty€verdict,€if€the€Government€also€proved€that€[he]€[she]€was€a€memberÐ Ôp Ðof€the€conspiracy€charged€in€the€indictment.òò3óóÐ 6Ò ÐÓ €Óà  à[A€single€conspiracy€may€exist€even€if€all€the€members€did€not€know€each€other,€or€neverÐ ˜4 Ðmet€together,€or€did€not€know€what€roles€all€the€other€members€played.€€And€a€single€conspiracyÐ ú–  Ðmay€exist€even€if€different€members€joined€at€different€times,€or€the€membership€of€the€groupÐ \ø" Ðchanged.€€Similarly,€just€because€there€were€different€subgroups€operating€in€different€places,€orÐ ¾Z$ Ðmany€different€criminal€acts€committed€over€a€long€period€of€time,€does€not€necessarily€meanÐ  !¼& Ðthat€there€was€more€than€one€conspiracy.€€These€are€factors€you€may€consider€in€determiningÐ ‚"( Ðwhether€more€than€one€conspiracy€existed.]Ó€ÓÐ ä#€* ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ F%â, Ðà  à1.€š€If€a€multiple€conspiracy€instruction€is€given,€5.06B,€which€explains€agreement,€mayÐ ¨&D . Ðneed€some€revision.€€The€bracketed€paragraph,€which€relates€in€part€to€the€question€of€agreement,Ð ”'0!/ Ðmay€be€Ô'&F%rÔtailored€to€the€facts€of€the€particular€case.€€Ð €("0 Ðà  à2.€€If€the€court€concludes€that€a€multiple€conspiracy€instruction€is€required€by€the€evidenceÐ â)~#2 Ðbut€that€the€specificity€called€for€by€the€model€instruction€is€not€appropriate,€the€following€shorterÐ Î*j$3 Ðversion€may€be€given:Ð º+V%4 Ðà0  àà ` àIf€the€United€States€has€failed€to€prove€beyond€a€reasonable€doubt€the€existence€ofÐ d Ðthe€conspiracy€which€is€charged,€then€you€must€find€the€defendant€not€guilty,€even€thoughÐ Pì Ðsome€other€conspiracy€did€exist€or€might€have€existed.€€Likewise,€if€the€United€States€hasÐ <Ø Ðfailed€to€prove€beyond€a€reasonable€doubt€that€the€defendant€was€a€member€of€theÐ ( Ä Ðconspiracy€which€is€charged,€then€you€must€find€the€defendant€not€guilty€even€thoughÐ  ° Ð[he]€[she]€may€have€been€a€member€of€some€other€conspiracy.€€But€proof€that€a€defendantÐ  œ Ðwas€a€member€of€some€other€conspiracy€would€not€prevent€you€from€returning€a€guiltyÐ ì ˆ Ðverdict,€if€the€Government€also€proved€that€[he]€[she]€was€a€member€of€the€conspiracyÐ Ø t Ðcharged€in€the€indictment.ÐÄ `(#(# ÐThis€alternative€is€based€upon€an€instruction€approved€in€òòUnited€States€v.€Adipietroóó,€983€F.2dÐ &  Ð1468,€1475€n.7€(8th€Cir.€1993);€òòUnited€States€v.€Sawyersóó,€963€F.2d€157,€161€(8th€Cir.€1992);€andÐ ®  ÐòòUnited€States€v.€Figueroaóó,€900€F.2d€1211,€1216€(8th€Cir.€1990).Ð þš  Ðà  à3.€€The€possible€existence€of€separate€conspiracies€may€require€the€drafting€of€specialÐ `ü  Ðinstructions€limiting€the€jury's€consideration€of€statements€made€by€co„conspirators€to€membersÐ Lè  Ðof€a€particular€conspiracy.€€Further,€in€separate€but€jointly€tried€conspiracies,€limiting€instructionsÐ 8Ô  Ðare€required€to€prevent€guilt€of€those€participating€in€one€conspiracy€from€being€transferred€toÐ $À Ðthose€participating€in€a€separate€conspiracy.€€òòUnited€States€v.€Varellióó,€407€F.2d€735,€747€(7th€Cir.Ð ¬ Ð1969);€òòUnited€States€v.€Jacksonóó,€696€F.2d€at€585-86;€òòUnited€States€v.€Snideróó,€720€F.2d€985,€990Ð ü˜ Ð(8th€Cir.€1983).Ð è„ ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ Jæ Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r3}#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r}}#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÄ}#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r~#Ô:€€CriminalÐ ¬H Ððð31.09€(5th€ed.€2000).€Ð ˜4 ÐÔ'œJ®|Ôà  àThis€instruction€should€be€used€when€there€is€some€evidence€that€multiple€conspiraciesÐ ú– Ðmay€have€existed,€òòandóó€a€finding€that€multiple€conspiracies€existed€would€constitute€a€materialÐ æ‚ Ðvariance€from€the€indictment.€€òòSee€generally€Berger€v.€United€Statesóó,€295€U.S.€78,€81„82€(1935)Ð Òn Ð(proof€that€two€or€more€conspiracies€may€have€existed€is€not€fatal€unless€there€is€a€materialÐ ¾Z Ðvariance€that€results€in€substantial€prejudice);€òòKotteakos€v.€United€Statesóó,€328€U.S.€750,€773„74Ð ª F Ð(1946)€(there€must€be€some€leeway€for€conspiracy€cases€where€the€evidence€differs€from€theÐ –!2  Ðexact€specifications€in€the€indictment);€òòUnited€States€v.€Luchtóó,€18€F.3d€541,€552€(8th€Cir.€1994).€Ð ‚"! ÐIn€these€circumstances,€an€instruction€is€necessary€to€ensure€a€unanimous€verdict€on€oneÐ n# " Ðconspiracy.€€òòUnited€States€v.€Gordonóó,€844€F.2d€1397,€1400-02€(9th€Cir.€1988).Ð Z$ö# Ðà  àIf€there€is€evidence€that€supports€multiple€conspiracies,€then€whether€a€conspiracy€is€oneÐ ¼%X% Ðscheme€or€several€is€primarily€a€jury€question.€€šòòUnited€States€v.€Englandóó,€966€F.2d€403,€406€(8thÐ ¨&D & ÐCir.€1992);€òòUnited€States€v.€Wilsonóó,€497€F.2d€602€(8th€Cir.€1974).€Ð ”'0!' Ðà  àWith€respect€to€single€versus€multiple€conspiracies,€the€Eighth€Circuit€has€set€forth€theÐ ö(’") Ðfollowing€guidelines:€Ð â)~#* Ðà0  àThe€general€test€is€whether€there€was€"one€overall€agreement"€to€perform€variousÐ D+à$, Ðfunctions€to€achieve€the€objectives€of€the€conspiracy.€€A€conspirator€need€not€know€all€ofÐ 0,Ì%- Ðthe€other€conspirators€or€be€aware€of€all€the€details€of€the€conspiracy,€so€long€as€theÐ d Ðevidence€is€sufficient€to€show€knowing€contribution€to€the€furtherance€of€the€conspiracy.ÐPì(#(# ÐòòUnited€States€v.€Massaóó,€740€F.2d€629,€636€(8th€Cir.€1984);€šòòUnited€States€v.€Adipietroóó,€983€F.2dÐ ²N Ð1468,€1475€(8th€Cir.€1993);€òòUnited€States€v.€Askewóó,€958€F.2d€806,€810€(8th€Cir.€1992);€òòUnitedÐ ž : ÐStates€v.€Spectoróó,€793€F.2d€932,€935-36€(8th€Cir.€1986).€€Moreover,€"[t]he€existence€of€a€singleÐ Š & Ðagreement€can€be€inferred€if€the€evidence€revealed€that€the€alleged€participants€shared€'a€commonÐ v  Ðaim€or€purpose'€and€'mutual€dependence€and€assistance€existed.'"€€òòUnited€States€v.€DeLunaóó,€763Ð b þ ÐF.2d€897,€918€(8th€Cir.€1985)€(quoting€òòUnited€States€v.€Jacksonóó,€696€F.2d€578,€582-83€(8th€Cir.Ð N ê Ð1982));€òòUnited€States€v.€Crouchóó,€46€F.3d€871,€874€(8th€Cir.€1995).Ð :Ö  Ðà  àThe€involvement€of€a€number€of€separate€transactions€does€not€establish€the€existence€ofÐ œ8  Ðseparate€conspiracies.€€òòSpectoróó,€793€F.2d€at€935.€€Likewise,€š"`[m]ultiple€groups€and€theÐ ˆ$  Ðperformance€of€separate€crimes€or€acts€do€not€rule€out€the€possibility€that€one€overall€conspiracyÐ t  Ðexists.'"€€òòUnited€States€v.€Dijanóó,€37€F.3d€398,€402€(8th€Cir.€1994)€(quoting€òòUnited€States€v.Ð `ü  ÐRoarkóó,€924€F.2d€1426,€1429€(8th€Cir.€1991)).€€Further,€"`[a]€division€of€labor€among€conspiratorsÐ Lè  Ðin€pursuit€of€a€common€goal€does€not€necessitate€a€finding€of€discrete€schemes.'"€€òòUnited€States€v.Ð 8Ô  ÐAskewóó,€958€F.2d€at€810€(quoting€òòUnited€States€v.€Gombergóó,€715€F.2d€843,€846€(3d€Cir.€1983)).€Ð $À ÐHowever,€a€mere€overlap€of€personnel€or€knowledge€of€another's€illegal€conduct€is€not€by€itselfÐ ¬ Ðproof€of€a€single€conspiracy.€€òòUnited€States€v.€Peyroóó,€786€F.2d€826,€829€(8th€Cir.€1986).Ð ü˜ Ðà  àWhether€an€indictment€charges€one€or€more€than€one€conspiracy€is€determined€under€aÐ ^ú Ð"totality€of€the€circumstances€test"€under€which€the€following€factors€are€considered:€Ð Jæ Ðà0  à(1)à0` (#(#àtime;€Ð¬H` (#` (# Ðà0  à(2)à0` (#(#àpersons€acting€as€coconspirators;€Ðª` (#` (# Ðà0  à(3)à0` (#(#àthe€statutory€offenses€charged€in€the€indictments;Ðp ` (#` (# Ðà0  à(4)à0` (#(#àthe€overt€acts€charged€by€the€government€or€any€other€description€of€the€offensesÐ Òn Ðcharged€which€indicate€the€nature€and€the€scope€of€the€activity€which€theÐ ¾Z Ðgovernment€sought€to€punish€in€each€case;€and€Ðª F ` (#` (# Ðà0  à(5)à0` (#(#àplaces€where€the€events€alleged€as€part€of€the€conspiracy€took€place.€Ð "¨"` (#` (# Ð"The€essence€of€the€determination€is€whether€there€is€one€agreement€to€commit€two€crimes,€orÐ n# $ Ðmore€than€one€agreement,€each€with€a€separate€object."€€òòUnited€States€v.€Thomasóó,€759€F.2d€659,Ð Z$ö% Ð662€(8th€Cir.€1985)€(addressing€a€double€jeopardy€claim).€Ð  F%â& ÐÖ€0/ìXÖÓ €ÓÖ€10ìYÖà@ž ž ìàò òÔ% €Ñ ÔÔ  Ô5.06H.€€CONSPIRACY:€€WITHDRAWALÔ n€a“Ô€òò1óóó óˆÐ d ÐÌà  àÓ€ÓIf€a€person€enters€into€an€agreement€but€withdraws€from€that€agreement€before€anyone€hasÐ <Ø Ðcommitted€an€act€in€furtherance€of€it,€then€the€crime€of€conspiracy€was€not€complete€at€that€timeÐ ž : Ðand€the€person€who€withdrew€must€be€found€not€guilty€of€the€conspiracy.€Ð  œ Ðà  àIn€order€for€you€to€find€that€a€person€withdrew€from€a€conspiracy,€you€must€find€thatÐ b þ Ðperson€took€a€definite,€positive€step€to€disavow€or€defeat€the€purpose€of€the€conspiracy.€€MerelyÐ Ä `  Ðstopping€activities€or€a€period€of€inactivity€is€not€enough.€€That€person€must€have€taken€suchÐ &  Ðaction€before€any€member€of€the€scheme€had€committed€any€act€in€furtherance€of€the€conspiracy.€Ð ˆ$  Ðà  àThe€defendant€has€the€burden€of€proving€that€[he]€[she]€withdrew€by€the€greater€weight€ofÐ ê†  Ðthe€evidence.€€To€prove€something€by€the€greater€weight€of€the€evidence€is€to€prove€that€it€isÐ Lè  Ðmore€likely€true€than€not€true.€€It€is€determined€by€considering€all€of€the€evidence€and€decidingÐ ®J Ðwhich€evidence€is€more€convincing.€€[If€the€evidence€appears€to€be€equally€balanced,€or€if€youÐ ¬ Ðcannot€say€upon€which€side€it€weighs€heavier,€you€must€resolve€that€question€against€theÐ r Ðdefendant.€€The€greater€weight€of€the€evidence€is€not€necessarily€determined€by€the€greaterÐ Ôp Ðnumber€of€witnesses€or€exhibits€a€party€has€presented.]€€Ó€ÓÓ €ÓÐ 6Ò Ðà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˜4 Ðà  à1.€€This€defense€is€available€only€to€those€conspiracies€which€require€the€commission€ofÐ ú–  Ðan€overt€act€as€an€element.€€Ð æ‚! Ðà  àThis€instruction,€if€used,€should€immediately€follow€the€last€paragraph€of€InstructionÐ Hä# Ð5.06A,€òòsupraóó.€Ð 4 Ð$ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ –!2& Ðà  àÔ'N–!Ÿ›ÔWithdrawal€requires€an€affirmative€act€to€defeat€or€disavow€the€purpose€of€theÐ ø"”( Ðconspiracy.€€òòHyde€v.€United€Statesóó,€225€U.S.€347,€369€(1912).€€šð ðIn€order€to€withdraw€from€aÐ ä#€) Ðconspiracy,€a€defendant€ððmust€demonstrate€that€he€took€affirmative€action€to€withdraw€from€theÐ Ð$l* Ðconspiracy€by€making€a€clean€breast€to€the€authorities€or€by€communicating€his€withdrawal€in€aÐ ¼%X+ Ðmanner€reasonably€calculated€to€reach€his€coconspirators.ðð€€òòUnited€States€v.€Zimmer,óó€299€F.3dÐ ¨&D , Ð710,€718€(8th€Cir.€2002)€(citing€òòUnited€States€v.€Granados,óó€962€F.2d€767,€773€(8th€Cir.1992),Ð ”'0!- ÐòòUnited€States€v.€Askewóó,€958€F.2d€806,€812„13€(8th€Cir.1992))€€A€cessation€of€activities,€alone,€isÐ €(". Ðnot€sufficient€to€establish€a€withdrawal€from€the€conspiracy.€€òòZimmeróó,€299€F.3d€at€718€(citingÐ l)#/ Ðâ âòòGranados,óó€962€F.2d€at€773).ðð€€òòUnited€States€v.€Jacksonóó,€345€F.3d€638.€648€(8òòthóó€Cir.€2003).Ð X*ô#0 Ðà  àTo€constitute€a€defense€withdrawal€must€come€before€the€commission€of€an€overt€act.€Ð d Ðâ âThus,€an€instruction€on€withdrawal€is€never€appropriate€in€a€conspiracy€prosecution€under€aÐ Pì Ðconspiracy€statute€which€does€not€require€proof€of€an€overt€act.€€òòSeeóó€òòUnited€States€v.€Francisóó,€916Ð <Ø ÐF.2d€464€(8òòthóó€Cir.€1990);€òòUnited€States€v.€Grimmettóó,€150€F.3d€958€(8òòthóó€Cir.€1998).€Ð ( Ä Ðà  àIn€order€to€be€entitled€to€an€instruction€on€withdrawal,€a€defendant€must€have€presentedÐ Š & Ðsome€evidence€that€he€acted€affirmatively€to€defeat€or€disavow€the€purpose€of€the€conspiracy.€Ð v  ÐòòUnited€States€v.€Wedelstedtóó,€589€F.2d€339€(8th€Cir.€1978).€€The€burden€of€proof€that€theÐ b þ Ðdefendant€withdrew€is€on€the€defendant.€€òòUnited€States€v.€Boydóó,€610€F.2d€521,€528€(8th€Cir.Ð N ê Ð1979).€€Ð  :Ö  ÐÖ€41ìZÖÓ €Óà@44ìàò òÔ% €Ó ÔÔ  Ô5.06I.€€CONSPIRACY:€€CO-CONSPIRATOR€ACTS€AND€STATEMENTSÔ  q¤Ô€òò1óóó óˆÐ d ÐÌà  àÓ€ÓYou€may€consider€acts€knowingly€done€and€statements€knowingly€made€by€a€defendant'sÐ <Ø Ðco-conspirators€during€the€existence€of€the€conspiracy€and€in€furtherance€of€it€as€evidenceÐ ž : Ðpertaining€to€the€defendant€even€though€they€were€done€or€made€in€the€absence€of€and€withoutÐ  œ Ðthe€knowledge€of€the€defendant.ò òòò1óóó ó€€This€includes€acts€done€or€statements€made€before€theÐ b þ Ðdefendant€had€joined€the€conspiracy,€for€a€person€who€knowingly,€voluntarily€and€intentionallyÐ Ä `  Ðjoins€an€existing€conspiracy€is€responsible€for€all€of€the€conduct€of€the€co-conspirators€from€theÐ &  Ðbeginning€of€the€conspiracy.€Ð ˆ$  Ðà  à[Acts€and€statements€which€are€made€before€the€conspiracy€began€or€after€it€ended€areÐ ê†  Ðadmissible€only€against€the€person€making€them€and€should€not€be€considered€by€you€against€anyÐ Lè  Ðother€defendant.]òò2,€3óóÐ ®J ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€This€instruction€conforms€to€the€Court's€ruling€in€òòBourjaily€v.€United€Statesóó,€483€U.S.Ð r Ð171€(1987).€€The€court€decides€the€admissibility€of€conspiratorial€statements€and€the€jury€shouldÐ ^ú Ðnot€Ô'&$©Ôreexamine€this€ruling.€€òòUnited€States€v.€de€Ortizóó,€907€F.2d€629,€633€(7th€Cir.€1990)€(òòen€bancóó);Ð Jæ ÐòòUnited€States€v.€Petrozzieloóó,€548€F.2d€20,€23€(1st€Cir.€1977);€òòUnited€States€v.€Stanchichóó,€550Ð 6Ò ÐF.2d€1294€(2d€Cir.€1977);€òòUnited€States€v.€Enrightóó,€579€F.2d€980,€986„87€(6th€Cir.€1978);€òòUnitedÐ "¾ ÐStates€v.€Ganttóó,€617€F.2d€831,€845„46€(D.C.€Cir.€1980);€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rT¬#ÔÐ ª ÐJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r²¬#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rù¬#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rH­#Ô:€€Criminal€ðð31.06€(5th€ed.€2000).Ð ú– Ðà  à2.€€This€instruction€can€be€used€in€other€situations€involving€joint€conduct€such€as€withÐ \ø  Ðrespect€to€co-schemers€in€a€mail€fraud€case.€€In€such€a€situation,€"conspirator"€should€be€changedÐ Hä! Ðto€"schemer,"€and€"conspiracy"€to€"scheme."€€òòSeeóó€Instruction€4.07,€òòsupraóó.€Ð 4 Ð" Ðà  à3.€€An€explicit€limiting€instruction€must€be€given€if€evidence€of€acts€or€statements€by€anyÐ –!2$ Ðco-conspirator€made€before€or€after€the€conspiracy€began€or€ended€has€been€admitted.€€òòSeeóóÐ ‚"% ÐòòUnited€States€v.€Snideróó,€720€F.2d€985,€999€(8th€Cir.€1983).Ð n# & Ðà  àòòSee€alsoóó€òòGrunewald€v.€United€Statesóó,€353€U.S.€391€(1957);€òòUnited€States€v.€Steeleóó,€685Ð Ð$l( ÐF.2d€793,€800-01€(3d€Cir.€1982);€òòUnited€States€v.€Del€Valleóó,€587€F.2d€699€(5th€Cir.€1979);€òòUnitedÐ ¼%X) ÐStates€v.€Payneóó,€635€F.2d€643,€645€(7th€Cir.€1980).€€Basically,€this€line€of€cases€holds€that,€unlessÐ ¨&D * Ðthe€conspiracy€includes€an€agreement€to€cover€up€the€conspiracy,€once€the€central€purposes€of€theÐ ”'0!+ Ðconspiracy€have€been€accomplished,€statements€made€to€cover€up€the€conspiracy€are€notÐ €(", Ðstatements€made€in€furtherance€of€the€conspiracy€and€cannot€be€admitted€against€the€otherÐ l)#- Ðâ âconspirators.Ð X*ô#. ÐÔ& ° Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€òòUnited€States€v.€Shigemuraóó,€682€F.2d€699,€705€(8th€Cir.€1982).€Ð Æb ÐÔ'°dq³Ôà  àA.€€òòAdmissibilityóó.Ð ( Ä Ðà  àRule€801(d)(2)(E)€governs€the€admissibility€of€co-conspirator€statements.€€That€ruleÐ Š & Ðprovides€that€a€statement€is€not€hearsay€if€it€is€offered€against€a€party€and€constitutes€"a€statementÐ v  Ðby€a€co-conspirator€of€[the]€party€during€the€course€and€in€furtherance€of€the€conspiracy."€€SuchÐ b þ Ðan€out-of-court€declaration€is€admissible€against€a€defendant€under€this€rule€if€the€governmentÐ N ê  Ðdemonstrates€(1)€that€a€conspiracy€existed;€(2)€that€the€defendant€and€the€declarant€were€membersÐ :Ö  Ðof€the€conspiracy;€and€(3)€that€the€declarations€were€made€during€the€course€of€and€in€furtheranceÐ &  Ðof€the€conspiracy.€€òòUnited€States€v.€Bellóó,€573€F.2d€1040,€1043€(8th€Cir.€1978).Ð ®  Ðà  àFederal€Rule€of€Evidence€104(a)€requires€the€district€court€to€apply€a€preponderance€ofÐ t  Ðthe€evidence€standard€in€assessing€the€admissibility€of€evidence.€€òòBourjaily€v.€United€Statesóó,€483Ð `ü  ÐU.S.€171,€176€(1987);€òòUnited€States€v.€Meeksóó,€857€F.2d€1201,€1203€(8th€Cir.€1988).€€In€makingÐ Lè  Ðits€determination€as€to€the€admissibility€of€co-conspirator€statements,€the€district€court€mayÐ 8Ô  Ðconsider€any€relevant€evidence,€including€the€hearsay€statements€sought€to€be€admitted.€Ð $À ÐòòBourjailyóó,€483€U.S.€at€176-79;€òòMeeksóó,€857€F.2d€at€1203.€Ð ¬ Ðà  àAlthough€the€statements€themselves€may€be€considered€in€determining€their€admissibility,Ð r Ðmost€courts€have€held€that€there€must€be€at€least€some€independent€evidence€(other€than€theÐ ^ú Ðstatements)€of€the€existence€of€the€conspiracy€before€the€statements€are€admitted.€€òòUnited€StatesÐ Jæ Ðv.€Garbettóó,€867€F.2d€1132,€1134€(8th€Cir.€1989);€òòUnited€States€v.€Lindemannóó,€85€F.3d€1232,Ð 6Ò Ð1238,€1239€(7th€Cir.€1996);€òòUnited€States€v.€Clarkóó,€18€F.3d€1337,€1340„41€(6th€Cir.€1994);Ð "¾ ÐòòUnited€States€v.€Sepulvedaóó,€15€F.3d€1161,€1181€(1st€Cir.€1993);€òòUnited€States€v.€Dalyóó,€842€F.2dÐ ª Ð1380,€1386€(2d€Cir.€1988);€òòUnited€States€v.€Gordonóó,€844€F.2d€1397,€1402€(9th€Cir.€1988);€òòUnitedÐ ú– ÐStates€v.€Martinezóó,€825€F.2d€1451,€1453€(10th€Cir.€1987).Ð æ‚ Ðà  àIn€òòBourjailyóó,€it€was€further€held€that€there€can€be€no€separate€Confrontation€ClauseÐ Hä Ðchallenges€to€the€admissibility€of€a€co-conspirator's€out-of-court€statement€once€it€is€deemedÐ 4 Ð Ðadmissible€under€Rule€801(d)(2)(E).€€483€U.S.€at€181-84.€€Thus,€the€unavailability€of€theÐ  !¼  Ðdeclarant€need€not€be€demonstrated,€òòUnited€States€v.€Inadióó,€475€U.S.€387€(1986),€nor€need€theÐ  "¨! Ðcourt€make€a€separate€inquiry€into€the€reliability€of€the€statement.€€òòBourjailyóó,€483€U.S.€at€183-84.€Ð ø"”" Ð(Prior€to€òòInadióó€and€òòBourjailyóó,€this€circuit€had€recognized€the€two-pronged€Confrontation€ClauseÐ ä#€# Ðinquiry.€€òòSeeóó€òòUnited€States€v.€Massaóó,€740€F.2d€629,€638-41€(8th€Cir.€1984).)Ð Ð$l$ Ðà  àThe€procedural€steps€to€be€utilized€when€the€admissibility€of€a€co-conspirator's€statementÐ 2&Î& Ðis€at€issue€are€set€forth€in€the€òòBellóó€opinion,€573€F.2d€at€1044.€Ð 'º ' ÐÔ& & Ôà  àB.€€òòJury€Instructionsóó.Ð €(") Ðà  àThe€admission€of€co-conspirator€statements€into€a€trial€traditionally€gave€rise€to€threeÐ â)~#+ Ðdifferent€jury€instructions.€€One€instruction€advised€the€jury€it€could€consider€statements€ofÐ Î*j$, ÐÔ'&€(ÂÔco-conspirators€made€in€the€absence€of€and€without€the€knowledge€of€the€defendant€or€before€heÐ º+V%- Ðwas€a€member.€€òòSeeóó€instruction€set€out€in€òòUnited€States€v.€Shigemuraóó,€682€F.2d€at€705€(first€twoÐ d Ðsentences€of€first€instruction€on€page€705).€€This€is€still€a€valid€instruction.€€As€held€in€òòUnitedÐ Pì ÐStates€v.€Treadwellóó,€760€F.2d€327,€338€(D.C.€Cir.€1985),€such€an€instruction€can€be€helpfulÐ <Ø Ðbecause:€Ð ( Ä Ðà0  àA€lay€jury€is€unlikely€to€have€knowledge€or€understanding€of€the€vicarious€liabilityÐ Š & Ðprinciples€underlying€use€of€co-conspirator€acts€and€statements€or€in€what€circumstancesÐ v  Ðthe€acts€and€statements€of€one€person€may€be€imputed€to€another.Ðb þ(#(# Ðà  àA€second€instruction€sanctioned€by€this€circuit€cautioned€the€jury€on€the€weight€to€beÐ Ä `  Ðgiven€to€and€credibility€of€a€co-conspirator's€statement.€€òòSeeóó€òòShigemuraóó,€682€F.2d€at€705€(thirdÐ °L  Ðsentence€of€first€instruction€on€page€705);€òòUnited€States€v.€Bellóó,€573€F.2d€at€1044;€òòUnited€StatesÐ œ8  Ðv.€Baykowskióó,€615€F.2d€767,€772€(8th€Cir.€1980).€€Such€an€instruction€was€approved€in€òòBellóó,€andÐ ˆ$  Ðfailure€to€give€such€an€instruction€was€disapproved€in€òòBaykowskióó.Ð t  Ðà  àHowever,€Supreme€Court€decisions€holding€that€reliability€can€be€inferred€wouldÐ Ör  Ðeliminate€any€reason€to€caution€the€jury€on€the€weight€and€credibility€to€be€accordedÐ Â^  Ðco-conspirator€statements.€€òòOhio€v.€Robertsóó,€448€U.S.€56,€66€(1980),€held€that:€€"Reliability€canÐ ®J Ðbe€inferred€without€more€in€a€case€where€the€evidence€falls€within€a€firmly€rooted€hearsayÐ š6 Ðexception."€€The€òòBourjailyóó€opinion€held€that€the€co-conspirator€exception€to€the€hearsay€ruleÐ †" Ðmeets€the€"firmly€rooted"€test€and€that,€under€òòRobertsóó,€a€court€need€not€make€an€independentÐ r Ðinquiry€into€the€reliability€of€such€statements.€€Ð ^ú Ðà  àòòSee€alsoóó€òòUnited€States€v.€Regilioóó,€669€F.2d€1169,€1176€(7th€Cir.€1981),€holding€that€theÐ À\ Ðcommunity€of€interest€of€co-conspirators€evidences€likelihood€of€reliability.€€In€òòRegilioóó,€the€courtÐ ¬H Ðfound€no€error€in€the€refusal€to€give€a€co„conspirator€statement€instruction€which€ended€asÐ ˜4 Ðfollows:€Ð „  Ðà0  àIf€you€find€that€the€statement€was€made,€you€may€give€the€statement€such€weight€as€youÐ æ‚ Ðfeel€it€deserves,€keeping€in€mind€that€it€must€be€considered€with€caution€and€great€care,Ð Òn Ðparticularly€since€the€statement€in€question€was€not€under€oath€or€subject€to€cross„Ð ¾Z Ðexamination.Ъ F(#(# Ð669€F.2d€at€1178.€€The€court€held€that,€unlike€accomplice€testimony,€out-of-court€co-conspiratorÐ  "¨! Ðdeclarations€"are€not€inherently€unreliable€because€when€the€statement€is€made€the€declarant,Ð ø"”" Ðunlike€a€testifying€accomplice,€has€no€reason€to€inculpate€his€co-conspirator€falsely."€Ð ä#€# Ðà  àAfter€òòBourjailyóó€it€would€appear€that€the€only€cautionary€instruction€the€jury€should€beÐ F%â% Ðgiven€with€respect€to€such€statements€would€go€to€the€credibility€of€the€witness€who€testifies€toÐ 2&Î& Ðthe€statements,€and€then€only€if€an€accomplice,€informant€or€immunized€witness€instruction€isÐ 'º ' Ðapplicable.€€òòSeeóó€Instructions€6.03-.05,€òòinfraóó.€€In€a€conspiracy€prosecution,€the€testimony€of€anÐ  (¦!( Ðaccomplice/co-conspirator€is€not€per€se€unreliable€and€it€is€for€the€jury€to€decide€how€muchÐ ö(’") Ðweight€such€testimony€should€be€given.€€òòUnited€States€v.€Sopczakóó,€742€F.2d€1119,€1121€(8th€Cir.Ð â)~#* Ðâ â1984);€òòUnited€States€v.€Evansóó,€697€F.2d€240,€245€(8th€Cir.€1983).€Ð Î*j$+ Ðà  àIt€would€seem€that€a€cautionary€instruction€with€respect€to€the€statement€itself€would€notÐ d Ðâ âcome€into€play€unless€the€credibility€of€the€declarant€had€been€attacked€under€Federal€Rule€ofÐ Pì ÐEvidence€806.€€Then€the€jury€could€be€given€a€standard€credibility€instruction€tailored€to€apply€toÐ <Ø Ðthe€nontestifying€declarant.€€Ð  ( Ä ÐÓ €ÓÖ€54ì[Öà@ˆ ˆ ìàò òÔ% €Ö ÔÔ  Ô5.06J.€€CONSPIRACY:€€"CO„CONSPIRATOR€LIABILITY"€ˆÐ d Ðà@¹¹!ìà(òòPinkertonóó€Charge)Ô Ý lÕÔó óˆÐ Pì ÐÌÓ€Óà  àEach€member€of€a€conspiracy€is€responsible€for€crimes€committed€by€other€members€ofÐ ( Ä Ðthe€conspiracy,€if€the€government€proves€each€of€the€following€elements€beyond€a€reasonableÐ Š & Ðdoubt:€€Ð ì ˆ Ðà  àòòOneóó,€(name€of€person)€committed€the€crime€of€[e.g.€kidnaping],€[as€set€forth€in€instructionÐ N ê  Ðnumber€__];Ð °L  Ðà  àòòTwoóó,€(name€of€person)€was€a€member€of€[the]€the€conspiracy€at€the€time€the€[e.g.Ð ®  Ðkidnaping]€was€committed;€Ð t  Ðà  àòòThreeóó,€(name€of€person)€committed€the€crime€of€[e.g.€kidnaping]€in€furtherance€of€theÐ Ör  Ðconspiracy;Ð 8Ô  Ðà  àòòFouróó,€the€[e.g.,€kidnaping]€was€within€the€scope€of€the€conspiracy,€or€was€reasonablyÐ š6 Ðforeseeable€as€a€necessary€or€natural€consequence€of€the€conspiracy;òò1óó€andÐ ü˜ Ðà  àòòFiveóó,€(name€of€the€defendant)€was€also€a€€member€of€the€conspiracy€at€the€time€of€theÐ ^ú Ð[e.g.€kidnaping].€€Ð À\ Ðà  à[Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòsee€óóInstruction€3.09€òòsupraóó]Ð "¾ ÐÓ €ÓÓ€Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ „  Ðà  à1.€€Use€when€the€Government€pursues€a€theory€of€co„conspirator€liability.€€Where€thisÐ æ‚! Ðinstruction€is€appropriate,€it€should€be€given€in€conjunction€with€other€applicable€conspiracyÐ Òn" Ðinstructions€under€this€chapter.€€òòUnited€States€v.€Lucasóó,€932€F.2d€1210€(8òòthóó€Cir.€1991).Ð ¾Z# Ðà@55!ìàò òCommittee€Commentsó óˆÐ  !¼% Ðà  àThis€instruction€incorporates€the€òòPinkertonóó€principle€of€co„conspirator€liability.€Ð ‚"' ÐòòPinkerton€v.€United€Statesóó,€328€U.S.€640,€645„47€(1946).€€This€instruction€is€supported€by€òòUnitedÐ n# ( ÐStates€v.€Pierceóó,€479€F.3d€546€(8òòthóó€Cir.€2006);òò€United€States€v.€Navarrete„Barronóó,€192€F.3d€786,Ð Z$ö) Ð792„93€(8òòthóó€Cir.€1999);€òòUnited€States€v.€Golteróó,€880€F.2d€91,€93€(8th€Cir.1989).€€Ð  F%â* ÐÓ €ÓÔw<ìllÔÔ‚<ìÔÖ€:ïìKÖÑ  ÑÖ€;5ì\Öà@i i ìàÔ% €Ø ÔÔ  Ôò ò6.00.€€FINAL€INSTRUCTIONS:€€ELEMENTS€OF€OFFENSESˆÐ °x ÐÌà@ ìàIntroductory€Commentó óÔ 'H£ßԈРˆP  ÐÌÓ €Óà  àThis€section€contains€elements€instructions€for€many€commonly€prosecuted€criminalÐ `(  Ðoffenses.€€Also€included€are€definitions€of€particular€terms€used€in€the€individual€elementsÐ L   Ðinstructions€or€statute.€€Definitions€of€terms€generally€applicable€to€many€offenses€are€included€inÐ 8  ÐSection€8,€òòinfraóó.€€Ð $ ì  Ðà  àAn€instruction€on€the€elements€of€a€crime€should€be€as€simple€and€direct€as€possible.€Ð † N  ÐSeparating€the€elements€and€numbering€them€should€make€the€instruction€both€easier€to€draft€andÐ r :  Ðmore€understandable€to€the€jury.€€Instruction€3.09€on€the€Government's€burden€of€proof€shouldÐ ^& Ðfollow€the€elements€instructions.€€Ð J Ðà  àIf€a€lesser„included€offense€is€to€be€submitted€to€the€jury,€it€should€be€given€immediatelyÐ ¬t Ðafter€the€greater€offense.€€Instruction€3.10,€òòsupraóó,€contains€a€format€for€the€lesser„includedÐ ˜` Ðoffense.€Ð  „L ÐÖ€=;ì^ÖÑ8€Ìw,ÌXXdìXXdì8ÑÓ €Óà@Ú Ú ìàò òÔ% €Ú ÔÔ  Ô6.18.04.€€MISPRISION€OF€A€FELONY€(18€U.S.C.€ðð€4)Ô Ý åÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€misprision€of€a€felony,€as€charged€in€[Count€òò€€€€€€€€€óó€of]€the€indictment,€hasÐ <Ø Ðfour€elements,€which€are:Ð ž : Ðà  àòòOneóó,à0 ` à(insert€name€of€person€other€than€the€defendant)€committed€the€crime€of€(insertÐ  œ Ðdescription€of€felony€offense);Ðb þ` (#` (# Ðà  àòòTwo,óóà0 ` àthe€defendant€had€full€knowledge€of€that€fact;ÐÄ ` ` (#` (# Ðà  àòòThreeóó,à0 ` àthe€defendant€failed€to€notify€authorities€that€the€crime€had€been€committed;€andÐ& ` (#` (# Ðà  àòòFouróó,à0 ` àthe€defendant€took€an€affirmative€step€to€conceal€the€crime.Ј$ ` (#` (# Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ê†  ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Lè  Ðà  à1.€€The€defendant€must€commit€some€affirmative€act€to€prevent€discovery€of€the€earlierÐ ®J Ðfelony.€€Mere€failure€to€make€the€crime€known€will€not€suffice.€€òòNeal€v.€United€Statesóó,€102€F.2dÐ š6 Ð643,€649€(8th€Cir.€1939);€òòUnited€States€v.€Adamsóó,€961€F.2d€505,€508€(5th€Cir.€1992);€òòÔ_ÔLanceyÔ_Ô€v.Ð †" ÐUnited€Statesóó,€356€F.2d€407,€410€(9th€Cir.€1966)€(mere€silence€without€an€affirmative€act€ofÐ r Ðconcealment€is€insufficient€to€establish€commission€of€the€offense).€€Ð ^ú Ðà@55!ìàò òCommittee€Commentsó óˆÐ À\ Ðà  àSome€recent€cases€suggest€that€the€four€elements€of€the€offense€can€be€collapsed€intoÐ "¾ Ðthree:€€(1)€the€defendant€knew€that€another€person€had€committed€the€alleged€felony;€(2)€theÐ ª Ðdefendant€failed€to€notify€authorities;€and€(3)€the€defendant€took€an€affirmative€step€to€concealÐ ú– Ðthe€crime.€€òòSee,€e.g.,óó€òòUnited€States€v.€Adamsóó,€961€F.2d€at€508.€€The€Eighth€Circuit€follows€theÐ æ‚ Ðmore€traditional€formulation€with€four€elements.€€òòNeal€v.€United€Statesóó,€102€F.2d€at€646;€òòsee€alsoÐ Òn  ÐUnited€States€v.€Ô_ÔCefaluÔ_Ôóó,€85€F.3d€964,€969€(2d€Cir.€1996),€òòUnited€States€v.€Baezóó,€732€F.2d€780,Ð ¾Z! Ð782€(10th€Cir.€1984),€and€òòUnited€States€v.€Ô_ÔCiambroneÔ_Ôóó,€750€F.2d€1416,€1417€(9th€Cir.€1984).€Ð ª F" Ðà  àIt€is€irrelevant€whether€at€the€time€of€concealment€the€authorities€had€knowledge€of€eitherÐ  "¨$ Ðthe€felony€crime€or€the€identity€of€the€perpetrator.€€òòÔ_ÔLanceyÔ_Ô€v.€United€Statesóó,€356€F.2d€at€409Ð ø"”% Ð(recognizing€òòNeal€v.€United€Statesóó,€102€F.2d€643€(8th€Cir.€1939),€as€the€leading€case€on€theÐ ä#€& Ðsubject).Ð Ð$l' Ðà  àThe€crime€of€misprision€typically€does€not€apply€to€those€who€participate€in€theÐ 2&Î) Ðcommission€of€an€offense.€€òòUnited€States€v.€Ô_ÔBoldenÔ_Ôóó,€368€F.3d€1032,€1036„37€(8th€Cir.€2004).€Ð 'º * ÐSubject€to€Fifth€Amendment€concerns,€however,€the€misprision€statute€can€be€applied€to€thoseÐ  (¦!+ Ðwho€participate€in€the€underlying€criminal€activity.€€òòRoberts€v.€United€Statesóó,€445€U.S.€552,€558Ð ö(’", Ð(1980).€€The€valid€assertion€of€a€Fifth€Amendment€privilege€against€self„incrimination€wouldÐ â)~#- Ðprevent€a€misprision€prosecution€for€concealing€evidence€of€oneððs€own€crime.€€òòUnited€States€v.Ð Î*j$. ÐÔ_ÔCaraballoÔ_Ô-Rodriquezóó,€480€F.3d€62,€72€(1st€Cir.€2007)€(citing€òòUnited€States€v.€Ô_ÔKuhÔ_Ôóó,€541€F.2d€672,Ð º+V%/ Ð677€(7th€Cir.€1976)€(ð ðif€the€duty€to€notify€federal€authorities€is€precluded€by€constitutionalÐ d Ðprivilege,€it€is€difficult€to€understand€how€a€conviction€[under€18€U.S.C.€ðð€4]€could€beÐ Pì Ðsubstantiatedðð)).€€Similarly,€a€common€law€privilege,€such€as€that€between€an€attorney€and€aÐ <Ø Ðclient€or€between€a€doctor€and€patient,€may€excuse€or€justify€the€non„disclosure€on€the€grounds€ofÐ ( Ä Ðprivilege.òò€€United€States€v.€Ô_ÔCaraballoÔ_Ô-Rodriquezóó,€480€F.3d€at€72.€€Ð  ° Ðà  àDeciding€what€constitutes€concealment€is€a€question€of€fact€for€the€jury.€€ð ðConcealment€ofÐ v  Ðcrime€has€been€condemned€throughout€our€history.€€The€citizenððs€duty€to€ððraise€the€hue€and€cryððÐ b þ Ðand€report€felonies€to€the€authorities€was€an€established€tenet€of€Anglo-Saxon€law€at€least€asÐ N ê Ðearly€as€the€13th€century.€€Although€the€term€ððmisprision€of€felonyðð€now€has€an€archaic€ring,Ð :Ö  Ðgross€indifference€to€the€duty€to€report€known€criminal€behavior€remains€a€badge€of€irresponsibleÐ &  Ðcitizenship.ððòò€€Roberts€v.€United€Statesóó,€445€U.S.€at€558.€€Disclosing€only€part€but€not€all€of€whatÐ ®  Ðis€known€about€the€crime,€or€ð ðthrowing€dust€in€the€eyesðð€of€investigators€and€thereby€providingÐ þš  Ðthem€with€misleading€information,€qualifies€as€concealment.€€òòNeal€v.€United€Statesóó,€102€F.2d€atÐ ê†  Ð649.€€òòóóSimilarly,€providing€authorities€with€the€false€impression€that€the€felony€crime€had€notÐ Ör  Ðoccurred€satisfies€the€concealment€requirement.€€òòPatel€v.€Ô_ÔMukaseyÔ_Ôóó,€526€F.3d€800,€803€(5th€Cir.Ð Â^  Ð2008).€€Harboring€a€perpetrator,€with€full€knowledge€that€they€committed€a€felony€crime,€canÐ ®J Ðconstitute€concealment.€€òòÔ_ÔLanceyÔ_Ô€v.€United€Statesóó,€356€F.2d€at€410.€€The€Eighth€Circuit€hasÐ š6 Ðdiscussed€what€constitutes€ð ðconcealmentðð€in€the€context€of€a€related€statute€which€makes€it€aÐ †" Ðcrime€to€harbor€or€conceal€a€person€for€whom€an€arrest€warrant€or€other€process€has€been€issued.€Ð r ÐòòUnited€States€v.€Hayesóó,€518€F.3d€989,€993„95€(8th€Cir.€2008)€(construing€18€U.S.C.€ðð€1071).Ð ^ú Ðà  àThe€language€of€the€statute€requires€the€one€with€actual€knowledge€that€another€hasÐ À\ Ðcommitted€a€felony€to€come€forward€and€reveal€that€knowledge€ð ðas€soon€as€possible.ðð€€The€casesÐ ¬H Ðhave€interpreted€ð ðas€soon€as€possibleðð€to€mean€when€there€is€an€opportunity€to€do€so.€€òòÔ_ÔLanceyÔ_Ô€v.Ð ˜4 ÐUnited€Statesóó,€356€F.2d€at€411€(recognizing€that€one€held€captive€by€a€perpetrator€does€not€haveÐ „  Ðan€opportunity€to€notify€authorities).€€Whether€a€defendant€charged€with€misprision€came€forwardÐ p  Ðð ðas€soon€as€possibleðð€is€a€question€of€fact€for€the€jury€to€resolve€and€may€require€the€trial€court€toÐ \ø Ðmodify€element€three€to€accommodate€the€facts€unique€to€an€individual€case.€€Fear€of€theÐ Hä Ðperpetrator,€without€more,€does€not€excuse€the€failure€to€notify€authorities.€€òòId.óó€(recognizing€thatÐ 4 Ð Ðif€fear€of€the€perpetrator€were€a€defense,€there€seldom€could€be€a€misprision€conviction).Ð   !¼ ÐÓ €ÓÖ€>=ì_Öà@» » ìàò òÔ% €Þ ÔÔ  Ô6.18.111.€€ASSAULT€ON€A€FEDERAL€OFFICER€WITH€A€eˆÐ d Ðà@A A ìàDANGEROUS€OR€DEADLY€WEAPON€(18€U.S.C.€ðð€111)Ô 'H'Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€assaultòò1óó€on€a€federal€officer€[with€a€dangerous€or€deadly€weapon],€asÐ ( Ä Ðcharged€in€[Count€òò€€€€€óó€of]€the€indictment,€has€[three]€[four]€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€forcibly€assaultedòòóó€(describe€federal€officer€by€position€and€name)òò2óóÐ ì ˆ Ð[with€a€deadly€or€dangerous€weapon];òò3óóÐ N ê  Ðà  àòòTwoóó,€the€assault€was€done€voluntarily€and€intentionally;òò4óó€[and€]Ð °L  Ðà  àòò[Threeóó,€the€assault€resulted€in€bodily€injury;òò5óó€and€]Ð ®  Ðà  àòò[Three,]€[Four,]óó€at€the€time€of€the€assault,€(name€of€officer)€was€doing€what€he€wasÐ t  Ðemployed€by€the€federal€government€to€do.òò6óóÐ Ör  Ðà  àAn€"assault"€is€any€intentional€and€voluntary€attempt€or€threat€to€do€injury€to€the€personÐ 8Ô  Ðof€another,€when€coupled€with€the€apparent€present€ability€to€do€so€sufficient€to€put€the€personÐ š6 Ðagainst€whom€the€attempt€is€made€in€fear€of€immediate€bodily€harm.òò7óó€Ð ü˜ Ðà  à"Forcibly"€means€by€use€of€force.€€Physical€force€is€sufficient€but€actual€physical€contactÐ ^ú Ðis€not€required.€€You€may€also€find€that€a€person€who,€in€fact,€has€the€present€ability€to€inflictÐ À\ Ðbodily€harm€upon€another€and€who€threatens€or€attempts€to€inflict€bodily€harm€upon€such€personÐ "¾ Ðacts€forcibly.€€In€such€case,€the€threat€must€be€a€present€one.òò8óó€€Ð „  Ðà  à[A€"deadly€and€dangerous€weapon"€is€an€object€used€in€a€manner€likely€to€endanger€lifeÐ æ‚! Ðor€inflict€serious€bodily€harm.€€A€weapon€intended€to€cause€death€or€danger€but€that€fails€to€do€soÐ Hä# Ðbecause€of€a€defective€component€is€a€deadly€or€dangerous€weapon.]òò9óóÐ ª F% ÐÓ €Óà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÐ  "¨' ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ n# ) Ðà  à1.€€The€wording€of€the€introductory€paragraph€and€Elements€One€and€Three€(or€Four€ifÐ Ð$l+ Ðbodily€injury€resulted)€must€be€modified€to€conform€to€the€indictment€if€forcibly€ð ðresists,Ð ¼%X, ÐÔ'&n#D Ôopposes,€impedes,€intimidates,€or€interferes€.€.€.€on€account€of€the€performance€of€his€(her)Ð ¨&D - Ðofficial€dutiesðð€is€charged.Ð ”'0!. Ðà  à2.€€Whether€a€person€performing€the€functions€delegated€to€the€assault€victim€is€a€federalÐ ö(’"0 Ðofficer€or€employee€within€the€meaning€of€section€111€is€a€question€of€law€for€the€court.€€òòSeeóóÐ â)~#1 ÐòòUnited€States€v.€Oakieóó,€12€F.3d€1436€(8th€Cir.€1993).€€However,€whether€the€assault€victim€wasÐ Î*j$2 Ðin€fact€acting€as€an€officer€or€employee,€and€whether€he€was€performing€federal€"investigative,Ð º+V%3 Ðinspection,€or€law€enforcement€functions"€at€the€time€of€the€alleged€assault,€are€fact€questions€forÐ d Ðthe€jury.€€òòUnited€States€v.€Oakieóó,€12€F.3d€at€1440.€€The€Committee€recommends€that€the€specificÐ Pì Ðtitle€of€the€federal€officer€be€used.€Ð <Ø Ðà  à3.€€Use€this€language€if€the€enhanced€penalty€under€section€111(b)€for€assault€with€aÐ ž : Ðdeadly€or€dangerous€weapon€is€charged.€€The€question€of€what€constitutes€a€deadly€or€dangerousÐ Š & Ðweapon€is€a€question€of€fact€for€the€jury.€€òòUnited€States€v.€Czeckóó,€671€F.2d€1195,€1197€(8th€Cir.Ð v  Ð1982).€€A€thorough€discussion€of€this€question€is€found€in€òòUnited€States€v.€Mooreóó,€846€F.2dÐ b þ Ð1163,€1166-67€(8th€Cir.€1988).€Ð N ê Ðà  à4.€€The€assault€must€be€intentional,€even€though€the€term€"willful"€is€not€used€in€theÐ °L  Ðstatute.€€òòUnited€States€v.€Feolaóó,€420€U.S.€at€684;€òòPotter€v.€United€Statesóó,€691€F.2d€1275,€1280Ð œ8  Ð(8th€Cir.€1982);€òòUnited€States€v.€Manellióó,€667€F.2d€695,€696€(8th€Cir.€1981).€€The€requirementÐ ˆ$  Ðthat€the€defendant€acted€"voluntarily€and€intentionally"€would€appear€to€satisfy€that€element.€Ð t  ÐòòUnited€States€v.€Hansonóó,€618€F.2d€1261,€1264-65€(8th€Cir.€1980).€€In€òòUnited€States€v.€Sweetóó,€985Ð `ü  ÐF.2d€443,€444„45€(8th€Cir.€1993),€the€court€stated€"[U]nless€used€in€the€statute€itself€or€unless€theÐ Lè  Ðcrime€falls€within€that€rare€type€of€offense€where€defendant's€knowledge€that€[s]he€is€violatingÐ 8Ô  Ðthe€law€is€an€element€of€the€offense,€there€is€no€occasion€for€an€instruction€defining€specificÐ $À Ðintent."€€òòId.óó€at€444„45€(quoting€òòUnited€States€v.€Doughertyóó,€763€F.2d€970,€974€(8th€Cir.€1985)).Ð ¬ Ðà  àThe€defendant€need€not€know€that€the€victim€is€a€federal€officer.€€òòUnited€States€v.€Feolaóó,Ð r Ð420€U.S.€at€684-86;€òòUnited€States€v.€Michalekóó,€464€F.2d€442,€443„44€(8òòthóó€Cir.€1972).€€If€self„Ð ^ú Ðdefense€is€raised,€however,€knowledge€of€the€official€capacity€of€the€victim€may€be€an€elementÐ Jæ Ðnecessary€for€conviction.€€òòSee€United€States€v.€Feolaóó,€420€U.S.€at€686;€òòUnited€States€v.€Lynchóó,€58Ð 6Ò ÐF.3d€389,€391„92€(8òòthóó€Cir.€1995).€Ð "¾ Ðà  à5.€€Use€this€bracketed€element€if€the€enhanced€penalty€under€section€111(b)€if€the€assaultÐ „  Ðinflicted€bodily€injÔ_ÔuryÔ_Ô.€€ð ðBodily€injuryðð€is€not€defined€in€section€111€but€is€defined€in€18€U.S.C.Ð p  Ððð1365(g)(4)€as€ð ð(A)€a€cut,€abrasion€bruise,€burn€or€disfigurement;€(B)€physical€pain;€(C)€illness;Ð \ø Ð(D)€impairment€of€the€function€of€a€bodily€member,€organ,€or€mental€faculty;€or€(E)€any€otherÐ Hä Ðinjury€to€the€body,€no€matter€how€temporary.ðð€€Ð 4 Ð Ðà  à6.€€State,€local€or€tribal€officers€are€federal€officers€for€the€purposes€of€the€statute€ifÐ –!2  Ðincluded€within€the€designation€of€18€U.S.C.€ðð€1114€by€reason€of€contract,€designation€orÐ ‚"! Ðdeputization.€€òòSeeóó€òòUnited€States€v.€Bettelyounóó,€16€F.3d€850,€852€(8òòthóó€Cir.€1994),€and€òòUnited€StatesÐ n# " Ðv.€Oakieóó,€12€F.3d€at€1439„40€(tribal€law€enforcement€officers€designated€by€the€Bureau€of€IndianÐ Z$ö# ÐAffairs€to€perform€federal€law€enforcement€functions€are€federal€officers).€Ð F%â$ Ðà  àThe€statute€uses€the€phrase€"while€engaged€in€.€.€.€the€performance€of€his€official€duties."€Ð ¨&D & ÐThis€means€simply€acting€within€the€scope€of€what€that€person€is€employed€to€do;€it€is€notÐ ”'0!' Ðdefined€by€whether€the€officer€is€abiding€by€laws€and€regulations€in€effect€at€the€time€of€theÐ €("( Ðincident.€€The€test€is€whether€the€person€is€acting€within€that€area€of€responsibility,€that€is,Ð l)#) Ðwhether€the€officerððs€actions€fall€within€the€agencyððs€overall€mission,€in€contrast€to€engaging€in€aÐ X*ô#* Ðpersonal€frolic€of€his€own.€€òòUnited€States€v.€Streetóó,€66€F.3d€969,€978€(8th€Cir.€1995).Ð D+à$+ Ðà  àIt€is€also€a€violation€of€the€statute€to€assault€a€federal€officer€"on€account€of"€or€inÐ d Ðretaliation€for€his€discharge€of€his€official€duties.€€òòE.g.óó,€òòUnited€States€v.€Lopezóó,€710€F.2d€1071,Ð Pì Ð1074€n.3€(5th€Cir.€1983).€€If€this€conduct€is€charged,€Element€òòThreeóó€should€be€so€modified.€Ð <Ø Ðà  à7.€€The€statute€prohibits€any€acts€or€threats€of€bodily€harm€that€might€reasonably€thatÐ ž : Ðmight€reasonably€deter€a€federal€official€from€the€performance€of€his€or€her€duties.€€Even€if€thereÐ Š & Ðis€no€physical€contact,€the€force€requirement€is€satisfied€even€if€the€defendantððs€conduct€placesÐ v  Ðthe€officer€in€fear€for€his€life€or€safety.€€òòSee€United€States€v.€Yatesóó,€304€F.3d€818€(8òòthóó€Cir.€2002);Ð b þ ÐòòUnited€States€v.€Streetóó,€66€F.3d€969,€975„76€(8òòthóó€Cir.€1995);€òòUnited€States€v.€Wollenzienóó,€972€F.2dÐ N ê Ð890,€891„92€(8òòthóó€Cir.€1992).Ð :Ö  Ðà  à8.€€The€element€of€force€may€be€satisfied€by€proof€of€actual€physical€contact€or€by€proofÐ œ8  Ðof€a€threat€or€display€of€physical€aggression€toward€the€officer€that€would€reasonably€inspire€fearÐ ˆ$  Ðof€pain,€bodily€harm,€or€death€in€a€reasonable€person.€€No€direct€contact€is€required,€simplyÐ t  Ðconduct€that€places€the€officer€in€fear€for€his€life€or€safety.€€òòSee€United€States€v.€Streetóó,€66€F.3d€at€Ð `ü  Ð977òòóó.€€Ð Lè  Ðà  à9.€€òòSeeóó€18€U.S.C.€ðð€111(b).€"Serious€bodily€harm"€has€been€defined€as€more€than€minorÐ ®J Ðinjury,€but€not€necessarily€injury€creating€a€substantial€likelihood€of€death.€€òòMooreóó,€846€F.2d€atÐ š6 Ð1166.€€See€also€òòUnited€States€v.€Hollowóó,€747€F.2d€481,€482€(8th€Cir.€1984).€Ð †" ÐÔ& 8 Ôà@55!ìàò òCommittee€Commentsó óˆÐ è„ Ðà  àòòSee€United€States€v.€Yatesóó,€304€F.3d€818€(8òòthóó€Cir.€2002),€for€a€discussion€of€the€categoriesÐ Jæ Ðof€assault€and€the€penalty€provisions€of€section€111;€it€further€holds€that€in€the€context€of€sectionÐ 6Ò Ð111,€simple€assault€is€conduct€in€violation€of€section€111(a),€which€does€not€involve€actualÐ "¾ Ðphysical€contact,€a€dangerous€weapon,€serious€bodily€injury,€or€the€intent€to€commit€murder€orÐ ª Ðanother€serious€felony.Ð ú– Ðà  àIf€"self€defense"€is€raised€as€an€affirmative€defense,€an€appropriate€instruction€settingÐ \ø Ðforth€the€defense€and€the€government's€burden€thereon€should€be€given.€€òòSee€United€States€v.Ð Hä ÐFeolaóó,€420€Ô'8 è¿(ÔU.S.€671€(1975);€òòUnited€States€v.€Lynchóó,€58€F.3d€389,€391„92€(8òòthóó€Cir.€1995);òò€UnitedÐ 4 Ð ÐStates€v.€Alvarezóó,€755€F.2d€830,€842-43€(11th€Cir.€1985).€€Sòòee€alsoóó€Instructions€3.09,€òòsupraóó,€andÐ  !¼  Ð9.00€and€9.04,€òòinfraóó.€Ð   "¨! ÐÖ€@>ì`ÖÓ €Óà@  ìàò òÔ% €à ÔÔ  Ô6.18.152A.€€BANKRUPTCY€FRAUD€„€CONCEALMENT€OF€ASSETS€ˆÐ d Ðà@¬¬ ìà(18€U.S.C.€ðð€152(1))Ô 'H¦-Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€bankruptcy€fraud€has€four€elements,€which€are:€€Ð ( Ä Ðà  àòòOneóó,€on€or€about€(specify€time€alleged€in€the€indictment)€a€bankruptcy€case€was€pendingÐ Š & Ðin€the€United€States€Bankruptcy€Court€for€the€_____€District€of€_____,€in€which€_____€[doingÐ ì ˆ Ðbusiness€as€_____€]€was€the€Debtor;€Ð N ê  Ðà  àòòTwoóó,€(describe€the€property€alleged€in€the€indictment)òò1óó€was€a€part€of€the€bankruptcy€estateÐ °L  Ðof€the€Debtor;Ð ®  Ðà  àòòThreeóó,€the€defendant€knowinglyòò2óó€[concealed]€[attempted€to€conceal;òò3óó]€the€(describe€theÐ t  Ðproperty€alleged€in€the€indictment)€from€the€[custodian]€[trustee]€[Marshal]€[some€person]Ð Ör  Ðcharged€with€the€custody€and€control€of€that€property;€andÐ 8Ô  Ðà  àòòFouróó,€such€[concealment]€[attempt€to€conceal]€was€done€with€the€intent€to€defraud.€€Ð š6 Ðà  àThe€term€ð ðdebtorðð€means€the€person€or€corporation€for€whom€a€bankruptcy€case€has€beenÐ ü˜ Ðcommenced.€€Ð ^ú Ðà  àWhen€a€debtor€files€a€€petition€seeking€protection€from€creditors€under€the€bankruptcyÐ À\ Ðlaws,€a€ð ðbankruptcy€estateðð€is€created,€which€is€comprised€of€all€property€belonging€to€the€debtor,Ð "¾ Ðwherever€located,€and€by€whomever€held,€as€of€the€time€of€the€filing€of€the€bankruptcy€case.€€TheÐ „  Ðð ðbankruptcy€estateðð€also€includes€proceeds,€products,€rents,€or€profits€of€or€from€the€property€ofÐ æ‚! Ðthe€estate,€but€it€does€not€include€earnings€from€services€performed€by€an€individual€after€theÐ Hä# Ðcase€is€filed.Ð ª F% Ðà  à"Concealment"€means€not€only€hiding€property€or€assets,€it€also€includes€preventing€theÐ  "¨' Ðdiscovery€of€assets,€transferring€property€or€withholding€information€required€to€be€made€known.€Ð n# ) ÐConcealment€of€property€of€the€estate€may€include€transferring€property€to€a€third€party€or€entity,Ð Ð$l+ Ðdestroying€the€property,€withholding€knowledge€concerning€the€existence€or€whereabouts€of€theÐ 2&Î- Ðproperty,€or€knowingly€doing€anything€else€by€which€the€defendant€acts€to€hinder,€unreasonablyÐ ”'0!/ Ðdelay€or€defraud€any€creditors.€€The€United€States€need€not€prove€that€the€concealment€wasÐ ö(’"1 Ðâ âsuccessful.Ð X*ô#3 Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€knowingly€and€with€the€intent€to€deceiveÐ d Ðâ âsomeone€for€the€purpose€of€causing€some€[financial€loss]€[loss€of€€property€or€property€rights]€toÐ Æb Ðanother,€or€bringing€about€a€financial€gain€to€oneself€or€another,€to€the€detriment€of€a€third€party.Ð ( Ä Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupra.óó)Ó€ÓÓ €ÓÐ Š & ÐÔ& & Ôà@««$ìàò òNotes€On€Useó óˆÐ ì ˆ Ðà  à1.€€The€property€alleged€to€have€been€concealed€must€be€pled€with€particularity€and,Ð N ê  Ðtherefore,€should€be€sufficiently€identified€in€the€instruction.€€òòSee€United€States€v.€Argeóó,€418€F.2dÐ :Ö  ÐÔ'&ì u:Ô721,€724€(10th€Cir.€1969).Ð &  Ðà  à2.€€It€is€the€opinion€of€the€Committee€that€the€term€ð ðknowinglyðð€is€a€well„known€andÐ ˆ$  Ðoften€used€term€which€does€not€need€to€be€defined.€€If€a€definition€is€requested€and€deemedÐ t  Ðnecessary,€see€the€Committee€Comments€for€Instruction€7.03.Ð `ü  Ðà  à3.€€This€bracketed€language€should€be€used€where€an€attempted€concealment€wasÐ Â^  Ðunsuccessful.€€It€is€no€defense€that€the€defendantððs€attempt€to€conceal€was€unsuccessful.€€òòSeeÐ ®J ÐUnited€States€v.€Cherekóó,€734€F.2d€1248,€1254€(7th€Cir.€1984);€òòUnited€States€v.€Porteróó,€842€F.2dÐ š6 Ð1021,€1024€(8th€Cir.€1988).šÐ †" ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ è„ ÐÔ'NèÂ>Ôà  àòòóóA€similar€instruction€was€discussed€in€òòUnited€States€v.€Christner,óó€66€F.3d€922,€925„26Ð Jæ Ð(8th€Cir.€1995).Ð 6Ò Ðà  àProperty€which€is€subject€to€a€bankruptcy€proceeding€is€to€be€accorded€a€broadÐ ˜4 Ðinterpretation,€and€it€also€includes€equitable€interests€held€by€the€debtor,€such€as€causes€of€action.òò€Ð „  ÐUnited€States€v.€Brimberryóó,€779€F.2d€1339,€1347„48€(8th€Cir.€1985)€(citing€4€W.€Collier,Ð p  ÐBankruptcy,€ðð541.10€(15th€ed.)).€€However,€equitable€interests€subject€to€the€bankruptcy€estateÐ \ø Ðinclude€only€existing€equitable€interests,€not€the€right€to€acquire€such€an€interest.€€In€òòBrimberryóó,Ð Hä  Ðthe€court€concluded€that€the€right€to€a€constructive€trust€did€not€provide€a€basis€for€convictionÐ 4 Ð! Ðunder€the€bankruptcy€fraud€statute,€but€where€the€bankruptcy€court€imposed€a€constructive€trustÐ  !¼" Ðon€property€purchased€with€embezzled€funds,€the€court€concluded€the€constructive€trust€wasÐ  "¨# Ðsufficient€to€satisfy€the€"property€belonging€to€the€estate€of€the€debtor"€element€of€15€U.€S.€C.Ð ø"”$ Ððð78jjj(c)1(C)(I).€€Ð ä#€% Ðà  àThe€Committee€believes€that€in€bankruptcy€fraud€cases€based€upon€concealment€of€assets,Ð F%â' Ðmateriality€is€not€an€element€of€the€offense.€€It€is€not€mentioned€in€the€statute€as€an€element€of€theÐ 2&Î( Ðoffense,€and€recent€decisions€of€the€Supreme€Court€would€tend€to€indicate€that€such€an€elementÐ 'º ) Ðwill€not€be€judicially€imposed.€€òòSeeóó€òòUnited€States€v.€Wellsóó,€€519€U.S.€482€(1997).Ð   (¦!* ÐÖ€B@ìaÖÓ €Óà@ggìàò òÔ% €â ÔÔ  Ô6.18.152B.€€BANKRUPTCY€FRAUD€„€MAKING€A€FALSE€STATEMENT€ˆÐ d Ðà@YYìà(18€U.S.C.€ðð€152(2„4))Ô le=FÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€bankruptcy€fraud€has€four€elements,€which€are:€€Ð ( Ä Ðà  àòòOneóó,€on€or€about€(specify€time€alleged€in€the€indictment)€a€bankruptcy€case€was€pendingÐ Š & Ðin€the€United€States€Bankruptcy€Court€for€the€_____€District€of€_____,€in€which€_____€[doingÐ ì ˆ Ðbusiness€as€_____]€was€the€Debtor;€Ð N ê  Ðà  àòòTwoóó,€the€defendant€[made]€[caused€to€be€made]€a€false€[statement]€[oath]€[account]Ð °L  Ð[regarding€a€matter€materialòò1óó€to]€[in€relation€to]€the€bankruptcy€proceeding;Ð ®  Ðà  àòòThreeóó,€the€defendant€knew€the€[statement]€[oath]€[account]€was€false€when€it€was€made;Ð t  Ðà  àòòFouróó,€the€defendant€did€so€with€the€intent€to€defraud.€€Ð Ör  Ðà  àThe€term€ð ðdebtorðð€means€the€person€or€corporation€for€whom€a€bankruptcy€case€has€beenÐ 8Ô  Ðcommenced.€Ð š6 Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€knowingly€and€with€the€intent€to€deceiveÐ ü˜ Ðsomeone€for€the€purpose€of€causing€some€[financial€loss]€[loss€of€€property€or€property€rights]€toÐ ^ú Ðanother,€or€bringing€about€a€financial€gain€to€oneself€or€another,€to€the€detriment€of€a€third€party.Ð À\ Ðà  àA€matter€is€ð ðmaterialðð€if€it€has€a€natural€tendency€to€influence,€or€is€capable€ofÐ "¾ Ðinfluencing,€the€outcome€of€the€bankruptcy€proceeding.€Ð „  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupra.óó)Ó€ÓÓ €ÓÐ æ‚! ÐÔ& & Ôà@««$ìàò òNotes€On€Useó óˆÐ Hä# Ðà  à1.€€There€is€some€question€as€to€whether€materiality€is€an€element€of€the€offense€ofÐ ª F% Ðbankruptcy€fraud.€€While€Title€18€U.S.C.€ðð€152(2„4)€does€not€specifically€mention€materiality€asÐ –!2& Ðan€Ô'&H·MÔelement€of€the€offense,€the€Eighth€Circuit€has€nevertheless€held€that€materiality€is€an€elementÐ ‚"' Ðwhich€the€jury€must€find€in€order€to€support€a€conviction€for€bankruptcy€fraud.€€This€is€so€evenÐ n# ( Ðthough€it€was€not€expressly€set€out€in€the€statute.€€òòUnited€States€v.€Yagowóó,€953€F.2d€427,€432€n.2Ð Z$ö) Ð(8th€Cir.€1992).€€However,€the€continued€validity€of€òòYagowóó€on€the€issue€of€materiality€is€open€toÐ F%â* Ðquestion€in€light€of€the€Supreme€Court's€later€opinion€in€òòUnited€States€v.€Wellsóó,€519€U.S.€482Ð 2&Î+ Ð(1997).€€Theòò€Wellsóó€case€was€not€a€bankruptcy€case€at€all;€rather,€it€dealt€with€an€analogousÐ 'º , Ðprosecution€for€false€statements€made€to€a€financial€institution€in€violation€of€18€U.S.C.€ðð€1014.€Ð  (¦!- ÐIn€òòWellsóó,€the€Supreme€Court€declined€to€require€materiality€where€the€statute€did€not€impose€suchÐ ö(’". Ða€right.€Ð  â)~#/ ÐÖ€DBìbÖÓ €Óà@++ ìàò òÔ% €ä ÔÔ  Ô6.18.201A.€€Ôf  ÔÔg ÔBRIBERY€OF€PUBLIC€OFFICIAL€(18€U.S.C.€ðð€201(b)(1Ôf  ÔÔg Ô)Ô le2SÔó ó)ˆÐ d ÐÌà  àÓ€ÓThe€crime€of€bribing€a€[public€official]€[person€who€has€been€selected€to€be€a€publicÐ @Ü Ðofficial]òò1óó,€as€charged€in€[Count€òò€€€€€óó€of]€the€indictment,€has€three€elements,€which€are:€Ð ¢ > ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg ÔòòOneóó,€the€defendant€[gave]€[offered]€[promised]òò2óó€something€of€value€to€(name€of€officialÐ    Ðor€selectee);€Ð f  ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg ÔòòTwoóó,€at€that€time€(name€of€official€or€selectee)€was€[selected€to€be]€a€(name€officialÐ È d  Ðposition,€e.g.,€€Special€Agent€of€the€Federal€Bureau€of€Investigation);òò3óó€and€Ð *Æ  ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg ÔòòThreeóó,€the€defendant€did€this€act€corruptly,òò4óó€that€isÔf  ÔÔg Ô,Ôf  ÔÔg Ô€with€intent€to€[influence]€[induce]Ð Œ(  Ð(name€of€official€or€selectee)€(describe€the€official€action€or€fraud€to€be€influenced€or€induced€Ôf  ÔÔg ÔÔf  ÔÔg Ô„Ôf  ÔÔg ÔÐ îŠ  Ðe.g.,€not€to€arrest€the€defendant).€Ð Pì  ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg Ô(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ²N ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ° Ðà  à1.€€This€instruction€does€not€cover€the€second€clause€of€section€201(b)(1).€€Where€an€offerÐ v Ðor€promise€is€made€to€give€something€of€value€to€a€third€person,€the€instruction€should€be€soÐ bþ ÐÔ'&¯YÔmodified.€Ð Nê ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg Ô2.€€All€subsections€under€section€201(b)€and€(c)€provide€for€acting€"directly€or€indirectly."€Ð °L ÐWhere€indirect€action€is€charged,€the€jury€instructions€should€be€modified€accordingly.€Ð œ8 ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg Ô3.€€By€phrasing€the€instruction€in€this€manner,€the€court€avoids€having€to€further€instructÐ þš Ðthat€a€person€holding€the€defendant's€particular€position€is€a€"public€official."€€However,€the€courtÐ ê†  Ðshould€make€such€a€finding€on€the€record.€Ð Ör! ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg Ô4.€€The€Committee€believes€that€the€element€of€"corruptly"€is€adequately€defined€byÐ 8 Ô# Ðsetting€out€the€required€intent.€€Ôf  ÔÔg ÔÐ $!À$ ÐÔ& & Ôà@55!ìàÔf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg Ôò òCommittee€CommentsˆÐ †""& Ðà  àÔf  ÔÔg ÔÔf  ÔÔg Ôó óSection€201(a)€is€ð ðcomprehensive€statute€applicable€to€all€persons€performing€activitiesÐ è#„( Ðfor€or€on€behalf€of€the€United€States,€whatever€the€form€of€delegation€of€authority.ðð€€òòDixson€v.Ð Ô$p) ÐUnited€Ô'&†"³^ÔStatesóó,€465€U.S.€482,€296€(1984).€€òòSee€Ôf  ÔÔg ÔVinyard€v.€United€Statesóó,€335€F.2d€176,€181Ôf  ÔÔg ÔÔf  ÔÔg Ô„Ôf  ÔÔg Ô83Ð À%\* Ð(8th€Cir.€1964).€Ð ¬&H + ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àBribery€requires€intent€ð ðto€influenceðð€an€official€act€or€ð ðto€be€influencedðð€in€an€officialÐ (ª!- Ðact.€€It€also€requires€proof€of€a€quid€pro€quo.Ôf  ÔÔg Ô€€òòUnited€States€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔSun„Diamond€Growers€ofÐ ú(–". ÐCaliforniaóó,€526€U.S.€398,€404„05€(1999).Ð æ)‚#/ Ðà  àThe€defendant€must€have€acted€ð ðcorruptly.ðð€€ð ðCorruptly"€has€been€recognized€as€havingÐ H+ä$1 Ðð ða€longstanding€and€well„accepted€€meaningðð€in€criminal€law.€€ð ðIt€denotes€ðð[a]n€act€done€with€anÐ 4,Ð%2 Ðintent€to€give€some€advantage€inconsistent€with€official€duty€and€the€rights€of€others.€.€.€.€€ItÐ d Ðincludes€bribery€but€is€more€comprehensive;€because€an€act€may€be€corruptly€done€though€theÐ Pì Ðadvantage€to€be€derived€from€it€be€not€offered€by€another.ððððÔf  ÔÔg Ô€€òòUnited€States€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔAguilaróóÔf  ÔÔg Ô,€Ôf  ÔÔg ÔÔf  ÔÔg Ô515€U.S.Ð <Ø Ð593,€616€(1995)€(J.€Scalia,€joined€by€J.€Kennedy€and€Thomas,€concurring€in€part€and€dissentingÐ ( Ä Ðin€part)€(internal€cites€omitted),€in€the€context€of€18€U.S.C.€ðð€1503Ôf  ÔÔg Ô.€€òòSee€alsoóó€CommitteeÐ  ° ÐComments,€Instruction€6.18.1503A,€òòinfraóó,€for€a€discussion€of€"corruptly"€in€18€U.S.C.€ðð€1503.€Ð  œ ÐÔf  ÔÔg ÔÔf  ÔÔg ÔThe€following€definition€given€by€district€court€in€òòAguilaróó€was€cited€with€approval:Ð ì ˆ Ðà0  àAn€act€is€done€"corruptly"€if€itððs€done€voluntarily€and€intentionally€to€bring€about€eitherÐ N ê Ðan€unlawful€result€or€a€lawful€result€by€some€unlawful€method,€with€a€hope€or€expectationÐ :Ö  Ðof€either€financial€gain€or€other€benefit€to€oneself€or€a€benefit€of€another€person.€€Ð& (#(# ÐòòIdóó.€at€616„17.€Ó?+° °` ¸ hÀpÈ xÐ °œX?Óòòóó€Ð ˆ$  Ðà  àItÔf  ÔÔg Ô€is€immaterial€Ôf  ÔÔg ÔÔf  ÔÔg Ôwhether€Ôf  ÔÔg Ôthe€public€official€lacked€the€legal€authority€to€take€the€actionÐ ê†  Ðsought€by€the€defendantÔf  ÔÔg ÔÔf  ÔÔg Ô,€whether€the€officialÔf  ÔÔg Ô€is€not€corruptedÔf  ÔÔg Ô,Ôf  ÔÔg Ô€or€Ôf  ÔÔg Ôwhether€Ôf  ÔÔg Ôthe€object€of€the€bribeÐ Ör  Ðcannot€be€obtained.€€òòVinyard€v.€Ôf  ÔÔg ÔUnited€StatesÔf  ÔÔg Ôóó,€Ôf  ÔÔg ÔÔf  ÔÔg Ô335€F.2d€at€182.€€The€statute€is€violated€when€aÐ Â^  Ðbribe€is€given€or€an€offer€to€bribe€is€made€regardless€of€whether€afterward€the€person€ð ðdiscoversÐ ®J Ðthat€for€some€reason€or€another,€be€it€a€mistake€on€his€part€or€a€mistake€on€the€part€of€someÐ š6 Ðofficer€or€agency€of€the€United€States,€there€was€actually€no€occasion€for€him€to€have€done€it.€€òòId.Ð †" Ðat€182.€€óóTheÔf  ÔÔg Ô€illegality€of€Ôf  ÔÔg ÔÔf  ÔÔg ÔanÔf  ÔÔg Ô€arrest€Ôf  ÔÔg Ôis€not€Ôf  ÔÔg Ôa€viable€defense€in€a€prosecution€for€bribery€of€theÐ r Ðarresting€officer.€€òòIÔf  ÔÔg ÔdÔf  ÔÔg Ô.Ôf  ÔÔg Ôóó€at€181.€Ð ^ú ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg Ô"Public€official"€is€defined€in€section€201(a)(1).€€Although€the€public€official€must€be€aÐ À\ Ðfederal€officer,€it€is€not€necessary€that€the€defendant€know€or€believe€he€is€a€federal€official€asÐ ¬H Ðlong€as€the€defendant€believed€he€was€dealing€with€a€government€official.€€òòUnited€States€v.Ð ˜4 ÐJenningsóó,€471€F.2d€1310,€1313€(2d€Cir.€1973).€€It€is€not€necessary€that€a€person€be€formallyÐ „  Ðemployed€or€under€contract€with€the€United€States€to€be€a€public€officialÔf  ÔÔg Ô;€a€person€is€a€publicÐ p  Ðofficial€if€he€occupies€a€position€of€public€trust€with€official€federal€responsibilities,Ôf  ÔÔg Ô€if€heÐ \ø Ðpossesses€some€degree€of€official€responsibility€for€carrying€out€a€federal€program€or€policy.€Ð Hä ÐòòDixson€v.€United€Statesóó,€465€U.S.€482,€Ôf  ÔÔg ÔÔf  ÔÔg Ô496,€498„99€(1984).€€òòSee€United€States€v.€Hangóó,€75€F.3dÐ 4 Ð Ð1275,€1279„81€(8òòthóó€Cir.€1996).Ð  !¼ Ðà  àð ðThe€government€must€prove€a€link€between€a€thing€of€value€conferred€upon€a€publicÐ ‚"! Ðofficial€and€a€specific€ððofficial€actðð€for€or€because€of€which€it€was€given.ðð€€òòUnited€States€v.€Sun„Ð n# " ÐDiamond€Growers€of€Californiaóó,€526€U.S.€at€414.€€Ôf  ÔÔg Ô"Official€act"€is€defined€in€section€201(a)(3).Ôf  ÔÔg ԀРZ$ö# ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg ÔGiving€an€illegal€gratuity€to€a€public€official€is€a€lesser„included€offense€of€bribery.€Ð ¼%X% ÐòòUnited€States€v.€Johnsonóó,€647€F.2d€815€(8th€Cir.€1981);€òòseeóó€Instruction€6.18.201E,€òòinfraóó.€Ð ¨&D & ÐÔf  ÔÔg ÔÔf  ÔÔg Ôà  àÔf  ÔÔg ÔòòSeeóó€Instruction€3.10,€òòsupraóó,€for€a€form€for€a€lesser„included€offense€instruction€whichÐ  (¦!( Ðmust€be€given€if€the€factual€element€of€intent€is€disputed.€€Ôf  ÔÔg ÔÔf  ÔÔg ÔWhere€intent€is€not€in€dispute,€theÐ ö(’") Ðlesser„included€offense€instruction€should€be€withheld.€€Ôf  ÔÔg ÔÔf  ÔÐ  â)~#* ÐÖ€FDìcÖÓ €Óà@eeìàò òÔ% €è ÔÔ  Ô6.18.201B.€€RECEIVING€BRIBE€BY€PUBLIC€OFFICIAL€(18€U.S.C.€ðð€201(b)(2))Ô heÆxÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€[soliciting]€[receiving]€[agreeing€to€receive]€a€bribe€by€a€[public€official]Ð <Ø Ð[person€who€has€been€selected€to€be€a€public€official],€as€charged€in€[Count€òò€€€€€óó€of]€theÐ ž : Ðindictment,€has€three€elements,€which€are:€Ð  œ Ðà  àòòOneóó,€the€defendant€was€[selected€to€be]€(describe€the€defendant's€official€position,€e.g.,€aÐ b þ Ðspecial€agent€of€the€United€States€Customs€Service)òò1óó;€Ð Ä `  Ðà  àòòTwoóó,€the€defendant€[asked€for]€[accepted]€[agreed€to€receive]òò2óó€[personally]€[for€anotherÐ &  Ðperson€or€entity]€something€of€value;€and€Ð ˆ$  Ðà  àòòThreeóó,€the€defendant€did€so€corruptlyòò3óó,€that€isÔf  ÔÔg Ô,Ôf  ÔÔg Ô€in€return€for€being€[influenced]€[induced]Ð ê†  Ðto€(describe€the€official€act€or€fraud€offered€by€the€defendant,€e.g.,€allow€the€importation€ofÐ Lè  Ðcontraband€drugs€into€the€United€States).€Ð ®J Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ¬ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€By€phrasing€the€instruction€in€this€manner,€the€court€avoids€having€to€further€instructÐ Ôp Ðthat€a€person€holding€the€defendant's€particular€position€is€a€"public€official."€€However,€the€courtÐ À\ Ðshould€Ô'&r4~Ôsuch€a€finding€on€the€record.€Ð ¬H Ðà  à2.€€All€subsections€under€section€201(b)€and€(c)€provide€for€acting€"directly€or€indirectly."€Ð ª ÐWhere€indirect€action€is€charged,€the€jury€instructions€should€be€modified€accordingly.€Ð ú– Ðà  à3.€€The€Committee€believes€that€the€element€of€"corruptly"€is€adequately€defined€byÐ \ø! Ðsetting€out€the€required€intent.€€Ôf  ÔÔg ÔÐ Hä" ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ ª F$ Ðà  àòòSeeóó€Ôf  ÔÔg ÔCommittee€Comments,€Instruction€6.18.201A,€òòsupraóó.€Ð  "¨& ÐÔ'°ª iÔà  àUnder€18€U.S.C.€ðð201(b)(2),€"the€illegal€conduct€is€taking€or€agreeing€to€take€money€forÐ n# ( Ða€promise€to€act€in€a€certain€way."€€òòUnited€States€v.€Brewsteróó,€408€U.S.€501,€526€(1972).€Ð Z$ö) ÐÔf  ÔÔg ÔÔf  ÔÔg ÔPerformance€of€the€promise€is€not€required,€simply€acceptance€or€solicitation€with€knowledgeÐ F%â* Ðthat€the€donor€is€paying€compensation€for€an€official€act.€€òòId.€at€526„27.€óóÔf  ÔÔg ÔÐ 2&Î+ Ðà  àThis€offense€requires€corrupt€intentÔf  ÔÔg ÔÔf  ÔÔg Ô,€ð ða€quid€pro€quo€ð!ð€€a€specific€intent€to€give€or€receiveÐ ”'0!- Ðsomething€of€value€òòin€exchangeóó€for€an€official€act.ðð€€AnÔf  ÔÔg Ô€offense€under€section€201(c)(1)(B),Ð €(". ÐwhichÔf  ÔÔg Ô€criminalizes€illegal€gratuities,Ôf  ÔÔg Ô€punishes€the€receipt€of€a€gratuity€paid€"for€or€because€of€Ôf  ÔÔg ÔÔf  ÔÔg ÔanyÐ l)#/ Ðofficial€act€performed€or€to€be€performedðð€by€a€public€official.€€An€illegal€gratuity€ð ðmayÐ X*ô#0 Ðâ âconstitute€merely€a€reward€for€some€future€act€that€the€public€official€will€take€(and€may€alreadyÐ D+à$1 Ðhave€determined€to€take),€or€for€a€past€act€that€he€has€already€taken.€òò€Ôf  ÔÔg ÔUnited€States€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔSun„Ð d ÐDiamond€Growers€of€Californiaóó,€526€U.S.€398,€404„05€(1999).€€Ð Pì Ðâ âà  àThe€statutory€requirement€that€the€public€official€was€influenced€or€induced€to€act€in€aÐ ²N Ðcertain€way€does€not€describe€the€official's€subjective€intent;€instead,€it€describes€the€intentionÐ ž : Ðconveyed€to€the€briber.€€Thus,€the€statute€is€violated€"by€giving€false€promises€of€assistance€toÐ Š & Ðpeople€he€believed€were€offering€him€money€to€influence€his€official€actions."€€òòUnited€States€v.Ð v  ÐMyersóó,€692€F.2d€Ôf  ÔÔg ÔÔf  ÔÔg Ô823,Ôf  ÔÔg Ô€842Ôf  ÔÔg Ô€(2òòndóó€CirÔf  ÔÔg Ô.€Ôf  ÔÔg Ô1982).€€òòSee€also€United€States€v.€Brewsteróó,€408€U.S.€501Ð b þ Ð(1972).Ôf  ÔÔg ÔÐ N ê Ðà  àReceiving€an€illegal€gratuity€is€a€lesser„included€offense€of€receiving€a€bribe.€€òòSeeóóÐ °L  ÐInstruction€6.18.201F,€òòinfraóó.€Ð œ8  Ðà  àòòSeeóó€Instruction€3.10,€òòsupraóó,€for€a€form€for€a€lesser„included€offense€instruction€whichÐ þš  Ðmust€be€given€if€the€factual€element€of€intent€is€disputed.€€Ôf  ÔÔg ÔWhere€intent€is€not€in€dispute€theÐ ê†  Ðlesser„included€offense€instruction€should€be€withheld.€€Ôf  ÔÔg ÔÐ  Ör  ÐÖ€HFìdÖÓ €Óà@4 4 ìàò òÔ% €ê ÔÔ  Ô6.18.201C.€€BRIBING€A€WITNESS€à@@22ìà(18€U.S.C.€ðð€201(b)(3))Ô ÙÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€bribing€a€witness,€as€charged€in€[Count€òò€€€€€€€óó€of]€the€indictment,€has€threeÐ <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,€(name€of€witness)€was€to€be€a€witness€under€oath€or€affirmation€at€(describeÐ  œ Ðproceeding,€e.g.,€a€trial€before€the€United€States€District€Court€for€the€District€of€Nebraska);€Ð b þ Ðà  àòòTwoóó,€the€defendant€[gave]€[offered]€[promised]€something€of€value€to€(name€of€witness)òò1óó;Ð Ä `  Ðand€Ð &  Ðà  àòòThreeóó,€the€defendant€did€this€act€corruptly,òò2óó€that€isÔf  ÔÔg Ô,Ôf  ÔÔg Ô€with€the€intent€to€influence€[(name€ofÐ ˆ$  Ðwitness's)€testimony]€[(name€of€witness)€to€Ôf  ÔÔg Ôbe€Ôf  ÔÔg ÔabsentÔf  ÔÔg Ô€from€the€proceeding€described].€Ð ê†  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Lè  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€This€section€can€also€be€violated€by€offering€to€give€something€of€value€to€any€òòotheróóÐ ¬ Ðperson€or€entity.€Ð ü˜ ÐÔ'œ®°’Ôà  à2.€€The€Committee€believes€that€the€element€of€"corruptly"€is€adequately€defined€byÐ ^ú Ðsetting€out€the€required€intent.€€Ð Jæ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¬H Ðà  àòòSeeóó€Committee€Comments,€Instructions€6.18.201A-B,€òòsupraóó.€Ô'N¬[”ÔÐ  ª ÐÖ€KHìeÖÓ €Óà@óó ìàò òÔ% €ì ÔÔ  Ô6.18.201D.€€SOLICITING€BRIBE€BY€WITNESS€(18€U.S.C.€ðð€201(b)(4))Ô k•Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€[soliciting]€[receiving]€[agreeing€to€receive]€a€bribe€by€a€witness,€as€chargedÐ <Ø Ðin€[Count€€_____€of]€the€indictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€was€to€be€a€witness€under€oath€or€affirmation€at€(describe€proceeding,Ð  œ Ðe.g.,€a€hearing€before€the€National€Labor€Relations€Board);€and€Ð b þ Ðà  àòòTwoóó,€the€defendant€[asked€for]€[accepted]€[agreed€to€receive]òò1óó€something€of€valueÐ Ä `  Ð[personally]€[for€another€person€or€entity];€and€Ð &  Ðà  àòòThreeóó,€the€defendant€did€so€corruptly,òò2óó€that€isÔf  ÔÔg Ô,Ôf  ÔÔg Ô€in€return€for€[being€influenced€in€hisÐ ˆ$  Ðtestimony€at€the€(e.g.,€hearing)]€[absenting€himself€from€the€(e.g.,€hearing)].€Ð ê†  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Lè  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€The€defendant€may€also€be€charged€with€demanding,€exacting,€soliciting,€seeking€orÐ ¬ Ðreceiving€something€of€value.€Ð ü˜ ÐÔ'œ®'šÔà  à2.€€The€Committee€believes€that€the€element€of€"corruptly"€is€adequately€defined€byÐ ^ú Ðsetting€out€the€required€intent.€Ôf  ÔÔg ÔÔf  ÔÔg ÔÐ Jæ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¬H Ðà  àòòSeeóó€Committee€Comments,€Instructions€6.18.201A-C,€òòsupraóóÔf  ÔÔg Ô.€Ô'N¬þ›ÔÐ  ª ÐÖ€MKìfÖÓ €Óà@° ° ìàò òÔ% €î ÔÔ  Ô6.18.201E.€€ILLEGAL€GRATUITY€TO€PUBLIC€OFFICIAL€ˆÐ d Ðà@´´ìà(18€U.S.C.€ðð€201(c)(1)(A))Ô #Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[giving]€[offering]€[promising]€an€illegal€gratuityòò1óó€to€a€public€officialòò2óó,€asÐ ( Ä Ðcharged€in€[Count€_____€of]€the€indictment,€has€three€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€[gave]€[offered]€[promised]€a€[payment]€[thing€of€value]€notÐ ì ˆ Ðauthorized€by€law€to€(name€of€official);€Ð N ê  Ðà  àòòTwoóó,€the€defendant€did€so€[for]€[because€of]€an€official€Ôf  ÔÔg ÔÔf  ÔÔg Ôactòò3óóÔf  ÔÔg Ô€to€be€performed€by€(name€ofÐ °L  Ðofficial);€andÐ ®  Ðà  àòòThreeóó,€at€that€time,€(name€of€official)€was€a€(name€official€position,€e.g.,€Member€ofÐ t  ÐCongress)òò3óó.€Ð Ör  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ 8Ô  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ š6 Ðà  à1.€€"Illegal€gratuity"€is€used€to€describe€a€violation€of€Ôf  ÔÔg ÔÔf  ÔÔg Ôsection€201(c)(1)(A)€in€numerousÐ ü˜ Ðcases,€including€by€the€Supreme€Court€in€òòUnited€States€v.€Sun„Diamond€Growers€of€California,Ð è„ Ðóó526€U.S.€398;€the€phrase€isÔf  ÔÔg Ô€aÔ'&š¸¡Ô€generally€recognized€substitute€for€the€more€cumbersomeÐ Ôp Ðphraseology€in€the€statute.€€However,€the€statute€does€not€refer€to€this€crime€as€an€"illegalÐ À\ Ðgratuity."€€If€the€parties€do€not€want€to€characterize€this€conduct€as€an€"illegal€gratuity,"€they€Ôf  ÔÔg ÔÔf  ÔÔg ÔmayÔf  ÔÔg ÔÐ ¬H Ðsubstitute€the€statutory€language.€Ð ˜4 Ðà  à2.€€The€statute€also€applies€to€former€public€officials€and€persons€who€have€been€selectedÐ ú– Ðto€be€public€officials.€€If€one€of€these€alternatives€is€charged,€the€language€in€the€elements€shouldÐ æ‚ Ðbe€changed€accordingly.€Ð Òn  ÐÔf  ÔÔg Ôà  à3.€€ð ðOfficial€actðð€is€defined€in€section€201(a)(3)€as€ð ðany€decision€or€action€on€anyÐ 4 Ð" Ðquestion,€matter,€cause,€suit,€proceeding€or€controversy,€which€may€at€any€time€be€pending,€orÐ  !¼# Ðwhich€may€by€law€be€brought€before€any€public€official,€in€such€officialððs€official€capacity.ðð€€ItÐ  "¨$ Ðincludes€ð ðdecisions€or€actions€generally€expected€of€the€public€official.€€These€decisions€orÐ ø"”% Ðactions€do€not€need€to€be€specifically€described€in€any€law,€rule,€or€job€description€to€beÐ ä#€& Ðconsidered€to€be€an€ððofficial€act.ðððð€€2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rë¨#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r5©#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r|©#ÔÐ Ð$l' ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rß©#Ô:€€Criminal€ðð27.08€(5òòthóó€ed.€2000).Ð ¼%X( ÐÔf  ÔÔg Ôà  àÔf  ÔÔg ÔÔf  ÔÔg Ô4Ôf  ÔÔg Ô.€€By€phrasing€the€instruction€in€this€manner,€the€court€avoids€having€to€further€instructÐ 'º * Ðthat€a€person€holding€the€defendant's€particular€position€is€a€"public€official."€€However,€the€courtÐ  (¦!+ Ðshould€make€such€a€finding€on€the€record.Ôf  ÔÔg Ô€€òòSee€United€States€v.€Hangóó,€75€F.3d€1275,€1279€(8òòthóóÐ ö(’", ÐCir.€1996)€(ð ðThe€classification€of€an€individual€as€a€ððpublic€officialðð€is€a€legal€determinationðð€andÐ â)~#- Ðâ âis€subject€to€òòde€novoóó€review.).€€Ôg ÔÐ Î*j$. ÐÔ& œ Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€òòUnited€States€v.Ôf  ÔÔg Ô€Sun„Diamond€Growers€of€Californiaóó,€526€U.S.€398€(1999);€òòUnitedÐ Æb ÐStates€v.Ôf  ÔÔg Ô€Johnsonóó,€647€F.2d€815€(8th€Cir.€1981)Ôf  ÔÔg ÔÔf  ÔÔg Ô.€Ôg ԀР²N ÐÔ'œd ­Ôà  àThe€subsections€to€section€201(c)€prohibit€illegal€gratuities.€€The€Ôf  ÔÔg ÔÔf  ÔÔg Ôdistinguishing€feature€Ôf  ÔÔg ÔÐ  ° Ðbetween€a€bribe€and€an€illegal€gratuity€is€Ôf  ÔÔg ÔÔf  ÔÔg Ôthe€intent€element.€€ð ðBÔf  ÔÔg Ôribery€requires€Ôf  ÔÔg ÔÔf  ÔÔg Ôintent€ððtoÐ  œ Ðinfluenceðð€an€official€act€or€ððto€be€influencedðð€in€an€official€act,€while€illegal€gratuity€requiresÐ ì ˆ Ðonly€that€the€gratuity€be€given€or€accepted€ððfor€or€because€ofðð€an€official€act.€€In€other€words,€forÐ Ø t Ðbribery€there€must€be€a€òòquid€quo€pro€óóð!ð€a€specific€intent€to€give€or€receive€something€of€value€òòinÐ Ä `  Ðexchangeóó€for€an€official€act.ððòò€óó€òòUnited€States€v.€Sun„Diamond€Growers€of€Californiaóó,€526€U.S.€atÐ °L  Ð404„05.€€òòSee€also€Ôf  ÔÔg ÔUnited€States€v.€Johnsonóó,€647€F.2d€815,€818€(8th€Cir.€1981).€€Ôf  ÔÔg ÔÔf  ÔÔg ÔFor€a€violation€ofÐ œ8  Ðsection€201(c)(1)(A),€ð ðthe€Government€must€prove€a€link€between€aÔf  ÔÔg Ô€thing€of€value€Ôf  ÔÔg ÔÔf  ÔÔg ÔconferredÐ ˆ$  Ðupon€aÔf  ÔÔg Ô€public€official€Ôf  ÔÔg ÔÔf  ÔÔg Ôand€a€specific€ððofficial€actðð€for€or€because€of€which€it€was€given.ðð€Ôf  ÔÔg Ô€òòUnitedÐ t  ÐStates€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔSun„Diamond€Growers€of€Californiaóó,€526€U.S.€at€414.€€Ôf  ÔÔg ÔSome€laws€which€prohibitÐ `ü  Ðreceipt€of€honoraria€are€subject€to€challenge€on€First€Amendment€grounds.€€òòSee€United€States€v.Ð Lè  ÐNational€Treasury€Employees€Unionóó,€513€U.S.€454€(1995).Ð 8Ô  Ðà  àGiving€an€illegal€gratuity€is€a€lesser„included€offense€of€bribery.€€òòUnited€States€v.Ôf  ÔÔg Ô€Oseby,Ð š6 Ðóó148€F.3d€1016,€1021€(8òòthóó€Cir.€1998);€òòUnited€States€v.Ôf  ÔÔg Ô€Johnsonóó,€647€F.2d€at€818.€€òòSee€alsoóóÐ †" ÐInstruction€6.18.201A,€òòsupraóó.€Ð  r ÐÖ€OMìgÖÓ €Óà@cc ìàò òÔ% €ð ÔÔ  Ô6.18.201F.€€RECEIVING€ILLEGAL€GRATUITY€BY€PUBLIC€OFFICIAL€ˆÐ d Ðà@¹¹ìà(18€U.S.C.€ðð€201(c)(1)(B))Ô Ô÷Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[demanding]€[receiving]€[agreeing€to€receive]òò1óó€an€illegal€gratuityòò2óó€by€aÐ ( Ä Ðpublic€officialòò3óó,€as€charged€in€[Count€_____€of]€the€indictment,€has€three€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€was€a€(describe€the€defendant's€official€position,€e.g.,€an€employee€ofÐ ì ˆ Ðthe€Internal€Revenue€Service);òò4óó€Ð N ê  Ðà  àòòTwoóó,€the€defendant€[demanded]€[received]€[agreed€to€receive]€a€[payment]€[thing€ofÐ °L  Ðvalue]€not€authorized€by€law;€and€Ð ®  Ðà  àòòThreeóó,€the€defendant€did€so€[for]€[because€of]€an€official€Ôf  ÔÔg ÔÔf  ÔÔg Ôactòò5óó€Ôf  ÔÔg Ô€to€be€performed€by€(nameÐ t  Ðof€official).€Ð Ör  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ 8Ô  ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ š6 Ðà  à1.€€The€statute€also€provides€for€seeking,€accepting€and€agreeing€to€accept€illegalÐ ü˜ Ðgratuities.€€When€any€of€this€activity€is€charged,€the€appropriate€words€should€be€substituted€inÐ è„ Ðthe€instruction.€Ð Ôp ÐÔ'ˆš‹¼Ôà  à2.€€"Illegal€gratuity"€is€used€to€describe€a€violation€of€Ôf  ÔÔg ÔÔf  ÔÔg Ôsection€201(c)(1)(A)€in€numerousÐ 6Ò Ðcases,€including€by€the€Supreme€Court€in€òòUnited€States€v.€Sun„Diamond€Growers€of€Californiaóó,Ð "¾ Ð526€U.S.€398€(1999);€the€phrase€isÔf  ÔÔg Ô€a€generally€recognized€substitute€for€the€more€cumbersomeÐ ª Ðphraseology€in€the€statuteÔf  ÔÔg Ô.€€However,€the€statute€does€not€refer€to€this€crime€as€an€"illegalÐ ú– Ðgratuity."€€If€the€parties€do€not€want€to€characterize€this€conduct€as€an€"illegal€gratuity,"€they€Ôf  ÔÔg ÔÔf  ÔÔg ÔmayÔf  ÔÔg ÔÐ æ‚ Ðsubstitute€the€Ôf  ÔÔg Ôstatutory€Ôf  ÔÔg ÔlanguageÔf  ÔÔg Ô.€Ð Òn  Ðà  à3.€€The€statute€also€applies€to€former€public€officials€and€persons€who€have€been€selectedÐ 4 Ð" Ðto€be€public€officials.€€If€one€of€these€alternatives€is€charged,€the€language€in€the€elements€shouldÐ  !¼# Ðbe€changed€accordingly.€Ð  "¨$ Ðà  à4.€€By€phrasing€the€instruction€in€this€manner,€the€court€avoids€having€to€further€instructÐ n# & Ðthat€a€person€holding€the€defendant's€particular€position€is€a€"public€official."€€However,€the€courtÐ Z$ö' Ðshould€make€such€a€finding€on€the€record.€Ôf  ÔÔg Ô€òòSee€United€States€v.€Hangóó,€75€F.3d€1275,€1279€(8òòthóóÐ F%â( ÐCir.€1996)€(ð ðThe€classification€of€an€individual€as€a€ððpublic€officialðð€is€a€legal€determinationðð€andÐ 2&Î) Ðis€subject€to€òòde€novoóó€review.).€€Ð 'º * Ðà  à5.€€ð ðOfficial€actðð€is€defined€in€section€201(a)(3)€as€ð ðany€decision€or€action€on€anyÐ €(", Ðquestion,€matter,€cause,€suit,€proceeding€or€controversy,€which€may€at€any€time€be€pending,€orÐ l)#- Ðwhich€may€by€law€be€brought€before€any€public€official,€in€such€officialððs€official€capacity.ðð€€ItÐ X*ô#. Ðincludes€ð ðdecisions€or€actions€generally€expected€of€the€public€official.€€These€decisions€orÐ D+à$/ Ðactions€do€not€need€to€be€specifically€described€in€any€law,€rule,€or€job€description€to€beÐ 0,Ì%0 Ðconsidered€to€be€an€ððofficial€act.ðððð€€2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r_Ç#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r©Ç#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rðÇ#ÔÐ d ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rSÈ#Ô:€€Criminal€ðð€27.08€(5òòthóó€ed.€2000).Ð Pì ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ²N Ðà  àòòSeeóó€Committee€CommentsÔf  ÔÔg Ô,€Instruction€6.18.201E,€òòsupraóóÔf  ÔÔg Ô;€òòUnited€States€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔSun„DiamondÐ  ° ÐGrowers€of€CaliforniaÔf  ÔÔg ÔÔf  ÔÔg Ôóó,€Ôf  ÔÔg Ô5Ôf  ÔÔg ÔÔf  ÔÔg Ô26€UÔf  ÔÔg Ô.Ôf  ÔÔg ÔÔf  ÔÔg ÔS.€398Ôf  ÔÔg Ô€(Ôf  ÔÔg Ô19Ôf  ÔÔg ÔÔf  ÔÔg Ô9Ôf  ÔÔg Ô9);€òòUnited€States€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔJohnsonóó,€647€F.2d€815€(8th€Cir.Ð  œ Ð1981).Ô'&²áÈÔÐ ì ˆ Ðà  àThe€subsections€to€section€201(c)€prohibit€illegal€gratuities.€€The€distinguishing€feature€Ð N ê  Ðbetween€a€bribe€and€an€illegal€gratuity€is€the€intent€element.€€ð ðBribery€requires€intent€ððtoÐ :Ö  Ðinfluenceðð€an€official€act€or€ððto€be€influencedðð€in€an€official€act,€while€illegal€gratuity€requiresÐ &  Ðonly€that€the€gratuity€be€given€or€accepted€ððfor€or€because€ofðð€an€official€act.€€In€other€words,€forÐ ®  Ðbribery€there€must€be€a€òòquid€quo€pro€óóð!ð€a€specific€intent€to€give€or€receive€something€of€value€òòinÐ þš  Ðexchangeóó€for€an€official€act.ðð€€òòUnited€States€v.€Sun„Diamond€Growers€of€Californiaóó,€526€U.S.€atÐ ê†  Ð404„05.€€òòSee€also€United€States€v.€Johnsonóó,€647€F.2d€815,€818€(8th€Cir.€1981).€€For€a€violation€ofÐ Ör  Ðsection€201(c)(1)(A),€ð ðthe€Government€must€prove€a€link€between€a€thing€of€value€conferredÐ Â^  Ðupon€a€public€official€and€a€specific€ððofficial€actðð€for€or€because€of€which€it€was€given.ððÔf  ÔÔg Ô€€òòUnitedÐ ®J ÐStates€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔSun„Diamond€Growers€of€Californiaóó,€526€U.S.€at€414.€€Some€laws€which€prohibitÐ š6 Ðreceipt€of€honoraria€are€subject€to€challenge€on€First€Amendment€grounds.€€òòSee€Ôf  ÔÔg ÔUnited€States€v.Ð †" ÐÔf  ÔÔg ÔÔf  ÔÔg ÔNational€Treasury€Employees€Unionóó,€513€U.S.€454€(1995).Ð r Ðà  àGivingÔf  ÔÔg Ô€an€illegal€gratuity€is€a€lesser„included€offense€of€Ôf  ÔÔg ÔbribeÔf  ÔÔg ÔryÔf  ÔÔg Ô.€€òòUnited€States€v.€Ôf  ÔÔg ÔÔf  ÔÔg ÔOsebyóó,Ð Ôp Ð148€F.3d€1016,€1021€(8òòthóó€Cir.€1998);€òòUnited€States€v.€Johnsonóó,€647€F.2d€at€818.€€òòSee€alsoóóÐ À\ ÐInstruction€6.18.201A,€òòsupraóó.€Ôf  ÔÔg ÔÐ  ¬H ÐÖ€QOìhÖÓ €Óà@ìàò òÔ% €ò ÔÔ  Ô6.18.228.€€FAILURE€TO€PAY€CHILD€SUPPORT€OBLIGATION€(18€U.S.C.€ðð€228)Ô €[ÔÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€failure€to€pay€a€child€support€obligation,€as€charged€in€[Count€òò€€€€€€€€€óó€of]€theÐ <Ø Ðindictment,€has€three€elements,€which€are:Ð ž : Ðà  àòòOneóó,à0 ` àthe€defendant€failed€to€pay€a€knownòò1óó€support€obligation;Ð œ` (#` (# Ðà  àòòTwoóó,à0 ` àthe€defendant€acted€willfully;òò2óó€andÐb þ` (#` (# Ðà  àòòThreeóó,à0 ` àthe€support€obligation€was€for€a€child€where€the€child€and€the€defendant€resided€inÐ Ä `  Ðtwo€different€states€and€the€support€remained€unpaid€[for€a€period€longer€than€1Ð &  Ðyear]€[in€an€amount€greater€than€$5,000];òò3óóЈ$ ` (#` (# Ðà@““)ìàòòoróóˆÐ ê†  Ðà  àòòThreeóó,à0 ` àthe€òòóósupport€obligation€was€for€a€child€where€the€child€and€the€defendant€resided€inÐ Lè  Ðtwo€different€states€and€the€support€remained€unpaid€[for€a€period€longer€than€2Ð ®J Ðyears]€[in€an€amount€greater€than€$10,000];òò4óóЬ` (#` (# Ðà@““)ìàòòoróóˆÐ r Ðà  àòòThreeóó,à0 ` àthe€support€obligation€remained€unpaid€[for€a€period€longer€than€1€year]€[in€anÐ Ôp Ðamount€greater€than€$5,000]€and€the€defendant€traveled€in€[interstate]€[foreign]Ð 6Ò Ðcommerce€with€the€intent€to€evade€paying€the€obligation.òò5óó€Ð˜4` (#` (# Ðà  àThe€phrase€ð ðsupport€obligationðð€means€any€amount€determined,€with€use€of€a€court€orderÐ ú–  Ðor€an€order€of€an€administrative€process€pursuant€to€the€law€of€a€state€or€of€an€Indian€tribe,€to€beÐ \ø" Ðdue€from€a€person€for€the€support€or€maintenance€of€a€child,€or€of€a€child€and€the€parent€withÐ ¾Z$ Ðwhom€the€child€is€living.òò6óóÐ  !¼& Ðà  àTo€act€ð ðwillfullyðð€means€the€defendant€knew€the€support€obligation€was€owed€and,Ð ‚"( Ðnevertheless,€the€defendant€voluntarily€and€intentionally€failed€to€pay€the€support€obligationÐ ä#€* Ðdespite€having€an€ability€to€pay.òò7óóÐ F%â, Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð ¨&D . ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ  (¦!0 Ðà  à1.€€For€a€support€obligation€to€be€ð ðknown,ðð€the€Government€must€introduce€someÐ l)#2 Ðevidence€that€the€defendant€was€aware€of€the€support€obligation€at€the€time€it€was€created€orÐ X*ô#3 Ðshortly€thereafter.€€òòUnited€States€v.€Crawfordóó,€115€F.3d€1397,€1407€(8th€Cir.€1997)€(finding€thatÐ D+à$4 Ðproof€of€knowledge€is€sufficient€where€there€is€evidence€that€the€defendant€ð ðknew€he€hadÐ 0,Ì%5 Ðchildren€and€knew€he€was€required€to€make€support€payments€[pursuant€to€state€court€orders]ðð).€Ð d ÐòòSee€also€United€States€v.€Ô_ÔMatticeÔ_Ôóó,€186€F.3d€219,€225„26€(2d€Cir.€1999).Ð Pì Ðà  à2.€€The€statute€uses€the€phrase€ð ðwillfully€fails€to€payðð€and€the€legislative€history€of€the€actÐ ²N Ðstates€that€this€phrase€was€borrowed€from€the€statutes€that€make€willful€failure€to€pay€taxes€aÐ ž : Ðfederal€crime.€€òòH.R.€Rep.€No.€102„771óó€at€6€(1992).Ð Š & Ðà0  àIn€òòUnited€States€v.€Crawfordóó,€115€F.3d€1397,€1407€(8th€Cir.€1997),€the€Eighth€CircuitÐ ì ˆ Ðheld€that€ð ð€willfulnessðð€in€a€ðð€228€prosecution€should€be€determined€by€the€standard€setÐ Ø t Ðforth€in€òòCheek€v.€United€Statesóó,€498€U.S.€192€(1991),€which€requires€proof€that€theÐ Ä `  Ðdefendantððs€conduct€was€the€voluntary€and€intentional€violation€of€a€known€legal€duty.€Ð °L  ÐòòSee€alsoóó€Instruction€7.02,€òòsupraóó,€Committee€Comments.€€The€Government€is€not€requiredÐ œ8  Ðto€prove€that€the€defendant€knew€his€failure€to€pay€child€support€was€a€violation€of€aÐ ˆ$  Ðfederal€criminal€statute,€but€must€prove€that€the€defendant€knew€of€his€legal€duty€to€payÐ t  Ðchild€support€and€nevertheless€voluntarily€and€intentionally€violated€that€duty.Ð`ü (#(# Ðà  à3.€€18€U.S.C.€ðð€228(a)(1).€€This€violation€is€a€misdemeanor.€€òòSeeóó€18€U.S.C.€ðð€228(c)(1).€Ð Â^  ÐProof€of€either€nonpayment€for€more€than€one€year€or€a€past€due€unpaid€amount€in€excess€ofÐ ®J Ð$5,000€is€sufficient€to€establish€guilt.€€Interstate€flight€by€the€defendant€is€not€an€element€of€thisÐ š6 Ðoffense.Ð †" Ðà  à4.€€18€U.S.C.€ðð€228(a)(3).€€This€violation€is€a€felony.€€òòSeeóó€18€U.S.C.€ðð€228(c)(2).€€Proof€ofÐ è„ Ðeither€nonpayment€for€more€than€two€years€or€a€past€due€unpaid€amount€in€excess€of€$10,000€isÐ Ôp Ðsufficient€to€establish€guilt.€€Interstate€flight€by€the€defendant€is€not€an€element€of€this€offense.Ð À\ Ðà  à5.€€18€U.S.C.€ðð€228(a)(2).€€This€violation€is€a€felony.€€òòSeeóó€18€U.S.C.€ðð€228(c)(2).€€ToÐ "¾ Ðestablish€guilt€there€must€be€proof€of€either€nonpayment€for€more€than€one€year€or€a€past€dueÐ ª Ðunpaid€amount€in€excess€of€$5,000,€along€with€proof€that€the€defendant€traveled€in€interstate€orÐ ú– Ðforeign€commerce€with€the€intent€to€avoid€paying€the€support€obligation.€€The€intent€to€avoidÐ æ‚ Ðpayment€of€the€support€obligation€need€not€be€the€sole€reason€for€the€interstate/foreign€travel.Ð Òn Ðà  à6.€€18€U.S.C.€ðð€228(f)(3).òòóóÐ 4 Ð Ðà  à7.€€Although€ability€to€pay€is€not€an€explicit€element€of€the€offense,€the€Eighth€Circuit€hasÐ –!2! Ðheld€that€ability€to€pay€is€a€factor€in€establishing€proof€of€willfulness.€€òòUnited€States€v.€Harrisonóó,Ð ‚"" Ð188€F.3d€985,€987€(8th€Cir.€1999).€€The€legislative€history€of€the€statute€also€indicates€thatÐ n# # Ðð ðability€to€payðð€should€be€considered€in€assessing€willfulness.€€òòH.R.€Rep.€No.€102„771óó€at€6Ð Z$ö$ Ð(1992).€€A€source€of€income,€in€whatever€form€it€might€exist,€is€relevant€to€show€ability€to€pay.€Ð F%â% ÐòòHarrisonóó,€188€F.3d€at€987.Ð 2&Î& Ðà@55!ìàò òCommittee€Commentsó óˆÐ ”'0!( Ðà  àòòSee€United€States€v.€Crawfordóó,€115€F.3d€1397€(8th€Cir.€1997);€òòUnited€States€v.€Russellóó,Ð ö(’"* Ð186€F.3d€883€(8th€Cir.€1999);€òòUnited€States€v.€Harrisonóó,€188€F.3d€985€(8th€Cir.€1999).Ð â)~#+ Ðà  àThe€statute€defines€ð ðsupport€obligationðð€to€include€ð ðòòany€amountóó€.€.€.€determined€under€aÐ D+à$- Ðcourt€order€.€.€.€to€be€due€from€a€person€for€the€support€and€maintenance€of€a€child€.€.€.€that€hasÐ 0,Ì%. Ðremained€unpaid€for€a€period€longer€than€one€year.ðð€€18€U.S.C.€ðð€228€(emphasis€added).€€Thus,Ð d Ðthe€Committee€does€not€believe€the€Government€is€required€to€prove€that€during€the€periodÐ Pì Ðalleged€in€the€indictment,€the€defendant€had€the€ability€to€pay€the€entire€amount€of€the€past€dueÐ <Ø Ðsupport€that€is€owed.€€òòUnitedStates€v.€Ô_ÔMatticeÔ_Ôóó,€186€F.3d€219€(2d€Cir.€1999).€€The€CommitteeÐ ( Ä Ðlikewise€believes€that€the€Governmentððs€proof€does€not€need€to€include€an€arrearage€orderÐ  ° Ðmemorializing€the€failure€to€pay€and€establishing€the€exact€amount€of€past€due€child€supportÐ  œ Ðowed.€€òòUnited€States€v.€Blackóó,€125€F.3d€454,€463„64€(7th€Cir.€1997).€€It€is€for€the€trier€of€fact€toÐ ì ˆ Ðdetermine,€based€upon€proof€of€a€court€order€or€agency€ruling€creating€the€support€obligation,Ð Ø t Ðwhether€the€past€due€support€obligation€is€within€the€provisions€of€the€charged€offense,€e.g.,€anyÐ Ä ` Ðamount€unpaid€for€more€than€one€year,€or€unpaid€in€an€amount€in€excess€of€$5,000.€€òòBlackóó,€125Ð °L  ÐF.3d€at€464.Ð œ8  Ðà  àThe€emancipation€of€the€child€does€not€preclude€a€subsequent€child€support€enforcementÐ þš  Ðprosecution€for€willful€failure€to€pay€that€arose€prior€to€the€emancipation€of€the€child.€Ð ê†  Ðð ðEmancipation€ends€a€child€support€obligation,€but€it€does€not€retroactively€whisk€away€anyÐ Ör  Ðarrearage€that€accumulated€before€emancipation.ðð€€òòUnited€States€v.€Blackóó,€125€F.3d€454,€468€(7thÐ Â^  ÐCir.€1997),€òòcited€with€approval€in€United€States€v.€Harrisonóó,€188€F.3d€985€(8thCir.€1999).€€ð ðThatÐ ®J Ðthis€debt€arose€before€passage€of€the€Ô_ÔCSRAÔ_Ô€is€irrelevant.€€What€is€relevant€is€that€it€remainedÐ š6 Ðunpaid€[after€the€passage€of€the€Act].ðð€€òòBlackóó€at€466„67.€€òòSee€also€United€States€v.€Russellóó,€186Ð †" ÐF.3d€883,€886€(8th€Cir.€1999).Ð r Ðà  àA€prosecution€under€section€228€ð ðturns€only€on€the€defendantððs€violation€of€a€state€courtÐ Ôp Ðorder.€€It€does€not€turn€on€the€fairness€of€the€order,€the€reasons€underlying€the€state€courtððsÐ À\ Ðissuance€of€the€order,€the€defendantððs€relationship€with€his€children€or€former€spouse,€or€anyÐ ¬H Ðother€matter€involving€Ô_ÔrelitigationÔ_Ô€of€a€family€law€issue.€€Moreover,€there€is€no€language€in€theÐ ˜4 Ð[statute]€allowing€the€federal€court€to€look€beyond€the€four€corners€of€the€state€child€supportÐ „  Ðorder€or€permitting€the€defendant€to€collaterally€attack€the€state€court€order€in€federal€court.ðð€Ð p  ÐòòUnitedStates€v.€Baileyóó,€115€F.3d€1222,€1232€(5th€Cir.€1997);€òòUnited€States€v.€Harrisonóó,€188€F.3dÐ \ø Ðat€987€(rejecting€defendantððs€claim€that€his€application€for€modification€of€the€child€support€orderÐ Hä Ðshould€be€considered€as€evidence€of€his€inability€to€pay€the€amount€ordered).šÐ  4 Ð ÐÖ€RQìiÖÓ €Óà@II ìàò òÔ% €ô ÔÔ  Ô6.18.287.€€MAKING€A€FALSE€CLAIM€AGAINST€THE€UNITED€STATES€ˆÐ d Ðà@  "ìà(18€U.S.C.€ðð€287)Ô ÐÖ^ýÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€making€a€[false]€[fictitious]€[fraudulent]€claim€against€the€United€States,€asÐ ( Ä Ðcharged€in€[Count€_____]€of€the€indictment,€has€four€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€[made]€[presented]€to€(name€of€U.S.€officer€or€agency)òò1óó€a€claimÐ ì ˆ Ðagainst€[the€United€States]€[(name€of€department€or€agency€of€the€United€States)];€Ð N ê  Ðà  àòòTwoóó,€the€claim€was€[false]€[fictitious]€[fraudulent]òò2óó€in€that€(describe€how€claim€was€false,Ð °L  Ðetc.);€Ð ®  Ðà  àòòThreeóó,€the€defendant€knew€the€claim€was€[false]€[fictitious]€[fraudulent];€andÐ t  Ðà  àòòFouróó,€the€[false]€[fictitious]€[fraudulent]€matter€was€material€to€(name€of€U.S.€officer€orÐ Ör  Ðagency).€Ð 8Ô  Ðà  à[A€claim€is€"false"€or€"fictitious"€if€any€part€of€it€is€untrue€when€made,€and€then€known€toÐ š6 Ðbe€untrue€by€the€person€making€it€or€causing€it€to€be€made.]€€[A€claim€is€"fraudulent"€if€any€partÐ ü˜ Ðof€it€is€known€to€be€untrue,€and€made€or€caused€to€be€made€with€the€intent€to€deceive€theÐ ^ú Ðgovernmental€agency€to€which€submitted.]òò3óó€Ð À\ Ðà  àA€claim€is€"material"€if€it€has€a€natural€tendency€to€influence,€or€is€capable€of€influencingÐ "¾ Ðthe€(name€of€U.S.€officer€or€agency).€€[However,€whether€a€claim€is€"material"€does€not€dependÐ „  Ðon€whether€(name€of€U.S.€officer€or€agency)€was€actually€deceived.]òò4óóÐ æ‚! Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Hä# ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ª F% Ðà  à1.€€By€naming€the€agency€in€the€elements,€the€court€avoids€having€to€further€instruct€thatÐ  "¨' Ðthe€agency€is€an€agency€of€the€United€States.€€However,€the€court€should€make€such€a€finding€onÐ ø"”( Ðthe€Ô'&ª ? Ôrecord,€because€that€is€an€issue€of€law€which€the€court€must€decide.€€The€jury€must€decideÐ ä#€) Ðwhether€it€was€material.€€Ð Ð$l* Ðà  à2.€€In€some€cases,€the€claim€may€be€charged€to€be€false€in€more€than€one€way€in€a€singleÐ 2&Î, Ðcount€of€an€indictment.€€In€those€cases,€the€jury€should€be€instructed€as€follows:€Ð 'º - Ðà0  àYou€need€not€find€that€the€claim€is€false€in€all€of€the€ways€alleged.€€Instead,€you€must€findÐ €("/ Ðunanimously€and€beyond€a€reasonable€doubt€that€the€claim€is€false€in€at€least€one€of€theÐ l)#0 Ðâ âways€set€out€in€a€particular€count€of€the€indictment.€ÐX*ô#1(#(# Ðà  à3.€€Definitions€of€"false,"€"fictitious"€and€"fraudulent"€should€be€given.€€òòSeeóó€š2€Kevin€F.Ð d Ðâ âOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r÷ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rA #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rˆ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r× #Ô:€€Criminal€ðð30.05€(5th€ed.€2000);Ð Pì ÐòòUnited€States€v.€Miltonóó,€602€F.2d€231,€233€(9th€Cir.€1979)€on€which€the€instruction€is€based.€€òòSeeÐ <Ø Ðalsoóó€18€Am.€Crim.€L.€Rev.€at€€283-84.€Ð ( Ä Ðà  à4.€€Materiality€is€an€element€of€the€second€("false€claim")€clause€of€18€U.S.C.€ðð287,€evenÐ Š & Ðthough€the€statute,€on€its€face,€has€no€materiality€requirement.€€òòUnited€States€v.€Wellsóó,€63€F.3dÐ v  Ð745,€750€(8th€Cir.€1995)€(citing€òòUnited€States€v.€Adleróó,€623€F.2d€1287,€1291€n.5€(8th€Cir.€1980)).€Ð b þ ÐAs€an€element,€the€question€of€materiality€must€be€submitted€to€the€jury€and€it€is€a€constitutionalÐ N ê Ðviolation€and€reversible€error€for€the€trial€court€to€refuse€to€submit€this€issue€to€the€jury.€€òòUnitedÐ :Ö  ÐStates€v.€Gaudinóó,€515€U.S.€506,€523€(1995)€(unanimous€opinion).Ð &  ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˆ$  Ðà  àThe€following€matters€are€questions€of€law€to€be€determined€by€the€court.€€The€court€mayÐ ê†  Ðinstruct€the€jury€as€to€its€findings€on€these€matters:€Ð Ör  ÐÔ'œˆã Ôà0  àà ` àòòa.€€Claim.óó€€The€question€of€whether€the€matter€submitted€constitutes€a€claimÐ 8Ô  Ðagainst€the€United€States€is€a€question€of€law€for€the€court.€€òòUnited€States€v.€John€BernardÐ $À ÐIndustriesóó,€589€F.2d€1353,€1360€(8th€Cir.€1979)€(jury€instructed€that€the€submission€ofÐ ¬ Ðsales€slips€constituted€a€claim);€òòUnited€States€v.€Wertheimeróó,€434€F.2d€1004,€1006€(2dÐ ü˜ ÐCir.€1970)€(jury€instructed€that€the€submission€of€invoices€constituted€a€claim).€Ðè„(#(# Ðà0  àà ` àòòb.€€"Against€the€United€States."óó€€The€question€of€whether€the€entity€to€which€aÐ Jæ Ðclaim€is€submitted€is€a€department€or€agency€of€the€United€States€is€a€question€of€law.€€18Ð 6Ò ÐU.S.C.€ðð€6€(department€or€agency€defined);€òòsee€alsoóó€5€U.S.C.€ðð€101€(executiveÐ "¾ Ðdepartments);€òòUnited€States€v.€Madeoyóó,€912€F.2d€1486,€1494€(D.C.€Cir.€1990)€(if€theÐ ª Ðcourt€reaches€a€"conclusion€through€an€exercise€in€statutory€interpretation"€about€aÐ ú– Ðparticular€issue,€the€conclusion€is€a€legislative€fact€that€need€not€be€submitted€to€the€jury).€Ð æ‚ ÐThe€legal€relationship€between€a€private€entity€to€whÔ_ÔomÔ_Ô€a€claim€is€submitted€and€aÐ Òn Ðgovernment€agency€alleged€to€have€jurisdiction€over€it€is€also€a€question€of€law.€€òòUnitedÐ ¾Z ÐStates€v.€Catenaóó,€500€F.2d€1319,€1325€(3d€Cir.€1974).Ъ F(#(# Ðà  à"Willfulness"€is€not€in€the€statute€and€accordingly€the€Committee€has€not€included€it€as€anÐ  "¨! Ðelement.€€òòSeeóó€Committee€Comments€to€Instructions€7.01€and€7.02.€€"Willfulness"€has€beenÐ ø"”" Ðspecifically€held€not€to€be€an€element€of€a€section€287€offense.€€òòUnited€States€v.€Cookóó,€586€F.2dÐ ä#€# Ð572,€574-75€(5th€Cir.€1978);€òòUnited€States€v.€Beasleyóó,€550€F.2d€261,€270€n.12€(5th€Cir.€1977).€Ð Ð$l$ ÐBoth€cases€held€the€portion€of€the€opinion€in€òòUnited€States€v.€Johnsonóó,€ruling€on€theÐ ¼%X% Ðconstitutionality€of€section€287,€should€not€be€construed€to€mean€that€willfulness€should€be€addedÐ ¨&D & Ðas€a€separate€element.€€òòSee€alsoóó€òòWhite€Collar€Crime:€€False€Claimsóó,€18€Am.€Crim.€L.€Rev.€at€285Ð ”'0!' Ð(1980).€Ð €("( Ðà  àCourts€of€Appeals€in€the€past€have€approved€instructions€under€section€287€which€containÐ â)~#* Ðthe€word€"willfully";€however,€this€approval€does€not€mean€more€than€that€from€a€defendant'sÐ Î*j$+ Ðpoint€of€view€an€instruction€containing€a€willfulness€requirement€is€not€erroneous,€not€that€a€newÐ º+V%, Ðelement,€not€mandated€by€the€statute€was€being€judicially€created.€€òòUnited€States€v.€Irwinóó,€654Ð d ÐF.2d€at€681-82.€Ð Pì Ðà  àThe€Committee€has€considered€the€opinion€in€òòUnited€States€v.€Martinóó,€772€F.2d€1442€(8thÐ ²N ÐCir.€1985),€a€fraudulent€claim€case,€and€does€not€believe€that€the€court€meant€to€add€an€elementÐ ž : Ðof€"intent€to€deceive"€to€the€elements€of€a€false€or€fictitious€claim€case.€€In€òòMartinóó,€the€defendantÐ Š & Ðraised€the€issue€of€"intent€to€deceive"€by€arguing€that€his€claim€was€not€"fraudulent,"€of€whichÐ v  Ð"intent€to€deceive"€is€part€of€the€definition.€€This€distinction€was€not€made€clear€in€the€opinion.€Ð b þ ÐSince€both€parties€treated€"intent€to€deceive"€as€an€issue,€the€court€was€never€asked€to€decide€howÐ N ê Ðit€became€an€issue.€€Thus,€the€Committee€is€treating€the€unanalyzed€and€unsupported€statement€inÐ :Ö  Ðthe€opinion€that€"intent€to€deceive"€is€an€element€as€dicta€and€not€controlling€with€respect€to€falseÐ &  Ðor€fictitious€claims.€€òòSee€United€States€v.€Marvinóó,€687€F.2d€1221,€1225€(8th€Cir.€1982).€Ð  ®  ÐÖ€TRìjÖÓ €Óà@Å Å ìàò òÔ% €ö ÔÔ  Ô6.18.471.€€COUNTERFEITING€(18€U.S.C.€ðð€471)Ô al5 Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€counterfeiting,€as€charged€in€[Count€òò€€€€óó]€of€the€indictment,€has€twoÐ <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€[falsely€made]€[forged]€[counterfeited]€[altered]€a€(specify€U.S.Ð  œ Ðobligation€or€security);€and€Ð b þ Ðà  àòòTwoóó,€the€defendant€did€so€with€intent€to€defraud.€Ð Ä `  Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€with€the€intent€to€deceive€or€cheat,€for€theÐ &  Ðpurpose€of€causing€some€financial€loss€to€another€or€bringing€about€some€financial€gain€to€theÐ ˆ$  Ðdefendant€or€another.€€It€is€not€necessary,€however,€to€prove€that€the€United€States€or€anyone€elseÐ ê†  Ðwas€in€fact€defrauded.òò1óó€Ð Lè  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ®J ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€òòSeeóó€šòòUnited€States€v.€Hallóó,€801€F.2d€356,€357„60€(8òòthóó€Cir.€1986);€€2€Kevin€F.€OððMalley,Ð r Ðet€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r}% #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÇ% #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r& #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r]& #Ô:€€Criminal€ðððð€32.01„.13€(5th€ed.€2000)Ô':œ$ Ô.Ð ^ú ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ À\ ÐÔ'NÀ' Ôà  àWhether€or€not€a€specific€security€or€obligation€is€an€obligation€or€security€of€the€UnitedÐ "¾ ÐStates€is€a€question€of€law€and€is€to€be€decided€by€the€trial€court.€€òòSeeóó€18€U.S.C.€ðð€8;€òòUnitedÐ ª ÐStates€v.€Anzaloneóó,€626€F.2d€239,€242€(2d€Cir.€1980).€Ð ú– Ðà  àThe€generally€accepted€definition€of€ð ðcounterfeitðð€means€made€in€order€to€bear€such€aÐ \ø! Ðlikeness€or€resemblance€to€(a€genuine€obligation€of€the€United€States)€(currency€of€the€UnitedÐ Hä" ÐStates)€that€it€is€calculated€to€deceive€an€honest,€sensible,€and€unsuspecting€person€of€ordinaryÐ 4 Ð# Ðobservation€and€care€when€dealing€with€a€person€who€is€(presumed)€(believed)€(supposed)€to€beÐ  !¼$ Ðhonest€and€upright.€€òòSee€United€States€v.€Hallóó,€801€F.2d€356,€357„60€(8òòthóó€Cir.€1986);€2€Kevin€F.Ð  "¨% ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r+ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rb+ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r©+ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rø+ #Ô:€€Criminal€ðð32.11€(5th€ed.€2000).€Ð ø"”& ÐIf€a€fact€issue€exists€as€to€whether€the€instrument€meets€this€test,€a€separate€instruction€should€beÐ ä#€' Ðsubmitted.€Ð Ð$l( Ðà  àòòSee€United€States€v.€Hallóó,€801€F.2d€at€358,€for€a€discussion€of€ð ðaltered.ððÐ 2&Î* Ðà  àAn€intent€to€defraud€unknown€third€parties€is€sufficient.€€òòUnited€States€v.€Pittsóó,€508€F.2dÐ ”'0!, Ð1237,€1240€(8òòthóó€Cir.€1974).Ð  €("- ÐÔ‡ÌXw,XXXw,ÔÓ €ÓÖ€VTìkÖà@×× ìàò òÔ% €ø ÔÔ  Ô6.18.472.€€PASSING€COUNTERFEIT€OBLIGATIONS€(18€U.S.C.€ðð€472)Ô al´. Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€[passing]€[selling]€[attempting€to€[pass]€[sell]]òò1óó€counterfeit€obligations,€asÐ <Ø Ðcharged€in€[Count€òò€€€€óó€of]€the€indictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€[passed]€[sold]€[attempted€to€[pass]€[sell]]€(specify€the€security€orÐ  œ Ðobligation€involved,€e.g.,€three€counterfeit€ten€dollar€bills);€Ð b þ Ðà  àòòTwoóó,€the€defendant€knew€that€(describe€security€or€obligation,€e.g.,€the€ten€dollar€bills)Ð Ä `  Ðwere€counterfeit€when€[he]€[she]€[passed]€[sold]€[attempted€to€[pass]€[sell]€them;€and€Ð &  Ðà  àòòThreeóó,€the€defendant€did€so€with€intent€to€defraud.€Ð ˆ$  Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€with€the€intent€to€deceive€or€cheat,€for€theÐ ê†  Ðpurpose€of€causing€some€financial€loss€to€another€or€bringing€about€some€financial€gain€to€theÐ Lè  Ðdefendant€or€another.€€It€is€not€necessary,€however,€to€prove€that€the€United€States€or€anyone€elseÐ ®J Ðwas€in€fact€defrauded.€Ð ¬ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ r ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ôp Ðà  à1.€€Section€472€of€Title€18,€United€States€Code,€specifically€provides€that€an€attempt€toÐ 6Ò Ðcommit€the€act€constitutes€a€violation€of€law€just€as€when€the€act€has€been€completed.€€TheÐ "¾ ÐCommittee€is€of€the€opinion€that€the€Ô'&Ô~4 Ôstatutory€terms€"utter"€and€"publish"€are€adequately€coveredÐ ª Ðby€"passing"€or€"attempting€to€pass."€€It€may€be€appropriate€in€some€circumstances€to€defineÐ ú– Ð"attempt."€òò€United€States€v.€Joyceóó,€693€F.2d€838€(8th€Cir.€1982).€Ð æ‚  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ Hä" Ðà  àòòSeeóó€šòòUnited€States€v.€Armstrongóó,€16€F.3d€289,€292€(8òòthóó€Cir.€1994);€òòUnited€States€v.€Hallóó,Ð ª F$ Ð801€F.2d€356,€357„60€(8òòthóó€Cir.€1986);€2€Kevin€F.€OððMalley,€et€al.,€FÔ‡ÌÛ%rÚXÌXw,ÔÔ#†Û%rÚÚÌÛ%rJ. #ÔÔ‡ÇÛ%rÚÚÛ%rÔEDERALÔ#†ÇXw,XÚÇÛ%r08 #ÔÔ#†Xw,XXÇXw,r8 #ÔÔ‡ÇXw,XXXw,Ô€JÔ‡ÇÛ%rÚXÇXw,ÔÔ#†Û%rÚÚÇÛ%rÝ8 #ÔÔ‡ÇÛ%rÚÚÛ%rÔURYÔ#†ÇXw,XÚÇÛ%rþ8 #ÔÔ#†Xw,XXÇXw,@9 #ÔÔ‡ÇXw,XXXw,Ô€PÔ‡ÇÛ%rÚXÇXw,ÔÔ#†Û%rÚÚÇÛ%r¨9 #ÔÔ‡ÇÛ%rÚÚÛ%rÔRACTICE€ANDÔ#†ÇXw,XÚÇÛ%rÉ9 #ÔÔ#†Xw,XXÇXw, : #ÔÔ‡ÇXw,XXXw,ÔÐ –!2% ÐIÔ‡ÇÛ%rÚXÇXw,ÔÔ#†Û%rÚÚÇÛ%r{: #ÔÔ‡ÇÛ%rÚÚÛ%rÔNSTRUCTIONSÔ#†ÇXw,XÚÇÛ%r°: #ÔÔ#†Xw,XXÇXw,ò: #Ô:€€Criminal€ðð32.06€(5th€ed.€2000).€€Ô'&H7 ÔÐ ‚"& Ðà  àOnly€obligations€or€securities€of€the€United€States€are€covered€by€the€statute,€and€areÐ ä#€( Ðdefined€by€18€U.S.C.€ðð€8.€€òòSeeóó€òòUnited€States€v.€Anzaloneóó,€626€F.2d€239,€242€(2d€Cir.€1980).€Ð Ð$l) Ðà  àThe€generally€accepted€definition€of€"counterfeit"€is€an€item€bearing€such€a€likeness€orÐ 2&Î+ Ðresemblance€to€genuine€currency€as€is€calculated€to€deceive€an€honest,€sensible,€and€unsuspectingÐ 'º , Ðperson€of€ordinary€observation€and€care€when€dealing€with€a€person€supposed€to€be€honest€andÐ  (¦!- Ðupright.€€òòSee€United€States€v.€Hallóó,€801€F.2d€356,€357„60€(8òòthóó€Cir.€1986).€€Should€a€fact€issueÐ ö(’". Ðexist€as€to€whether€the€instrument€meets€this€test,€a€separate€instruction€should€be€submitted.€Ð â)~#/ Ðà  àAn€intent€to€defraud€unknown€third€parties€is€sufficient.€€òòUnited€States€v.€Pittsóó,€508€F.2dÐ D+à$1 Ð1237,€1240€(8th€Cir.€1974).€€The€cases€do€not€require€that€the€recipient€think€that€the€bills€are€trueÐ 0,Ì%2 Ðand€genuine.€€òòSee€United€States€v.€Berryóó,€599€F.2d€267,€268€(8òòthóó€Cir.€1979)€(recipientsÐ d Ðimmediately€noticed€bills€were€ð ðfunnyðð).€€A€defendant€can€be€convicted€of€passing€to€a€recipientÐ Pì Ðwho€knows€of€the€bills'€counterfeit€character€where€the€bills€will€eventually€be€put€intoÐ <Ø Ðcirculation.€€òòUnited€States€v.€Pattersonóó,€739€F.2d€191,€196€(5th€Cir.€1984);€òòUnited€States€v.Ð ( Ä ÐHaganóó,€487€F.2d€897€(5th€Cir.€1973);€òòUnited€States€v.€Wolfeóó,€307€F.2d€798€(7th€Cir.€1962).€Ð  ° Ðà  àKnowledge€of€the€counterfeit€character€of€the€obligation€is€an€element€of€the€offense.€Ð v  ÐòòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Carllóó,€105€U.S.€611,€613€(1881);€òòUnited€States€v.€Bakeróó,€650€F.2d€936,Ð b þ Ð937€(8th€Cir.€1981);€òòUnited€States€v.€Pittsóó,€508€F.2d€at€1240;€òòUnited€States€v.€Tuckeróó,€820€F.2d€atÐ N ê Ð236-37.€€Knowledge€may€be€shown€by€circumstantial€evidence.€€òòUnited€States€v.€Armstrongóó,€16Ð :Ö  ÐF.3d€at€292;€òòUnited€States€v.€Berryóó,€599€F.2d€267,€268-69€(8th€Cir.€1979).€€A€mere€attempt€toÐ &  Ðpass€a€bill€does€not€support€an€inference€that€the€defendant€knew€it€was€counterfeit.€€òòUnitedÐ ®  ÐStates€v.€Armstrongóó,€16€F.3d€at€292;€òòUnited€States€v.€Castensóó,€462€F.2d€391,€393€(8th€Cir.€1972).€Ð þš  ÐDepending€on€the€circumstances,€however,€the€appearance€of€a€bill€may€be€sufficient€to€prove€theÐ ê†  Ðdefendant's€guilty€knowledge.€€òòUnited€States€v.€Bakeróó,€650€F.2d€at€937.€€Acts€from€which€guiltyÐ Ör  Ðknowledge€may€be€inferred€include€a€rapid€series€of€passings,€the€passing€of€counterfeit€money€atÐ Â^  Ðdifferent€establishments€(even€though€the€accused€is€not€positively€identified€at€other€places€inÐ ®J Ðthe€vicinity),€the€use€of€large€counterfeit€bills€for€small€purchases€rather€than€change€received€inÐ š6 Ðprior€purchases,€and€the€segregation€of€counterfeit€bills€from€genuine€bills.€€òòUnited€States€v.Ð †" ÐArmstrong,€óó18€F.3d€at€292;€òòUnited€States€v.€Olsonóó,€697€F.2d€273,€275€(8th€Cir.€1983).€€MereÐ r Ðpossession€of€a€counterfeit€obligation€will€not€sustain€a€conviction.€€òòUnited€States€v.€Olsonóó,€697Ð ^ú ÐF.2d€273,€275€(8th€Cir.€1983),€òòon€appeal€after€remandóó,€730€F.2d€544€(8òòthóó€Cir.€1984).€€Ð Jæ Ðà  à"Passing"€and€"uttering"€are€sometimes€treated€as€synonymous.€€However,€"passing"€doesÐ ¬H Ðnot€require€any€declaration€that€the€note€is€good€nor€does€it€require€an€attempt€to€place€it€inÐ ˜4 Ðcirculation.€€"Uttering"€may€require€either€or€both€of€these€additional€elements.€€òòSeeóó€š2€Kevin€F.Ð „  ÐOððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%ruK #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¿K #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rL #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rUL #Ô:€€Criminal€ðð32.06€(5th€ed.€2000);Ð p  ÐCommittee€Comments,€Instruction€6.18.495B,€òòinfraóó.€€Ð \ø Ðà  àIt€is€not€necessary€to€allege€or€prove€that€anything€of€value€was€actually€received€for€theÐ ¾Z Ðcounterfeit€currency.€€òòUnited€States€v.€Holmesóó,€453€F.2d€950,€952€(10th€Cir.€1972)€(citing€òòRaderÐ ª F Ðv.€United€Statesóó,€288€F.2d€452,€453€(8th€Cir.€1961)),€a€forgery€case€under€18€U.S.C.€ðð€500.Ð  –!2 ÐÖ€XVìlÖÓ €Óà@  ìàò òÔ% €û ÔÔ  Ô6.18.495A.€€FORGERY€(18€U.S.C.€ðð€495)€(First€Paragraph)Ô  æN Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€forgery,òò1óó€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€four€elements,Ð <Ø Ðwhich€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€wrote€the€signature€of€[payee]€on€a€(specify€the€document);€Ð  œ Ðà  àòòTwoóó,€the€defendant€did€so€without€authority;€Ð b þ Ðà  àòòThreeóó,€the€defendant€did€so€in€order€to€[obtain€money]€[enable€another€to€obtain€money]Ð Ä `  Ðfrom€the€United€States;€and€Ð &  Ðà  àòòFouróó,€the€defendant€did€so€with€intent€to€defraud€the€United€States.€Ð ˆ$  Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€with€the€intent€to€deceive€or€cheat,€for€theÐ ê†  Ðpurpose€of€causing€some€financial€loss€to€another€or€bringing€about€some€financial€gain€to€theÐ Lè  Ðdefendant€or€another.€€It€is€not€necessary,€however,€to€prove€that€the€United€States€or€anyone€elseÐ ®J Ðwas€in€fact€defrauded,€or€that€anyone€actually€obtained€money€from€the€United€States.òò2óó€Ð ¬ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ r ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ôp Ðà  à1.€€The€first€paragraph€of€section€495€also€covers€false€making,€altering€andÐ 6Ò Ðcounterfeiting.€€If€any€of€these€alternatives€are€charged,€elements€one€and€two€should€be€changedÐ "¾ Ðaccordingly.€Ð ª ÐÔ'ˆÔwT Ôà  à2.€€òòSeeóó€òòUnited€States€v.€Speaksóó,€453€F.2d€966,€969€n.9€(1st€Cir.1972)€for€this€definition€ofÐ p   Ð"intent€to€defraud."Ð \ø! ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¾Z# Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r W #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rWW #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%ržW #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%ríW #Ô:€€CriminalÐ  !¼% Ððððð32.01„.13€(5th€ed.€2000).Ð  "¨& ÐÔ'œ¾ˆV Ôà  àThe€jury€should€be€instructed€that€intent€to€defraud€the€United€States€is€an€element€of€thisÐ n# ( Ðoffense.€€òòSeeóó€òòPrussian€v.€United€Statesóó,€282€U.S.€675,€680€(1931);€òòUnited€States€v.€Hesteróó,€598Ð Z$ö) ÐF.2d€247,€249€(D.C.€Cir.€1979);€òòUnited€States€v.€Batesóó,€468€F.2d€1252,€1255€(5th€Cir.€1972).€€òòButÐ F%â* Ðseeóó€òòUnited€States€v.€Dimondóó,€445€F.2d€866,€867€(9th€Cir.€1971)€(proof€of€intent€to€interfere€withÐ 2&Î+ Ðgovernmental€functions€is€sufficient).€Ð 'º , Ðà  àSigning€"without€authority"€is€usually€part€of€the€definition€of€forgery.€€However,€thereÐ €(". Ðare€cases€where€a€forgery€can€be€accomplished€with€authority.€€òòSeeóó€òòUnited€States€v.€McGovernóó,Ð l)#/ Ðâ â661€F.2d€27€(3d€Cir.€1981;€òòUnited€States€v.€Priceóó,€655€F.2d€958€(9th€Cir.€1981).€Ð X*ô#0 Ðà  àIt€is€not€necessary€that€anyone€actually€received€money€or€anything€of€value€from€theÐ d Ðâ âUnited€States€as€a€result€of€the€forgery.€€òòHammerschmidt€v.€United€Statesóó,€265€U.S.€182,€188Ð Pì Ð(1924);€òòUnited€States€v.€Raderóó,€185€F.€Supp.€224,€230€(W.D.€Ark.€1960),€òòaff'dóó,€288€F.2d€452€(8thÐ <Ø ÐCir.€1961);€òòUnited€States€v.€Priceóó,€655€F.2d€958,€960€(9th€Cir.€1981).€€In€appropriate€cases,€theÐ ( Ä Ðjury€may€be€so€instructed.€€òòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rŒ^ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÖ^ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r_ #ÔÐ  ° ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r€_ #Ô:€€Criminal€ðð32.11€(5th€ed.€2000).Ð   œ ÐÖ€ZXìmÖÓ €Óà@……ìàò òÔ% € ÔÔ  Ô6.18.495B.€€UTTERING€A€FORGED€WRITING€(18€U.S.C.€ðð€495)€(Second€Paragraph)Ô S` Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€uttering€a€[false]€[forged]€[altered]€[counterfeited]€document,€as€charged€inÐ <Ø Ð[Count€òò€€€óó€of]€the€indictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€used€or€attempted€to€use€(describe€document)€and€in€doing€so€stated€orÐ  œ Ðimplied,€directly€or€indirectly,€that€the€(specify€document)€was€genuine;€Ð b þ Ðà  àòòTwoóó,€the€defendant€did€so€knowing€that€the€(specify€document€or€matter€forged€or€altered,Ð Ä `  Ðe.g.,€the€endorsement€of€the€payee)€was€[false]€[forged]€[altered]€or€[counterfeited];€and€Ð &  Ðà  àòòThreeóó,€the€defendant€did€so€with€intent€to€defraud€the€United€States.€Ð ˆ$  Ðà  à"Intent€to€defraud"€means€to€act€with€the€intent€to€deceive€or€cheat,€for€the€purpose€ofÐ ê†  Ðcausing€some€financial€loss€to€another€or€bringing€about€some€financial€gain€to€the€defendant€orÐ Lè  Ðanother.€€It€is€not€necessary,€however,€to€prove€that€the€United€States€or€anyone€else€was,€in€fact,Ð ®J Ðdefrauded,€or€that€anyone€actually€obtained€money€from€the€United€States.òò1óó€Ð ¬ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ r ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ôp Ðà  à1.€€òòSeeóó€òòUnited€States€v.€Speaksóó,€453€F.2d€966,€969€n.9€(1st€Cir.€1972)€for€a€definition€ofÐ 6Ò Ð"intent€to€defraud"€under€this€statute.Ð "¾ ÐÔ'œÔuf ÔÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ „  Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rh #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r`h #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r§h #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%röh #Ô:€€CriminalÐ æ‚! Ððððð32.01„.13€(5th€ed.€2000).Ð Òn" ÐÔ'œ„‘g Ôà  àThe€Committee€is€satisfied€that€Element€òòThreeóó€correctly€sets€out€the€required€mentalÐ 4 Ð$ Ðstate.€€òòSeeóó€òòRoss€v.€United€Statesóó,€374€F.2d€97,€101€(8th€Cir.€1967).€€Ð  !¼% Ðà  àThe€crime€of€uttering€under€18€U.S.C.€ðð€495€requires€proof€of€an€attempt€to€circulate€aÐ ‚"' Ðcheck€by€means€of€a€fraudulent€representation€that€it€is€"genuine."€€òòUnited€States€v.€Rivamonteóó,Ð n# ( Ð666€F.2d€515€(11th€Cir.€1982);€òòUnited€States€v.€DeJohnóó,€638€F.2d€1048,€1055-56€(7th€Cir.€1981)Ð Z$ö) Ðand€òòUnited€States€v.€Smithóó,€631€F.2d€391,€396€(5th€Cir.€1980).€€It€is€not€necessary€that€anything€ofÐ F%â* Ðvalue€be€actually€received€in€exchange€for€the€written€instrument.€€Merely€offering€the€instrumentÐ 2&Î+ Ðis€sufficient.€€òòUnited€States€v.€Raderóó,€185€F.€Supp.€224,€230€(W.D.€Ark.€1960),€òòaff'dóó,€288€F.2dÐ 'º , Ð452€(8th€Cir.€1961).€€"'Uttering€and€publishing'€.€.€.€is€the€putting€forth€or€attempt€to€circulate€theÐ  (¦!- Ðfalse€or€forged€Treasury€check."€€òòUnited€States€v.€Wattsóó,€532€F.2d€1215,€1218€n.2€(8th€Cir.€1976).€Ð ö(’". Ðà  àThe€distinction€between€"falsely€made"€and€"forged"€is€addressed€in€òòUnited€States€v.Ð X*ô#0 ÐHagertyóó,€561€F.2d€1197€(5th€Cir.€1977).€Ð D+à$1 Ðà  àThe€Devitt€and€Blackmar€definition€of€"forgery,"€former€ðð€53.05€(òòseeóó€now€š2€Kevin€F.Ð d ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r»o #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rp #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rLp #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r›p #Ô:€€Criminal€ðð32.12€(5th€ed.€2000)),Ð Pì Ðwas€held€adequate€in€òòUnited€States€v.€Merceróó,€853€F.2d€630,€633€(8th€Cir.€1988).€€The€òòMerceróóÐ <Ø Ðcase€further€held€that€a€theory€of€defense€instruction€identical€to€one€required€in€òòUnited€States€v.Ð ( Ä ÐLewisóó,€592€F.2d€1282,€1285€(5th€Cir.€1979)€was€merely€cumulative€and€not€required€where€theÐ  ° Ðjury€was€adequately€instructed€on€intent€to€defraud.€Ð   œ ÐÖ€|ZìnÖÓ €Óà@éé ìàò òÔ% € ÔÔ  Ô6.18.641.€€THEFT€OF€GOVERNMENT€MONEY€OR€PROPERTY€(18€U.S.C.€ðð€641)Ô %s Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€theft€of€Government€[property]òò1óó€as€charged€in€the€indictment€has€threeÐ <Ø Ðelements€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€voluntarily,€intentionally€and€knowingly€[embezzled]€[stole]Ð  œ Ð[converted]€[money]€[thing€of€value]òò2óó€[to€[his]€[her]€[their]€own€use€or€to€the€use€of€another];€and€Ð b þ Ðà  àòòTwoóó,€the€[money]€[thing€of€value]òò3óó€belonged€to€the€United€States€and€had€a€value€inÐ Ä `  Ðexcess€of€One€Thousand€Dollars€($1,000);òò4óó€andÐ &  Ðà  àòòThreeóó,€the€defendant€did€so€with€intent€to€deprive€the€owner€of€the€use€or€benefit€of€theÐ ˆ$  Ð[money]€[thing€of€value]òò5óó€or€property€so€taken.€€Ð ê†  Ðà  àThe€word€"value"€means€the€face,€par,€or€market€value,€or€cost€price,€either€wholesale€orÐ Lè  Ðretail,€whichever€is€greater.òò6óóÐ ®J Ðà  àA€"thing€of€value"€can€be€tangible€or€intangible€property.òò7óó€Ð ¬ Ðà  àIt€is€not€necessary€to€prove€that€the€defendant€knew€that€the€Government€owned€theÐ r Ðproperty€at€the€time€of€the€wrongful€taking€so€long€as€it€is€established,€beyond€a€reasonableÐ Ôp Ðdoubt,€that€the€Government€did€in€fact€own€the€money€or€property€involved,€that€it€had€a€value€inÐ 6Ò Ðexcess€of€One€Thousand€Dollars€($1,000),€and€that€the€defendant€knowingly€and€willfullyÐ ˜4 Ð[embezzled]€[stole]€[converted]€it.€Ð ú–  Ðà  à[To€"embezzle"€means€voluntarily€and€intentionally€to€take€or€to€convert€to€one's€use€theÐ \ø" Ðproperty€of€another€which€property€came€into€the€defendant's€possession€lawfully.]€Ð ¾Z$ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ  !¼& ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ‚"( Ðà  à1.,€2.,€3.,€5.€€The€statute€covers€"record,"€"voucher,"€"money,"€"thing€of€value,"€orÐ ä#€* Ð"property€made€or€being€made€under€[federal]€contract."€€Whichever€form€is€applicable€should€beÐ Ð$l+ Ðused.€Ð ¼%X, ÐÔ'ˆ‚"‡{ Ôà  à4.€€The€statute€provides€for€both€a€felony€offense€and€a€misdemeanor€offense.€€SectionÐ 'º . Ð641€was€amended€by€section€606€of€The€Economic€Espionage€Act€of€1996,€Pub.€L.€104„294,€110Ð  (¦!/ ÐStat.€3511,€to€make€value€in€excess€of€$1,000€the€felony€threshold.€€The€Committee€recommendsÐ ö(’"0 Ðthat€the€jury€specifically€find€that€the€amount€embezzled€or€misapplied€exceeded€$1,000.€€If€thisÐ â)~#1 Ðissue€is€controverted,€the€misdemeanor€offense€should€be€included€in€the€instructions€as€a€lesser„Ð Î*j$2 Ðincluded€offense.€€Alternatively,€a€special€interrogatory€could€be€submitted€to€the€jury€asking€itÐ º+V%3 Ðwhether€it€finds,€beyond€a€reasonable€doubt,€that€the€item€had€a€value€of€more€than€$1,000€at€theÐ d Ðtime€of€the€alleged€offense.€€Ð Pì Ðà  à6.€€18€U.S.C.€ðð€641.€Ð ²N Ðà  à7.€€òòUnited€States€v.€Mayóó,€625€F.2d€186,€190-91€(8th€Cir.€1980).€€òòSee€alsoóó€òòUnited€States€v.Ð  ° ÐDiGilioóó,€538€F.2d€972€(3d€Cir.€1976)€(copying€F.B.I.€documents€and€selling€the€copies€held€toÐ  œ Ðviolate€the€statute)€and€òòUnited€States€v.€Morisonóó,€604€F.€Supp.€655,€663„64€(D.€Md.€1985),€òòaffððdóó,Ð ì ˆ Ð844€F.2d€1057€(4th€Cir.€1988)€(statute€applied€to€unauthorized€disclosures€of€classifiedÐ Ø t Ðinformation).Ð Ä `  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ &  Ðà  àòòSeeóó€òòUnited€States€v.€Walkeróó,€563€F.€Supp.€805€(S.D.€Iowa€1983).€Ð ˆ$  ÐÔ'°&–‚ Ôà  àThe€Committee€believes€that€the€intent€required€by€18€U.S.C.€ðð€641€is€adequately€coveredÐ ê†  Ðby€Elements€One€and€Three.€€òòUnited€States€v.€Mayóó,€625€F.2d€186€(8th€Cir.€1980);€òòUnited€StatesÐ Ör  Ðv.€Denmonóó,€483€F.2d€1093€(8th€Cir.€1973).€Ð Â^  Ðà  àIn€this€statute,€steal€or€stealing€has€been€given€broader€meaning€than€larceny€at€commonÐ $À Ðlaw.€€The€statute€applies€to€any€taking€whereby€a€person€dishonestly€obtains€anything€of€valueÐ ¬ Ðbelonging€to€another€with€the€intent€to€deprive€the€owner€of€the€rights€and€benefits€of€ownership.€Ð ü˜ ÐòòCrabb€v.€Zerbstóó,€99€F.2d€562€(5th€Cir.€1938).€€òòSee€alsoóó€òòMorissette€v.€United€Statesóó,€342€U.S.€246,Ð è„ Ð267-69€n.28€(1952).€Ð  Ôp ÐÖ€]|ìoÖÓ €Óà@  ìàò òÔ% € ÔÔ  Ô6.18.656.€€EMBEZZLEMENT€AND€MISAPPLICATION€OF€BANK€FUNDS€ˆÐ d Ðà@  "ìà(18€U.S.C.€ðð656)Ô .€ü† Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[embezzlement]€[misapplication]€of€bank€funds,€as€charged€in€[Count€òò€€óó€of]Ð ( Ä Ðthe€indictment,€has€five€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€was€(describe€position€and€name€of€bank,€e.g.,€a€trust€officer€at€FirstÐ ì ˆ ÐNational€Bank);€Ð N ê  Ðà  àòòTwoóó,€the€defendant€[embezzled]€[misapplied]€the€[funds]€[credits]òò1óó€of€the€bank;€Ð °L  Ðà  àòòThreeóó,€the€amount€so€[embezzled]€[misapplied]€was€more€€Ð ®  Ðthan€$100.00;òò2óó€Ð t  Ðà  àòòFouróó,€the€defendant€did€so€with€the€intent€[to€injure]€[to€defraud]€the€bankòò3óó;€and€Ð Ör  Ðà  àòòFiveóó,€the€bank€was€(describe€federal€relation,€e.g.,€insured€by€the€FDIC).òò4óó€Ð 8Ô  Ðà  à["Embezzlement"€means€the€voluntary€and€intentional€taking,€or€conversion€to€one's€ownÐ š6 Ðuse,€of€the€property€of€another,€which€property€came€into€the€defendant's€possession€lawfully,€byÐ ü˜ Ðvirtue€of€some€office,€employment,€or€position€of€trust€which€the€defendant€held.]òò5óó€Ð ^ú Ð["Misapplication"€means€the€unauthorized,€or€unjustifiable€or€wrongful€use€of€a€bank's€funds.€Ð À\ ÐMisapplication€includes€the€wrongful€taking€or€use€of€money€of€the€bank€by€a€bank€officer€orÐ "¾ Ðemployee€for€his€own€benefit€or€for€the€use€and€benefit€of€some€other€person.]òò6óó€Ð „  Ðà  à[To€act€with€"intent€to€injure"€means€to€act€with€intent€to€cause€pecuniary€loss.]òò7óó€€[To€actÐ æ‚! Ðwith€"intent€to€defraud"€means€to€act€with€intent€to€deceive€or€cheat,€for€the€purpose€of€causing€aÐ Hä# Ðfinancial€loss€to€someone€else€or€bringing€about€a€financial€gain€to€the€defendant€or€another.]òò8óó€Ð ª F% Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ  "¨' ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ n# ) Ðà  à1.€€The€statute€also€covers€"money,€funds,€assets€or€securities€entrusted€to€the€custody€orÐ Ð$l+ Ðcare"€of€the€bank.€€If€the€embezzlement€or€the€misapplication€of€any€of€these€is€charged,€theÐ ¼%X, ÐÔ'&n#ñ Ôinstruction€should€be€changed€accordingly.€Ð ¨&D - Ðà  àA€more€detailed€description€of€the€property€embezzled€or€misapplied€can€be€used€insteadÐ  (¦!/ Ðof€the€general€statutory€language.Ð ö(’"0 Ðà  à2.€€The€statute€provides€for€both€a€felony€offense€and€a€misdemeanor€offense.€€TheÐ X*ô#2 ÐCommittee€recommends€that€the€jury€specifically€find€that€the€amount€embezzled€or€misappliedÐ D+à$3 Ðexceeded€$100.00.€€If€this€issue€is€controverted,€the€misdemeanor€offense€should€be€included€inÐ 0,Ì%4 Ðthe€instructions€as€a€lesser„included€offense.€€Alternatively,€a€special€interrogatory€could€beÐ d Ðsubmitted€to€the€jury€asking€it€whether€it€finds,€beyond€a€reasonable€doubt,€that€the€item€had€aÐ Pì Ðvalue€of€more€than€$100.00€at€the€time€of€the€alleged€offense.€Ð <Ø Ðà  à3.€€Several€cases€have€held€that€the€required€intent€could€alternatively€be€intent€to€deceiveÐ ž : Ðthe€bank's€officers,€directors,€or€examiners.€€òòUnited€States€v.€Steffenóó,€641€F.2d€591,€597€(8th€Cir.Ð Š & Ð1981);€òòUnited€States€v.€Kreppsóó,€605€F.2d€101,€107€n.21€(3d€Cir.€1979).€€Both€of€these€casesÐ v  Ðinvolved€situations€where€the€misapplication€was€accomplished€by€a€bank€officer€circumventingÐ b þ Ðpolicies€regarding€loans€to€officers€by€setting€up€loans€to€third€parties€from€which€the€officer€wasÐ N ê Ðto€receive€the€proceeds.€€Judge€Devitt€has€included€"intent€to€deceive"€the€bank's€officers,€etc.€inÐ :Ö  Ðjury€instructions€which€are€set€out€in€òòUnited€States€v.€Doughertyóó,€763€F.2d€970€(8th€Cir.€1985).€Ð &  ÐThat€case€involved€a€misapplication€accomplished€by€a€bank€officer€who€issued€banker'sÐ ®  Ðacceptances€to€certain€bank€customers€without€obtaining€loan€committee€approval.€€These€casesÐ þš  Ðindicate€that€an€instruction€on€"intent€to€deceive"€may€be€appropriate€in€misapplication€cases€ofÐ ê†  Ðthis€nature.€Ð Ör  Ðà  à4.€€Absent€a€stipulation€between€the€government€and€the€defendant,€this€instruction€mustÐ 8Ô  Ðinclude€the€element€that€the€victim€financial€institution€fell€into€one€of€the€categories€listed€in€theÐ $À Ðstatute.€Ð ¬ Ðà  à5.€€òòSeeóó€òòUnited€States€v.€Sayklayóó,€542€F.2d€942€(5th€Cir.€1976);€òòWoxberg€v.€United€Statesóó,Ð r Ð329€F.2d€284€(9th€Cir.€1964);€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rd› #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r®› #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rõ› #ÔÐ ^ú ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rXœ #Ô:€€Criminal€ðð33.04€(5th€ed.€2000).€Ð Jæ Ðà  à6.€€òòSeeóó€òòUnited€States€v.€Moraitesóó,€456€F.2d€435€(3d€Cir.€1972);€òòUnited€States€v.€Bevansóó,Ð ¬H Ð496€F.2d€494€(8th€Cir.€1974);€òòUnited€States€v.€Beranóó,€546€F.2d€1316€(8th€Cir.€1976);€š1A€KevinÐ ˜4 ÐF.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÿ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rIž #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rž #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rßž #Ô:€€Criminal€ðð33.05€(5th€ed.Ð „  Ð2000).€€Conversion€of€bank€funds€is€encompassed€within€the€definition€of€misapplication.€Ð p  ÐòòUnited€States€v.€Beranóó.Ð \ø Ðà  à7.€€òòSeeóó€òòUnited€States€v.€Arthuróó,€544€F.2d€730,€736€(4th€Cir.€1976);€òòUnited€States€v.Ð ¾Z ÐBlackwoodóó,€735€F.2d€142,€144-46€(4th€Cir.€1984).€Ð ª F Ðà  à8.€€òòSeeóó€Eleventh€Circuit€Pattern€Jury€Instructions:€€Criminal€(Offense)€ðð€19€(1997).€Ð  "¨! ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ n# # Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÑ¡ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¢ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rb¢ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r±¢ #Ô:€€CriminalÐ Ð$l% Ððððð33.01„.06€(5th€ed.€2000)Ô':n#L¡ Ô;€òòUnited€States€v.€Bevansóó,€496€F.2d€494,€499€n.4€(8th€Cir.€1974);Ð ¼%X& ÐòòUnited€States€v.€Farrellóó,€609€F.2d€816,€818€(5th€Cir.€1980).€Ð ¨&D ' Ðà  àMisapplication€and€embezzlement€are€separate€and€distinct€offenses.€€òòUnited€States€v.Ð  (¦!) ÐHolmesóó,€611€F.2d€329,€331€(10th€Cir.€1979).€€Embezzlement€requires€a€conversion€of€propertyÐ ö(’"* Ðfor€the€defendant's€own€use€while€misapplication€may€be€accomplished€by€diverting€funds€for€theÐ â)~#+ Ðuse€of€others,€òòUnited€States€v.€Beranóó,€546€F.2d€1316,€1320€(8th€Cir.€1976),€or€by€improperlyÐ Î*j$, Ðstructuring€a€loan€to€third€parties€for€the€defendant's€personal€benefit.€€òòUnited€States€v.€Angelosóó,Ð º+V%- Ð763€F.2d€859,€861€(7th€Cir.€1985);€òòUnited€States€v.€Steffenóó,€641€F.2d€591,€597€(8th€Cir.€1981).€€AÐ d Ðcheck€kiting€scheme€can€constitute€misapplication.€€òòUnited€States€v.€Youngóó,€618€F.2d€1281€(8thÐ Pì ÐCir.€1980).€€òòSeeóó€òòUnited€States€v.€Gensóó,€493€F.2d€216€(1st€Cir.€1974)€for€a€comprehensive€reviewÐ <Ø Ðof€the€cases€construing€the€word€"misapplied."€Ð ( Ä Ðà  àIntent€to€injure€or€defraud€the€bank€is€an€element€of€embezzlement,€òòUnited€States€v.Ð Š & ÐScheperóó,€520€F.2d€1355€(4th€Cir.€1975),€as€well€as€misapplication.€€òòUnited€States€v.€Cooperóó,€577Ð v  ÐF.2d€1079,€1082-83€(6th€Cir.€1978).€€Courts€have€read€this€requirement€back€into€section€656Ð b þ Ðafter€it€was€inadvertently€dropped€from€the€statute€in€the€course€of€a€technical€revision€of€theÐ N ê Ðfederal€criminal€code.€€òòUnited€States€v.€Angelosóó,€763€F.2d€at€861;€òòSeals€v.€United€Statesóó,€221€F.2dÐ :Ö  Ð243,€245€(8th€Cir.€1955).€Ð &  Ðà  àThis€circuit€has€specifically€held€that€the€element€of€"intent€to€defraud"€is€sufficient€andÐ ˆ$  Ðthe€concept€of€specific€intent€or€a€definition€thereof€is€not€appropriate€in€a€section€656€case€(or€inÐ t  Ðany€other,€unless€used€in€the€statute€itself).€€òòUnited€States€v.€Doughertyóó,€763€F.2d€970,€973-74Ð `ü  Ð(8th€Cir.€1985).€Ð Lè  Ðà  àIntent€to€injure€is€distinct€from€intent€to€defraud.€€òòAngelosóó,€763€F.2d€at€861,€which€caseÐ ®J Ðfurther€held€that€intent€to€defraud€can€mean€to€take€financial€advantage€of€a€confidentialÐ š6 Ðrelationship.€€Intent€to€injure€under€section€656€means€intent€to€cause€pecuniary€loss.€€òòUnitedÐ †" ÐStates€v.€Arthuróó,€544€F.2d€730,€736€(4th€Cir.€1976);€òòUnited€States€v.€Blackwoodóó,€735€F.2d€142,Ð r Ð144-46€(4th€Cir.€1984).€Ð ^ú Ðà  àIntent€to€injure€or€defraud€the€bank€is€proved€by€showing€a€"knowing€voluntary€act€by€theÐ À\ Ðdefendant,€the€natural€tendency€of€which€may€have€been€to€injure€the€bank€even€though€such€mayÐ ¬H Ðnot€have€been€his€motive."€€òòUnited€States€v.€Farrellóó,€609€F.2d€at€820.€Ð ˜4 Ðà  àThe€defendant's€criminal€intent€may€be€shown€by€circumstantial€evidence.€€òòSeals€v.Ð ú– ÐUnited€Statesóó,€221€F.2d€at€248;€òòseeóó,€òòe.g.óó,€òòUnited€States€v.€Mohróó,€728€F.2d€1132,€1134-35€(8th€Cir.Ð æ‚ Ð1984).€€The€government€need€not€prove€that€the€deÔ_ÔfendantÔ_Ô€knew€he€was€violating€the€law.€Ð Òn ÐòòUnited€States€v.€Doughertyóó,€763€F.2d€at€973-74.€Ð ¾Z Ðà  àWhether€the€defendant€planned€to€return€the€money€or€whether€the€bank€actuallyÐ  !¼  Ðsustained€a€loss€is€immaterial€to€guilt€under€section€656.€€òòUnited€States€v.€Angelosóó,€763€F.2d€atÐ  "¨! Ð861;€òòUnited€States€v.€Scheperóó,€520€F.2d€at€1358.€Ð  ø"”" ÐÖ€_]ìpÖÓ €Óà@y y ìàò òÔ% € ÔÔ  Ô6.18.659A.€€THEFT€FROM€INTERSTATE€SHIPMENT€ˆÐ d Ðà@ìà(18€U.S.C.€ðð€659)€(First€Paragraph)Ô .€ù² Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€theft€from€an€[interstate]€[foreign]€shipment,€as€charged€in€[Count€òò€€€óó€of]€theÐ ( Ä Ðindictment,€has€three€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€[embezzled]€[stole]€[obtained€by€fraud€or€deception]òò1óó€the€property€ofÐ ì ˆ Ðanotheròò2óó€from€a€(describe€interstate€or€foreign€carrier);€Ð N ê  Ðà  àòòTwoóó,€at€that€time€this€property€[was€moving€as]€[was€part€of]€[constituted]€a[n]Ð °L  Ð[interstate]€[foreign]€shipment;€Ð ®  Ðà  àòòThreeóó,€at€that€time€the€value€of€the€property€was€more€than€$100.00;òò3óó€and€€Ð t  Ðà  àòòFouróó,€the€defendant€acted€with€the€intent€to€convert€the€property€temporarily€orÐ Ör  Ðpermanently€to€his€own€use.€Ð 8Ô  Ðà  à[To€"embezzle"€means€voluntarily€and€intentionally€to€take,€or€to€convert€to€one's€ownÐ š6 Ðuse,€the€property€of€another,€which€property€came€into€the€defendant's€possession€lawfully.]€Ð ü˜ Ðà  à[To€"steal"€means€to€take€with€the€intent€to€deprive€the€owner€permanently€or€temporarilyÐ ^ú Ðof€the€rights€and€benefits€of€ownership.]€Ð À\ Ðà  àA€shipment€becomes€a[n]€[interstate]€[foreign]€shipment€as€soon€as€it€is€assembled€forÐ "¾ Ðmovement€across€a€[state€line]€[United€States€border]€and€remains€one€until€it€arrives€at€its€finalÐ „  Ðdestination€and€is€delivered.òò4óó€Ð æ‚! Ðà  àThe€word€"value"€means€face,€par,€or€market€value,€or€cost€price,€either€wholesale€orÐ Hä# Ðretail,€whichever€is€greater.òò5óó€Ð ª F% Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ  "¨' ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ n# ) Ðà  à1.€€The€statute€may€also€be€violated€by€"unlawfully"€"taking,"€"carrying€away"€orÐ Ð$l+ Ð"concealing."€€If€one€of€the€"unlawful"€alternatives€is€charged€and€a€definition€of€"unlawfully"€isÐ ¼%X, ÐÔ'&n#O» Ôrequested,€"unlawfully"€should€be€defined€in€terms€of€the€specific€manner€in€which€the€conduct€isÐ ¨&D - Ðalleged€to€be€unlawful.€Ð ”'0!. Ðà  à2.€€A€more€specific€description€of€the€property€may€be€used€instead€of€the€generalÐ ö(’"0 Ðstatutory€language.€Ð â)~#1 Ðà  à3.€€If€there€is€a€dispute€over€whether€the€value€is€greater€or€less€than€$100.00,€a€lesser„Ð D+à$3 Ðincluded€offense€instruction€may€be€given.€€If€there€is€no€dispute,€a€lesser„included€offenseÐ 0,Ì%4 Ðinstruction€is€not€necessary.€€òòUnited€States€v.€Priceóó,€447€F.2d€23€(2d€Cir.€1971).€€Alternatively,€aÐ d Ðspecial€interrogatory€could€be€submitted€to€the€jury€asking€it€whether€it€finds,€beyond€aÐ Pì Ðreasonable€doubt,€that€the€item€had€a€value€of€more€than€$100.00€at€the€time€of€the€allegedÐ <Ø Ðoffense.€Ð ( Ä Ðà  à4.€€òòUnited€States€v.€Crumóó,€663€F.2d€771€(8th€Cir.€1981);€š2€Kevin€F.€OððMalley,€et€al.,Ð Š & КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¼À #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÁ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rMÁ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rœÁ #Ô:€€Criminal€ðððð€34.05,€34.07€(5th€ed.€2000);.€Ð v  Ðà  àThe€eighth€paragraph€of€section€659€reads€as€follows:€Ð Ø t Ðà0  àà ` àTo€establish€the€interstate€or€foreign€commerce€character€of€any€shipment€in€anyÐ :Ö  Ðprosecution€under€this€section€the€waybill€or€other€shipping€document€of€such€shipmentÐ &  Ðshall€be€prima€facie€evidence€of€the€place€from€which€and€to€which€such€shipment€wasÐ ®  Ðmade.€€The€removal€of€property€from€a€pipeline€system€which€extends€interstate€shall€beÐ þš  Ðprima€facie€evidence€of€the€interstate€character€of€the€shipment€of€the€property.€Ðê† (#(# ÐThis€circuit€has€found€that€the€following€instruction€complies€with€that€statute€and€the€applicableÐ Lè  Ðconstitutional€test€of€a€statutory€presumption:€Ð 8Ô  Ðà0  àà ` àSection€659€of€Title€18€of€U.S.C.A.€further€provides€that:€Ðš6(#(# Ðà0  àà ` àTo€establish€the€interstate€.€.€.€commerce€character€of€any€shipment€.€.€.€the€waybillÐ ü˜ Ðor€other€shipping€document€of€such€shipment€shall€be€prima€facie€evidence€of€the€placeÐ è„ Ðfrom€which€and€to€which€such€shipment€was€made.ÐÔp(#(# Ðà0  àà ` à"Prima€facie€evidence"€means€sufficient€evidence,€unless€outweighed€by€otherÐ 6Ò Ðevidence€in€the€case.€€In€other€words,€waybills,€or€bills€of€lading,€or€other€shippingÐ "¾ Ðdocuments€such€as€invoices,€if€proved,€are€sufficient€to€show€the€interstate€commerceÐ ª Ðcharacter€of€the€shipment,€in€the€absence€of€evidence€in€the€case€which€leads€the€jury€to€aÐ ú– Ðdifferent€or€contrary€conclusion.€Ðæ‚(#(# ÐòòUnited€States€v.€Franklinóó,€568€F.2d€1156,€1157€(8th€Cir.€1978).€€òòSee€furtheróó€CommitteeÐ Hä ÐComments,€Instruction€4.13,€òòsupraóó,€relating€to€instructions€on€statutory€inferences.€€òòSee€alsoóó€š2Ð 4 Ð  ÐKevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r9Ê #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rƒÊ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÊÊ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rË #Ô:€€Criminal€ðððð34.05,Ð  !¼! Ð34.07€(5th€ed.€2000).Ð  "¨" Ðà  à5.€€This€definition€of€value€is€contained€in€18€U.S.C.€ðð€641€and€has€been€held€applicableÐ n# $ Ðto€section€659.€€òòUnited€States€v.€Watsonóó,€570€F.2d€282,€283-84€(8th€Cir.€1978).€Ð Z$ö% ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¼%X' Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r-Í #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rwÍ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¾Í #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r Î #Ô:€€CriminalÐ 'º ) Ððððð34.01„.08€(5th€ed.€2000)Ô':¼%¨Ì Ô.€Ð  (¦!* Ðà  àIn€this€and€other€federal€statutes€the€word€"steal"€or€"stolen"€has€been€given€a€broaderÐ l)#, Ðmeaning€than€larceny€at€common€law.€€Accordingly€this€statute€applies€to€any€taking€whereby€aÐ X*ô#- Ðperson€dishonestly€obtains€goods€belonging€to€another€with€the€intent€to€deprive€the€owner€of€theÐ D+à$. Ðrights€and€benefits€of€ownership.€€òòUnited€States€v.€DeNormandóó,€149€F.2d€622,€624€(2d€Cir.Ð 0,Ì%/ Ð1945);€òòUnited€States€v.€Scottóó,€592€F.2d€1139,€1143€(10th€Cir.€1979).€€òòSee€alsoóó€òòUnited€States€v.Ð d ÐTurleyóó,€352€U.S.€407,€410-17€(1957).€€Thus,€the€Government€need€not€prove€that€the€defendantÐ Pì Ðintended€permanently€to€deprive€an€owner€of€property,€which€is€an€element€of€larceny.€€òòUnitedÐ <Ø ÐStates€v.€Shackelfordóó,€777€F.2d€1141,€1143-45€(6th€Cir.€1985);€òòUnited€States€v.€Waronekóó,€582Ð ( Ä ÐF.2d€1158,€1160-62€(7th€Cir.€1978).€Ð  ° Ðà  à"Embezzle"€is€defined€in€òòUnited€States€v.€Scottóó,€592€F.2d€at€1143.€€òòSee€alsoóó€InstructionÐ v  Ð6.18.656,€òòsupraóó.€Ð b þ Ðà  àThe€determination€of€whether€goods€are€moving€as€an€interstate€shipment€is€to€be€basedÐ Ä `  Ðon€practical€considerations€rather€than€technical€distinctions.€€òòUnited€States€v.€Crumóó,€663€F.2dÐ °L  Ð771€(8th€Cir.€1981).€€An€"interstate€shipment"€exists€if€the€goods€have€been€physically€segregatedÐ œ8  Ðfor€such€shipment,€even€where€interstate€transport€has€not€actually€commenced€in€the€sense€ofÐ ˆ$  Ðover-the-road€travel.€€òòSeeóó€òòUnited€States€v.€Henneberryóó,€719€F.2d€941€(8th€Cir.€1983);€òòUnitedÐ t  ÐStates€v.€Gollinóó,€176€F.2d€889,€893-95€(3d€Cir.€1949).€€An€interstate€shipment€does€not€lose€itsÐ `ü  Ðinterstate€character€until€it€arrives€at€its€final€destination€and€is€delivered.€€òòCrumóó,€663€F.2d€at€771.€Ð Lè  ÐòòSee€alsoóó€òòUnited€States€v.€Wetzelóó,€488€F.2d€153€(8th€Cir.€1973).€Ð  8Ô  ÐÖ€a_ìqÖÓ €Óà@ ìàò òÔ% €  ÔÔ  Ô6.18.659B.€€PURCHASE,€RECEIPT€OR€POSSESSION€OF€PROPERTY€STOLEN€ˆÐ d Ðà@ïï ìàFROM€AN€INTERSTATE€SHIPMENT€(18€U.S.C.€ðð€659)€(Second€Paragraph)Ô €òm× Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€receiving€property€which€has€been€stolen€from€an€[interstate]€[foreign]Ð ( Ä Ðshipment,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€four€elements,€which€are:€€Ð Š & Ðà  àòòOneóó,€propertyòò1óó€was€[embezzled]€[stolen]€[obtained€by€fraud€or€deception]òò2óó€from€aÐ ì ˆ Ð(describe€interstate€or€foreign€carrier)€while€it€[was€moving€as]€[was€part€of]€[constituted]€a[n]Ð N ê  Ð[interstate]€[foreign]€shipment;€Ð °L  Ðà  àòòTwoóó,€the€defendant€[bought]€[received]€[possessed]€that€property;€€Ð ®  Ðà  àòòThreeóó,€at€that€time€the€value€of€the€property€was€more€than€$100.00;òò3óó€and€Ð t  Ðà  àòòFouróó,€at€the€time€that€the€defendant€[bought]€[received]€[possessed]€such€property,€heÐ Ör  Ðknew€that€it€had€been€[embezzled]€[stolen]€[obtained€by€fraud€or€deception].€Ð 8Ô  Ðà  à[Property€has€been€"embezzled"€if€it€has€been€voluntarily€and€intentionally€taken€orÐ š6 Ðconverted€to€the€use€of€someone€other€than€the€owner,€after€it€came€into€that€person's€possessionÐ ü˜ Ðlawfully.]€Ð ^ú Ðà  à[Property€has€been€"stolen"€if€it€has€been€taken€with€the€intent€to€permanently€orÐ À\ Ðtemporarily€deprive€the€owner€of€the€rights€and€benefits€of€ownership.]€Ð "¾ Ðà  àA€shipment€becomes€a[n]€[interstate]€[foreign]€shipment€as€soon€as€it€is€assembled€forÐ „  Ðmovement€across€a€[state€line]€[United€States€border]€and€remains€one€until€it€arrives€at€its€finalÐ æ‚! Ðdestination€and€is€delivered.òò4óó€Ð Hä# Ðà  àThe€word€"value"€means€face,€par,€or€market€value,€or€cost€price,€either€wholesale€orÐ ª F% Ðretail,€whichever€is€greater.òò5óó€Ð  "¨' Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ n# ) ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ð$l+ Ðà  à1.€€A€more€specific€description€of€the€property€may€be€used€instead€of€the€more€generalÐ 2&Î- Ðstatutory€language.€Ð 'º . ÐÔ'œÐ$™à Ôà  à2.€€The€statute€may€also€be€violated€by€receiving€property€that€has€been€"unlawfully"Ð €("0 Ð"taken,"€"carried€away"€or€"concealed."€€If€any€one€of€the€"unlawful"€alternatives€is€charged,€andÐ l)#1 Ða€definition€of€"unlawfully"€is€requested,€"unlawfully"€should€be€defined€in€terms€of€the€specificÐ X*ô#2 Ðmanner€in€which€the€conduct€is€alleged€to€be€unlawful.€Ð D+à$3 Ðà  à3.€€If€there€is€a€dispute€over€whether€the€value€is€greater€or€less€than€$100.00,€a€lesser„Ð d Ðincluded€offense€instruction€may€be€given.€€If€there€is€no€dispute,€a€lesser„included€offenseÐ Pì Ðinstruction€is€not€necessary.€€òòUnited€States€v.€Priceóó,€447€F.2d€23€(2d€Cir.€1971).€€Alternatively,€aÐ <Ø Ðspecial€interrogatory€could€be€submitted€to€the€jury€asking€it€whether€it€finds,€beyond€aÐ ( Ä Ðreasonable€doubt,€that€the€item€had€a€value€of€more€than€$100.00€at€the€time€of€the€allegedÐ  ° Ðoffense.€Ð  œ Ðà  à4.€€òòUnited€States€v.€Crumóó,€663€F.2d€771€(8th€Cir.€1981);€š2€Kevin€F.€OððMalley,€et€al.,Ð b þ КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r.æ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rxæ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¿æ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rç #Ô:€€Criminal€ðððð34.05,€34.07€(5th€ed.€2000).Ð N ê Ðà  àThe€eighth€paragraph€of€section€659€reads€as€follows:€Ð °L  Ðà0  àà ` àTo€establish€the€interstate€or€foreign€commerce€character€of€any€shipment€in€anyÐ ®  Ðprosecution€under€this€section€the€waybill€or€other€shipping€document€of€such€shipmentÐ þš  Ðshall€be€prima€facie€evidence€of€the€place€from€which€and€to€which€such€shipment€wasÐ ê†  Ðmade.€€The€removal€of€property€from€a€pipeline€system€which€extends€interstate€shall€beÐ Ör  Ðprima€facie€evidence€of€the€interstate€character€of€the€shipment€of€the€property.€ÐÂ^ (#(# ÐThis€circuit€has€found€that€the€following€instruction€complies€with€that€statute€and€the€applicableÐ $À Ðconstitutional€test€of€a€statutory€presumption:€Ð ¬ Ðà0  àà ` àSection€659€of€Title€18€of€U.S.C.A.€further€provides€that:€Ðr(#(# Ðà0  àà ` àTo€establish€the€interstate€.€.€.€commerce€character€of€any€shipment€.€.€.€the€waybillÐ Ôp Ðor€other€shipping€document€of€such€shipment€shall€be€prima€facie€evidence€of€the€placeÐ À\ Ðfrom€which€and€to€which€such€shipment€was€made.ЬH(#(# Ðà0  àà ` à"Prima€facie€evidence"€means€sufficient€evidence,€unless€outweighed€by€otherÐ ª Ðevidence€in€the€case.€€In€other€words,€shipping€documents€such€as€invoices,€if€proved,€areÐ ú– Ðsufficient€to€show€the€interstate€commerce€character€of€the€shipment,€in€the€absence€ofÐ æ‚ Ðevidence€in€the€case€which€leads€the€jury€to€a€different€or€contrary€conclusion.ÐÒn(#(# ÐòòUnited€States€v.€Franklinóó,€568€F.2d€1156,€1157€(8th€Cir.€1978).€€òòSee€furtheróó€CommitteeÐ 4 Ð  ÐComments,€Instruction€4.13,€òòsupraóó,€relating€to€instructions€on€statutory€inferences.€€òòSee€alsoóó€š2Ð  !¼! ÐKevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rmï #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r·ï #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rþï #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rMð #Ô:€€Criminal€ðððð34.05,Ð  "¨" Ð34.07€(5th€ed.€2000).€Ð ø"”# Ðà  à5.€€This€definition€of€value€is€contained€in€18€U.S.C.€ðð€641€and€has€been€held€applicableÐ Z$ö% Ðto€section€659.€€òòUnited€States€v.€Watsonóó,€570€F.2d€282,€283-84€(8th€Cir.€1978).€Ð F%â& ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¨&D ( Ðà  àòòSeeóó€òòUnited€States€v.€Beckóó,€659€F.2d€875€(8th€Cir.€Ô'N¨&Ýñ Ô1981);€òòUnited€States€v.€Mavrickóó,€601Ð  (¦!* ÐF.2d€921,€927€(7th€Cir.€1979).€Ð ö(’"+ Ðâ âà  àòòSeeóó€Committee€Comments,€Instruction€6.18.659A,€òòsupraóó.€Ð X*ô#- Ðà  àThe€goods€must€be€part€of€an€interstate€shipment€only€when€stolen;€it€is€not€necessary€thatÐ d Ðâ âthey€be€so€when€the€receiving€or€possession€occurs.€€òòUnited€States€v.€Tyersóó,€487€F.2d€828,€830Ð Pì Ð(2d€Cir.€1973);€òòWiner€v.€United€Statesóó,€228€F.2d€944,€947€(6th€Cir.€1956);€òòUnited€States€v.Ð <Ø ÐGollinóó,€166€F.2d€123,€125€(3d€Cir.€1948).Ð ( Ä Ðà  àThe€defendant€must€know€that€the€goods€were€stolen,€but€need€not€know€they€were€stolenÐ Š & Ðfrom€an€interstate€shipment.€€òòUnited€States€v.€Allegrettióó,€340€F.2d€243,€247€(7th€Cir.€1964).€Ð v  ÐPossession€of€recently€stolen€goods€gives€rise€to€a€permissible€inference€of€knowledge€that€theÐ b þ Ðgoods€are€stolen€unless€possession€is€otherwise€explained.€€òòUnited€States€v.€Humphreyóó,€696€F.2dÐ N ê Ð72,€74€(8th€Cir.€1982);€òòUnited€States€v.€Duganóó,€477€F.2d€140,€142€(8th€Cir.€1973).€€òòSeeóóÐ :Ö  ÐCommittee€Comments,€Instruction€4.13,€òòsupraóó.€Ð &  Ðà  àPossession€may€be€sole€or€joint€and€includes€both€actual€and€constructive€possession.€Ð ˆ$  ÐòòUnited€States€v.€Duganóó,€477€F.2d€at€141,€which€defined€constructive€possession€as€"knowinglyÐ t  Ðhaving€both€the€power€and€the€intention€at€a€given€time€to€exercise€dominion€or€control€over€theÐ `ü  Ðproperty."€€òòSeeóó€Instruction€8.02,€òòinfraóó,€for€an€instruction€defining€possession.€Ð Lè  Ðà  àIf€the€defendant€claims€innocent€possession€the€burden€is€on€the€defendant€to€produceÐ ®J Ðsuch€evidence€and€raise€it€as€a€defense;€it€is€not€an€element€of€the€crime€to€be€proved€by€theÐ š6 Ðgovernment.€€òòUnited€States€v.€Mavrickóó,€601€F.2d€921,€926-27€(7th€Cir.€1979).€Ð  †" ÐÖ€caìrÖÓ €Óà@…… ìàò òÔ% €  ÔÔ  Ô6.18.666A.€€THEFT€CONCERNING€A€PROGRAM€RECEIVING€FEDERAL€FUNDS€ˆÐ d Ðà@®®ìà(18€U.S.C.€ðð€666(a)(1)(A))Ô €o.û Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[embezzlement]€[theft]€[fraud]€[conversion]€[misapplication]€concerning€aÐ ( Ä Ðprogram€receiving€Federal€funds,€as€charged€in€[Count€___€of]€the€indictment,€has€four€elements,Ð Š & Ðwhich€are:€Ð ì ˆ Ðà  àòòOneóó:€€the€defendant€was€an€agent€of€(name€of€organization,€agency€or€governmental€unit);€Ð N ê  Ðà  àòòTwoóó:€€[on€or€about€(insert€date)]€[during€the€period€between€(insert€beginning€and€endingÐ °L  Ðdates)],€the€defendant€[embezzled]€[stole]€[obtained€by€fraud]€[converted€to€the€use€of€(name€ofÐ ®  Ðperson)€without€authority]€[intentionally€misapplied]òò1óó€property€of€a€valueòò2óó€of€$5,000€or€more€[asÐ t  Ðpart€of€a€single€scheme€or€plan];òò3óóÐ Ör  Ðà  àòòThreeóó:€€the€property€was€[owned€by]€[under€the€(care)€(custody)€(control)]€of€(name€ofÐ 8Ô  Ðorganization,€agency€or€governmental€unit);Ð š6 Ðà  àòòFouróó:€€(name€of€organization,€agency€or€governmental€unit)€received€benefits€in€excess€ofÐ ü˜ Ð$10,000€in€the€one„year€period€beginning€(insert€date),€pursuant€to€a€federal€program€involving€aÐ ^ú Ð[grant]€[contract]€[subsidy]€[loan]€[guarantee]€[insurance]€[(describe€some€other€form€of€federalÐ À\ Ðassistance)].Ð "¾ Ðà  àAs€used€in€this€instruction,€the€term€"agent"€means€a€person€authorized€to€act€on€behalf€ofÐ „  Ð(insert€name€of€organization,€agency€or€governmental€unit)€and€includes€[(an)€(a)]€[employee]Ð æ‚! Ð[partner]€[director]€[officer]€[manager]€[representative].òò4óóÐ Hä# Ðà  à[To€"embezzle"€means€knowingly,€voluntarily€and€intentionally€to€take,€or€to€convert€toÐ ª F% Ðone's€own€use,€the€property€of€another€which€came€into€the€defendant's€possession€lawfully.]òò5óóÐ  "¨' Ðà  à[To€"steal"€means€knowingly€to€take€with€the€intent€to€deprive€the€owner€permanently€orÐ n# ) Ðtemporarily€of€the€rights€and€benefits€of€ownership.]òò6óóÐ Ð$l+ Ðà  à[To€"obtain€by€fraud"€means€to€act€knowingly€and€with€intent€to€deceive€or€cheat,€usuallyÐ 2&Î- Ðfor€the€purpose€of€causing€a€financial€loss€to€someone€else€or€bringing€about€a€financial€gain€toÐ ”'0!/ Ðoneself€or€another.]òò7óó€Ð ö(’"1 Ðà  à["Conversion"€means€the€deliberate€taking€or€retaining€of€the€money€or€property€ofÐ X*ô#3 Ðanother€with€the€intent€to€deprive€the€owner€of€its€use€or€benefit€either€temporarily€orÐ º+V%5 Ðpermanently.€€Conversion€includes€the€misuse€or€abuse€of€property€as€well€as€use€in€anÐ d Ðunauthorized€manner€or€to€an€unauthorized€extent.]òò8óóÐ Æb Ðà  à[To€"misapply"€means€to€use€the€funds€or€property€of€(name€of€organization,€agency€orÐ ( Ä Ðgovernmental€unit)€knowing€that€such€use€is€unauthorized,€or€unjustifiable€or€wrongful.€Ð Š & ÐMisapplication€includes€the€wrongful€taking€or€use€of€the€money€or€property€of€(name€ofÐ ì ˆ Ðorganization,€agency€or€governmental€unit)€by€its€agent€for€[(his)€(her)€own€benefit]€[the€use€orÐ N ê  Ðbenefit€of€some€other€person]òò9óó€[an€unauthorized€purpose,€even€if€such€use€benefitted€(name€ofÐ °L  Ðorganization,€agency€or€governmental€unit)].òò10óóÐ ®  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ t  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ör  Ðà  à1.€€When€alternative€means€of€commission€of€the€crime€are€charged€and€submitted,€òòseeóóÐ 8Ô  ÐFed.€R.€Crim.€P.€7(c)(1)€and€Committee€Comments€to€Instruction€11.02,€òòinfraóó;€Note€2,Ð $À ÐInstruction€6.18.1341,€Ô'&Öq Ôòòinfraóó;€and€Note€4,€Instruction€6.18.1951,€òòinfraóó.€€If€two€or€more€means€areÐ ¬ Ðsubmitted€to€the€jury,€consideration€should€be€given€to€whether€a€unanimity€instruction€isÐ ü˜ Ðappropriate.Ð è„ Ðà  à2.€€A€definition€of€the€term€"value"€can€be€found€in€Instruction€6.18.641,€òòsupraóó.Ð Jæ Ðà  à3.€€"Under€section€666,€where€multiple€conversions€are€part€of€a€single€scheme,€it€seemsÐ ¬H Ðappropriate€to€aggregate€the€value€of€property€stolen€in€order€to€reach€the€$5,000€minimumÐ ˜4 Ðrequired€for€prosecution."€€òòUnited€States€v.€Sandersonóó,€966€F.2d€184,€189€(6th€Cir.€1992);€òòseeÐ „  Ðalsoóó€òòUnited€States€v.€Billingsleaóó,€603€F.2d€515,€520€(5th€Cir.€1979)€("[F]ormulation€of€a€plan€orÐ p  Ðscheme€or€setting€up€of€a€mechanism€which,€when€put€into€operation,€will€result€in€the€taking€orÐ \ø  Ðdiversions€of€sums€of€money€on€a€recurring€basis€will€produce€but€one€crime€[under€ðð665].");Ð Hä! ÐòòUnited€States€v.€Brownóó,€521€F.€Supp.€511€(W.D.€Wis.€1981)€(a€continuing€course€of€conductÐ 4 Ð" Ðreflecting€a€single€intent€may€be€prosecuted€in€a€single€aggregate€count€for€violations€of€18Ð  !¼# ÐU.S.C.€ðð€665).Ð  "¨$ Ðà  à4.€€òòSeeóó€18€U.S.C.€ðð€666(d)(1).€€The€Committee€recommends€that€the€definition€of€"agent"Ð n# & Ðbe€tailored€to€conform€to€the€facts€of€each€case€by€selecting€one€or€more€of€the€alternatives€inÐ Z$ö' Ðsection€666(d)(1)€that€have€been€established€by€the€evidence.€€Ð F%â( Ðà  à5.€€òòSeeóó€Instruction€6.18.641,€òòsupraóó.€€This€definition€should€be€used€if€the€termÐ ¨&D * Ð"embezzled"€is€used€in€Element€Two.Ð ”'0!+ Ðà  à6.€€òòSeeóó€Instruction€6.18.659A,€òòsupraóó;€òòMorissette€v.€United€Statesóó,€342€U.S.€246,€271Ð ö(’"- Ð(1952).€€€This€definition€should€be€used€if€the€term€"stole"€is€used€in€Element€Two.Ð â)~#. Ðà  à7.€€òòSeeóó€Instruction€6.18.1341,€òòinfraóó.€€This€definition€should€be€used€if€the€term€"obtainedÐ D+à$0 Ðby€fraud"€is€used€in€Element€Two.Ð 0,Ì%1 Ðà  à8.€€òòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rL #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r“ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%râ #Ô:€Ð d ÐCriminal€ðð16.03€(5th€ed.€2000).€€This€definition€should€be€used€if€the€term€"converted"€is€used€inÐ Pì ÐElement€Two.Ð <Ø Ðà  à9.€€The€Dictionary€Act,€1€U.S.C.€ðð€1,€provides€in€relevant€part€"that€ððin€determining€theÐ ž : Ðmeaning€of€any€Act€of€Congress,€unless€the€context€indicates€otherwiseðð€ððpersonðð€includesÐ Š & Ðððassociationsðð€and€other€artificial€entities€such€as€corporations€and€societies."€€òòRowland€v.Ð v  ÐCalifornia€Menððs€Colony,óó€506€U.S.€194€(1993).Ð b þ Ðà  à10.€€òòSeeóó€Instruction€6.18.656,€òòsupraóó;€òòUnited€States€v.€Urlacheróó,€979€F.2d€935,€938€(2dÐ Ä `  ÐCir.€1992);€Instruction€6.18.2314,€òòinfraóó;€òòUnited€States€v.€Milleróó,€725€F.2d€462,€468€(8th€Cir.Ð °L  Ð1984).€€This€definition€should€be€used€if€the€term€"misapplied"€is€used€in€Element€Two.Ð œ8  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ þš  Ðà  àSection€666€was€"designed€to€create€new€offenses€to€augment€the€ability€of€the€UnitedÐ `ü  ÐStates€to€vindicate€significant€acts€of€theft,€fraud,€and€bribery€involving€Federal€monies€which€areÐ Lè  Ðdisbursed€Ô'&þ Ôto€private€organizations€or€State€and€local€governments€pursuant€to€a€federal€program."€Ð 8Ô  ÐS.€Rep.€No.€225,€at€369,€98th€Cong.,€2d€Sess.,€òòreprinted€inóó€1984€U.S.€Code€Cong.€&€Admin.Ð $À ÐNews€3182,€3510.€€"Thus€it€seems€Congress€intended€this€statute€to€augment€the€prosecutorialÐ ¬ Ðpowers€of€18€U.S.C.€ðððð€641€and€665."€€òòUnited€States€v.€Sandersonóó,€966€F.2d€184,€188€(6th€Cir.Ð ü˜ Ð1992).€€Ð è„ Ðà  àThe€Committee€believes€that€where€a€violation€of€18€U.S.C.€ðð€666€requires€proof€of€aÐ Jæ Ðspecific€intent€element,€the€requisite€intent€is€set€forth€in€the€applicable€definition.€€As€theÐ 6Ò Ðinstruction€is€drafted,€the€definition€of€the€term€used€in€Element€Two€is€required€to€supply€theÐ "¾ Ðappropriate€specific€intent.Ð ª Ðà  à"Conversion€.€.€.€may€be€consummated€without€any€intent€to€keep€and€without€anyÐ p  Ðwrongful€taking,€where€the€initial€possession€by€the€converter€was€entirely€lawful.€€ConversionÐ \ø Ðmay€include€misuse€or€abuse€of€property.€€It€may€reach€use€in€an€unauthorized€manner€or€to€anÐ Hä Ðunauthorized€extent€of€property€placed€in€one's€custody€for€limited€use.€€Money€rightfully€takenÐ 4 Ð Ðinto€one's€custody€may€be€converted€without€any€intent€to€keep€or€embezzle€it€merely€byÐ  !¼  Ðcommingling€it€with€the€custodian's€own,€if€he€was€under€a€duty€to€keep€it€separate€and€intact."€Ð  "¨! ÐòòMorissette€v.€United€Statesóó,€342€U.S.€246,€271„72€(1952).€€The€Committee€believes€that€in€mostÐ ø"”" Ðcases€"conversion"€is€among€the€types€of€criminal€activities€subsumed€within€the€ambit€ofÐ ä#€# Ð"misapplication."€€òòSee€United€States€v.€Kreppsóó,€605€F.2d€101,€104€(3d€Cir.€1979),€š1A€Kevin€F.Ð Ð$l$ ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r # #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rV# #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r# #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rì# #Ô:€€Criminal€ðððð€16.01,€16.03€(5th€ed.Ð ¼%X% Ð2000).Ð ¨&D & Ðà  à"The€language€in€Section€666€is€clear€that€it€is€not€an€element€of€this€crime€that€theÐ  (¦!( Ðgovernment€trace€the€$5,000€to€specific€federal€government€funds."€€òòUnited€States€v.€Smithóó,€659Ð ö(’") ÐF.€Supp.€833,€835€(S.D.€Miss.€1987).€€"Congress€specifically€chose€.€.€.€[to]€enact€a€criminalÐ â)~#* Ðstatute€that€would€eliminate€the€need€to€trace€the€flow€of€federal€monies€and€that€would€avoidÐ Î*j$+ Ðinconsistencies€caused€by€the€different€ways€that€various€federal€programs€disburse€funds€andÐ º+V%, Ðcontrol€their€administration."€€òòUnited€States€v.€Westmorelandóó,€841€F.2d€572,€576€(5th€Cir.€1988)Ð d Ð(Congress€desired€to€protect€the€integrity€of€federal€funds€by€assuring€the€integrity€of€theÐ Pì Ðorganization€or€agencies€that€receive€them);€òòsee€alsoóó€òòUnited€States€v.€Rooneyóó,€986€F.2d€31,€34Ð <Ø Ð(2d€Cir.€1993).€€Ð ( Ä Ðà  à"The€principal€policy€objective€behind€ðð€666€is€to€protect€the€integrity€of€the€vast€sums€ofÐ Š & Ðmoney€distributed€through€Federal€programs."€€òòUnited€States€v.€Rooneyóó,€986€F.2d€31,€34€(2d€Cir.Ð v  Ð1993).€€The€Senate€Judiciary€Committee€Report€accompanying€the€statute€states€that€"[t]heÐ b þ ÐCommittee€intends€that€the€term€'Federal€program€involving€a€grant,€a€contract,€a€subsidy,€a€loan,Ð N ê Ða€guarantee,€insurance€or€another€form€of€Federal€Assistance'€be€broadly€construed,€consistentÐ :Ö  Ðwith€the€purpose€of€this€section€to€protect€the€integrity€of€the€vast€sums€of€money€distributedÐ &  Ðthrough€Federal€programs€from€theft,€fraud,€and€undue€influence€by€bribery.€€However,€theÐ ®  Ðconcept€is€not€unlimited.€€The€term€'Federal€program'€means€that€there€must€exist€a€specificÐ þš  Ðstatutory€scheme€authorizing€the€Federal€assistance€in€order€to€promote€or€achieve€certain€policyÐ ê†  Ðobjectives."€€S.€Rep.€No.€225,€98th€Cong.,€2d€Sess.€369€(1984);€òòsee€alsoóó€òòUnited€States€v.€Peeryóó,Ð Ör  Ð977€F.2d€1230,€1232€(8th€Cir.€1992).Ð Â^  Ðà  à"The€term€'in€any€one„year€period'€means€a€continuous€period€that€commences€no€earlierÐ $À Ðthan€twelve€months€before€the€commission€of€the€offense€or€that€ends€no€later€than€twelveÐ ¬ Ðmonths€after€the€commission€of€the€offense.€€Such€period€may€include€time€both€before€and€afterÐ ü˜ Ðthe€commission€of€the€offense."€€18€U.S.C.€ðð€666(d)(5).Ð è„ Ðà  àSection€666(c)€was€added€by€amendment€in€1986€to€avoid€the€possible€application€of€theÐ Jæ Ðstatute€to€acceptable€commercial€and€business€practices,€and€the€provision€closely€parallels€theÐ 6Ò Ðbank€bribery€provision€found€in€18€U.S.C.€ðð€215.€€òòSeeóó€H.R.€Rep.€No.€797,€99th€Cong.,€2d€Sess.Ð "¾ Ð1986,€òòreprinted€inóó€1986€U.S.€Code€Cong.€&€Admin.€News,€6138,€6153.€€However,€this€provisionÐ ª Ðdoes€not€exempt€from€criminal€liability€the€willful€misappropriation€of€funds€that€are€used€forÐ ú– Ðotherwise€legitimate€purposes.€€"Section€666(a)(1)(A)€prohibits€embezzling,€stealing,€obtainingÐ æ‚ Ðby€fraud,€converting,€or€intentionally€misapplying€funds.€€The€first€four€prohibitions€cover€anyÐ Òn Ðpossible€taking€of€money€for€one's€own€use€or€benefit.€€Intentional€misapplication,€in€order€toÐ ¾Z Ðavoid€redundancy,€must€mean€intentional€misapplication€for€otherwise€legitimate€purposes;€if€itÐ ª F Ðwere€for€illegitimate€purposes,€it€would€be€covered€by€the€prohibitions€against€embezzlement,Ð –!2 Ðstealing,€obtaining€by€fraud,€or€conversion."€€òòUnited€States€v.€Urlacheróó,€979€F.2d€935,€938€(2dÐ ‚"  ÐCir.€1992).Ð  n# ! ÐÖ€ecìsÖÓ €Óà@bb ìàò òÔ% € ÔÔ  Ô6.18.666B.€€SOLICITATION€OR€ACCEPTANCE€OF€A€BRIBE€BY€AN€AGENT€ˆÐ d Ðà@ÔÔ ìàOF€A€PROGRAM€RECEIVING€FEDERAL€FUNDS€(18€U.S.C.€ðð€666(a)(1)(B))Ô hac4 Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[soliciting]€[demanding]€[accepting]€[agreeing€to€accept]€a€bribe€by€an€agentÐ ( Ä Ðof€a€program€receiving€Federal€funds,€as€charged€in€[Count€___€of]€the€indictment,€has€fourÐ Š & Ðelements,€which€are:€Ð ì ˆ Ðà  àòòOneóó:€€the€defendant€was€an€agent€of€(name€of€organization,€agency€or€governmental€unit);Ð N ê  Ðà  àòòTwoóó:€€[on€or€about€(insert€date)]€[during€the€period€between€(insert€beginning€and€endingÐ °L  Ðdates)],€the€defendant€corruptly€[[solicited]€[demanded]€for€the€benefit€of€[(name€of€person€orÐ ®  Ðentity)]€[another€person]òò1óó]€[[accepted]€[agreed€to€accept]€from€(name€of€person€or€entity)],Ð t  Ðsomething€of€value,€that€is€(describe€the€thing€of€value),€in€connection€with€(briefly€describe€inÐ Ör  Ðsummary€form€the€business,€transaction,€or€series€of€transactions,€e.g.,€a€contract€for€the€purchaseÐ 8Ô  Ðof€office€supplies);Ð š6 Ðà  àòòThreeóó:€€the€(business,€transaction(s),€e.g.,€the€contract)€involved€something€of€a€valueòò2óó€ofÐ ü˜ Ð$5,000€or€more;Ð ^ú Ðà  àòòFouróó:€€(name€of€organization,€agency€or€governmental€unit)€received€benefits€in€excess€ofÐ À\ Ð$10,000€in€the€one„year€period€beginning€(insert€date),€pursuant€to€a€federal€program€involving€aÐ "¾ Ð[grant]€[contract]€[subsidy]€[loan]€[guarantee]€[insurance]€[(describe€some€other€form€of€federalÐ „  Ðassistance)].Ð æ‚! Ðà  àAs€used€in€this€instruction,€the€term€"agent"€means€a€person€authorized€to€act€on€behalf€ofÐ Hä# Ð(insert€name€of€organization,€agency€or€governmental€unit)€and€includes€[(an)€(a)]€[employee]Ð ª F% Ð[partner]€[director]€[officer]€[manager]€[representative].òò3óóÐ  "¨' Ðà  àAs€used€in€this€instruction,€the€term€"corruptly"òò4óó€means€that€the€defendant€actedÐ n# ) Ðvoluntarily€and€intentionally€and[,€at€least€in€part,]òò5óó€in€return€for€being€[influenced€to]€[inducedÐ Ð$l+ Ðto]€[rewarded€for]€(describe€the€action€to€be€rewarded,€influenced€or€induced,€e.g.,€award€aÐ 2&Î- Ðcontract€for€the€purchase€of€office€supplies).€Ð ”'0!/ Ðà  à[A€"thing€of€value"€can€be€tangible€or€intangible€property.€€Intangible€property€rightsÐ ö(’"1 Ðinclude€any€valuable€right€considered€as€a€source€of€wealth,€and€include€the€right€to€exerciseÐ X*ô#3 Ðcontrol€over€how€money€is€spent.]òò6óóÐ º+V%5 Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ d ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Æb Ðà  à1.€€The€Dictionary€Act,€1€U.S.C.€ðð€1,€provides€in€relevant€part€"that€ððin€determining€theÐ ( Ä Ðmeaning€of€any€Act€of€Congress,€unless€the€context€indicates€otherwiseðð€ððpersonðð€includesÐ  ° ÐÔ'&Æm@ Ôððassociations€and€other€artificial€entities€such€as€corporations€and€societies."€€òòRowland€v.Ð  œ ÐCalifornia€Menððs€Colonyóó,€506€U.S.€194€(1993).€€The€Committee€believes€that€the€term€"person"Ð ì ˆ Ðas€defined€in€1€U.S.C.€ðð€1€applies€in€section€666,€and€that€the€instructions€should€be€modifiedÐ Ø t Ðaccordingly€when€the€intended€beneficiary€of€the€bribe€is€an€artificial€entity.Ð Ä `  Ðà  à2.€€A€definition€of€the€term€"value"€can€be€found€in€Instruction€6.18.641,€òòsupraóó.Ð &  Ðà  à3.€€òòSeeóó€18€U.S.C.€ðð€666(d)(1).€€The€Committee€recommends€that€the€definition€of€"agent"Ð ˆ$  Ðbe€tailored€to€conform€to€the€facts€of€each€case€by€selecting€one€or€more€of€the€alternatives€inÐ t  Ðsection€666(d)(1)€that€have€been€established€by€the€evidence.€€Ð `ü  Ðà  à4.€€òòSeeóó€Instruction€6.18.201B,€òòsupraóó.Ð Â^  Ðà  à5.€€Where€the€defendant€introduces€evidence€that€his€motive€was€proper,€it€is€appropriateÐ $À Ðfor€the€court€to€use€the€phrase€"at€least€in€part"€when€defining€the€term€"corruptly"€in€the€sectionÐ ¬ Ð666€verdict€directing€instruction.€€òòSeeóó€òòUnited€States€v.€Coyneóó,€4€F.3d€100,€113€(2d€Cir.€1993);Ð ü˜ ÐòòUnited€States€v.€Biaggióó,€909€F.2d€662,€683€(2d€Cir.€1990).€€("[A]€valid€purpose€that€partiallyÐ è„ Ðmotivates€a€transaction€does€not€insulate€participants€in€an€unlawful€transaction€from€criminalÐ Ôp Ðliability.")Ð À\ Ðà  à6.€€òòSeeóó€Note€7,€Instruction€6.18.641,€òòsupraóó;€òòUnited€States€v.€Shyresóó,€898€F.2d€647,€652Ð "¾ Ð(8th€Cir.€1990).€€Where€the€evidence€establishes€that€intangible€property€rights€were€illegallyÐ ª Ðusurped€by€the€defendant,€the€jury€instructions€should€be€modified€accordingly.Ð ú– ÐÔ& & Ôà@55!ìàò òCommittee€CommentsˆÐ \ø Ðó óà  àSection€666€was€"designed€to€create€new€offenses€to€augment€the€ability€of€the€UnitedÐ ¾Z  ÐStates€to€vindicate€significant€acts€of€theft,€fraud,€and€bribery€involving€Federal€monies€which€areÐ ª F! ÐÔ'&\}I Ôdistributed€to€private€organizations€or€State€and€local€governments€pursuant€to€a€FederalÐ –!2" Ðprogram."€€S.€Rep.€No.€225€at€369,€98th€Cong.,€2d.€Sess.,€òòreprinted€inóó€1984€U.S.€Code€Cong.€&Ð ‚"# ÐAdmin.€News,€3182,€3510.€€Congress€intended€that€this€statute€augment€the€prosecutorial€powersÐ n# $ Ðof€18€U.S.C.€ðððð€201,€641€and€665.€€òòId.óó;€òòsee€alsoóó€òòUnited€States€v.€Sandersonóó,€966€F.2d€184,€188Ð Z$ö% Ð(6th€Cir.€1992).€€Ð F%â& Ðà  àSection€666€applies€to€both€illegal€gratuities€and€bribes.€€Under€the€former€version€ofÐ ¨&D ( Ðsection€666,€where€the€payment€was€illegal€if€it€was€made€"for€or€because€of"€the€recipient'sÐ ”'0!) Ðofficial€conduct,€the€statute€applied€to€"both€past€acts€supporting€a€gratuity€theory€and€future€actsÐ €("* Ðnecessary€for€a€bribery€theory."€€òòUnited€States€v.€Crozieróó,€987€F.2d€893,€898„99€(2d€Cir.€1993).€Ð l)#+ Ð"[U]nder€the€current€version,€the€payment€must€be€'to€influence€or€reward'€the€official€conduct.€Ð X*ô#, Ðâ âThus,€the€current€statute€continues€to€cover€payments€made€with€intent€to€reward€past€officialÐ D+à$- Ðconduct,€so€long€as€the€intent€to€reward€is€corrupt."€€òòUnited€States€v.€Bonitoóó,€57€F.3d€167€(2d€Cir.Ð d Ð1995).Ð Pì Ðâ âà  à"The€term€'thing€of€value'€used€in€ðð€666[(a)(1)(B)€and€(a)(2)]€...€has€long€been€construedÐ ²N Ðin€other€federal€criminal€statutes€to€embrace€intangibles....€€The€valuation€of€intangibles€is€aÐ ž : Ðtraditional€challenge€which€has€routinely€been€met€by€courts€in€the€past,€e.g.,€with€respect€to€theÐ Š & Ðjurisdictional€amount€requirements€for€diversity€jurisdiction€under€28€U.S.C.€ðð€1332,€and€indeed,Ð v  Ðin€federal€question€cases€under€28€U.S.C.€ðð€1331€prior€to€1980.€€The€value€of€a€right€to€engage€inÐ b þ Ða€business€activity€has€been€recognized€as€subject€to€reasonable€estimation."€€òòUnited€States€v.Ð N ê ÐMongellióó,€794€F.€Supp.€529,€531€(S.D.N.Y.€1992);€òòsee€alsoóó€òòUnited€States€v.€Marmolejoóó,€89€F.3dÐ :Ö  Ð1185,€1191€(5th€Cir.€1996),€òòcert.€granted€sub€nom.,€Salinas€v.€United€Statesóó,€522€U.S.€52€(1997);Ð &  ÐòòMorissette€v.€United€Statesóó,€342€U.S.€246€(1952);€òòUnited€States€v.€Mayóó,€625€F.2d€186,€191€(8thÐ ®  ÐCir.€1980).Ð þš  Ðà  à"The€term€'in€any€one„year€period'€means€a€continuous€period€that€commences€no€earlierÐ `ü  Ðthan€twelve€months€before€the€commission€of€the€offense€or€that€ends€no€later€than€twelveÐ Lè  Ðmonths€after€the€commission€of€the€offense.€€Such€period€may€include€time€both€before€and€afterÐ 8Ô  Ðthe€commission€of€the€offense."€€18€U.S.C.€ðð€666(d)(5).Ð $À Ðà  àThe€circuits€are€split€on€the€issue€of€whether€the€United€States€must€show€a€tracing€ofÐ †" Ðfederal€funds€in€bribery€cases€charged€under€section€666(a)(1)(B).òò€€Compareóó€òòUnited€States€v.Ð r ÐSimasóó,€937€F.2d€459,€463€(9th€Cir.€1991)€(in€cases€charged€under€section€666,€federal€funds€needÐ ^ú Ðnot€be€traced€to€project€affected€by€bribe,€nor€is€it€necessary€to€show€that€the€defendant€hadÐ Jæ Ðauthority€to€administer€federal€funds);€òòUnited€States€v.€Foleyóó,€73€F.3d€484,€492€(2d€Cir.€1996)Ð 6Ò Ð(no€violation€of€section€666(a)(1)(B)€where€the€conduct€at€issue€affects€neither€the€federalÐ "¾ Ðprogram€funds€received€by€a€protected€organization€nor€the€receiving€organizationððs€financialÐ ª Ðinterests.€€The€Supreme€Court€has€granted€òòcertiorarióó€to€examine€the€question€of€what€kinds€ofÐ ú– Ðcases€involving€state€employees€are€subject€to€prosecution€under€the€Federal€Bribery€Statute€andÐ æ‚ Ðwhether€such€cases€include€those€where€no€federal€funds€are€disbursed€or€impinged.€€òòUnitedÐ Òn ÐStates€v.€Marmoleóójo,€89€F.3d€1185€(5th€Cir.€1996),€òòcert.€granted€sub€nom.€Salinas€v.€UnitedÐ ¾Z ÐStatesóó,€522€U.S.€52€(1997).Ð ª F Ðà  à"Corruptly"€has€been€defined€as€offering€anything€of€value€"for€the€purpose€of€influencingÐ  "¨  Ðofficial€action."€€Seventh€Circuit€Federal€Jury€Instructions:€€Criminal€at€.216„17€(1999).€€InÐ ø"”! ÐòòBonitoóó,€"[t]he€court€specifically€instructed€that€the€government€had€to€prove€that€[the€defendant]Ð ä#€" Ðacted€with€corrupt€intent,€which€it€defined€as€actingÐ Ð$l# Ðà0  àvoluntarily€and€intentionally€and€with€the€purpose,€at€least€in€part,€of€accomplishing€eitherÐ 2&Î% Ðan€unlawful€end€result€or€a€lawful€end€result€by€some€unlawful€method€or€means.€€AÐ 'º & Ðperson€acts€corruptly,€for€example,€when€he€gives€or€offers€to€give€something€of€valueÐ  (¦!' Ðintending€to€influence€or€reward€a€government€agent€in€connection€with€his€officialÐ ö(’"( Ðduties.ððÐâ)~#)(#(# ÐòòUnited€States€v.€Bonitoóó,€57€F.3d€at€171;€òòsee€alsoóó€Committee€Comments€to€Instruction€6.18.201B,Ð D+à$+ Ðòòsupraóó,€for€a€discussion€of€"corruptly"€in€18€U.S.C.€ðð€201,€bribery€of€a€public€official.Ð 0,Ì%, Ðà  àThe€Senate€Judiciary€Committee€Report€accompanying€the€statute€states€that€"[t]heÐ d ÐCommittee€intends€that€the€term€'Federal€program€involving€a€grant,€a€contract,€a€subsidy,€a€loan,Ð Pì Ða€guarantee,€insurance€or€another€form€of€Federal€Assistance'€be€broadly€construed,€consistentÐ <Ø Ðwith€the€purpose€of€this€section€to€protect€the€integrity€of€the€vast€sums€of€money€distributedÐ ( Ä Ðthrough€Federal€programs€from€theft,€fraud,€and€undue€influence€by€bribery.€€However,€theÐ  ° Ðconcept€is€not€unlimited.€€The€term€'Federal€program'€means€that€there€must€exist€a€specificÐ  œ Ðstatutory€scheme€authorizing€the€Federal€assistance€in€order€to€promote€or€achieve€certain€policyÐ ì ˆ Ðobjectives."€€S.€Rep.€No.€225,€98th€Cong.,€2d€Sess.€369€(1984);€òòsee€alsoóó€òòUnited€States€v.€Peeryóó,Ð Ø t Ð977€F.2d€1230,€1232€(8th€Cir.€1992).Ð Ä ` Ðà  àSection€666(c)€was€added€by€amendment€in€1986€to€avoid€the€possible€application€of€theÐ &  Ðstatute€to€acceptable€commercial€and€business€practices,€and€the€provision€closely€parallels€theÐ ®  Ðbank€bribery€provision€found€in€18€U.S.C.€ðð€215.€€òòSeeóó€H.R.€Rep.€No.€797,€99th€Cong.,€2d€Sess.Ð þš  Ð1986,€òòreprinted€inóó€1986€U.S.€Code€Cong.€&€Admin.€News,€6138,€6153.Ð  ê†  ÐÖ€geìtÖÓ €Óà@( ( ìàò òÔ% € ÔÔ  Ô6.18.666C.€€BRIBERY€OF€AN€AGENT€OF€A€PROGRAM€ˆÐ d Ðà@ƒ ƒ ìàRECEIVING€FEDERAL€FUNDS€(18€U.S.C.€ðð€666(a)(2))Ô ha*f Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€bribery€of€an€agent€of€a€program€receiving€Federal€funds,€as€charged€inÐ ( Ä Ð[Count€___€of]€the€indictment,€has€four€elements,€which€are:€Ð Š & Ðà  àòòOneóó:€€(name€of€agent)€was€an€agent€of€(name€of€organization,€agency€or€governmentalÐ ì ˆ Ðunit);Ð N ê  Ðà  àòòTwoóó:€€the€defendant€corruptly€[gave]€[offered]€[agreed€to€give]€(describe€the€thing€ofÐ °L  Ðvalue)€to€(name€of€recipient)€in€connection€with€(briefly€describe€in€summary€form€the€business,Ð ®  Ðtransaction,€or€series€of€transactions,€e.g.,€a€contract€for€the€purchase€of€office€supplies);Ð t  Ðà  àòòThreeóó:€€the€(describe€business€or€transaction(s),€e.g.,€the€contract)€involved€something€of€aÐ Ör  Ðvalueòò1óó€of€$5,000€or€more;Ð 8Ô  Ðà  àòòFouróó:€€(name€of€organization,€agency€or€governmental€unit)€received€benefits€in€excess€ofÐ š6 Ð$10,000€in€the€one„year€period€beginning€(insert€date),€pursuant€to€a€federal€program€involving€aÐ ü˜ Ð[grant]€[contract]€[subsidy]€[loan]€[guarantee]€[insurance]€[(describe€some€other€form€of€federalÐ ^ú Ðassistance)].Ð À\ Ðà  àAs€used€in€this€instruction,€the€term€"agent"€means€a€person€authorized€to€act€on€behalf€ofÐ "¾ Ð(insert€name€of€organization,€agency€or€governmental€unit)€and€includes€[(an)€(a)]€[employee]Ð „  Ð[partner]€[director]€[officer]€[manager]€[representative].òò2óóÐ æ‚! Ðà  àAs€used€in€this€instruction,€the€term€"corruptly"òò3óó€means€that€the€defendant€actedÐ Hä# Ðvoluntarily€and€intentionally€and[,€at€least€in€part,]òò4óó€to€[influence]€[induce]€[reward]€(name€ofÐ ª F% Ðagent)€[to]€[for]€(describe€the€action€to€be€rewarded,€influenced€or€induced,€e.g.,€award€a€contractÐ  "¨' Ðfor€the€purchase€of€office€supplies).€Ð n# ) Ðà  à[A€"thing€of€value"€can€be€tangible€or€intangible€property.€€Intangible€property€rightsÐ Ð$l+ Ðinclude€any€valuable€right€considered€as€a€source€of€wealth,€and€include€the€right€to€exerciseÐ 2&Î- Ðcontrol€over€how€money€is€spent.]òò5óóÐ ”'0!/ Ðâ âà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ö(’"1 ÐÔ& ° Ôâ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€A€definition€of€the€term€"value"€can€be€found€in€Instruction€6.18.641,€òòsupraóó.Ð Æb ÐÔ'°dÍp Ôà  à2.€€òòSeeóó€18€U.S.C.€ðð€666(d)(1).€€The€Committee€recommends€that€the€definition€of€"agent"Ð ( Ä Ðbe€tailored€to€conform€to€the€facts€of€each€case€by€selecting€one€or€more€of€the€alternatives€inÐ  ° Ðsection€666(d)(1)€that€have€been€established€by€the€evidence.Ð  œ Ðà  à3.€€òòSeeóó€Instruction€6.18.201A,€òòsupraóó,€and€Committee€Comments€to€Instruction€6.18.201A,Ð b þ Ðòòsupraóó,€for€a€discussion€of€"corruptly"€in€18€U.S.C.€ðð€201,€bribing€a€public€official.Ð N ê  Ðà  à4.€€Where€the€defendant€introduces€evidence€that€his€motive€was€proper,€it€is€appropriateÐ °L  Ðfor€the€court€to€use€the€phrase€"at€least€in€part"€when€defining€the€term€"corruptly"€in€the€sectionÐ œ8  Ð666€verdict€directing€instruction.€€òòSeeóó€òòUnited€States€v.€Coyneóó,€4€F.3d€100,€113€(2d€Cir.€1993);Ð ˆ$  ÐòòUnited€States€v.€Biaggióó,€909€F.2d€662,€683€(2d€Cir.€1990).€€("[A]€valid€purpose€that€partiallyÐ t  Ðmotivates€a€transaction€does€not€insulate€participants€in€an€unlawful€transaction€from€criminalÐ `ü  Ðliability.")Ð Lè  Ðà  à5.€€òòSeeóó€Note€7,€Instruction€6.18.641,€òòsupraóó;€òòUnited€States€v.€Shyresóó,€898€F.2d€647,€652Ð ®J Ð(8th€Cir.€1990).€€Where€the€evidence€establishes€that€intangible€property€rights€were€illegallyÐ š6 Ðusurped€by€the€defendant,€the€jury€instructions€should€be€modified€accordingly.Ð †" ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ è„ Ðà  àòòSeeóó€Committee€Comments€in€Instruction€6.18.666B,€òòsupraóó.Ô'NèÊw ÔÐ  Jæ ÐÖ€igìuÖÓ €Óà@  ìàò òÔ% € ÔÔ  Ô6.18.751.€€ESCAPE€FROM€CUSTODY€(18€U.S.C.€ðð€751(a))Ô haØx Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€escape€from€custody,€as€charged€in€[Count€òò€€óó€of]€the€indictment,€has€threeÐ <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€was€[in€the€custodyòò1óó€of€(describe€the€custodian,€e.g.,€the€AttorneyÐ  œ ÐGeneral,€the€Bureau€of€Prisons,€a€Special€Agent€of€the€Federal€Bureau€of€Investigation)]Ð b þ Ð[confined€in€(name€of€the€institution€in€which€the€defendant€was€confined)];€Ð Ä `  Ðà  àòòTwo,€óóthe€[custody]€[confinement]€was€by€virtue€of€(describe€the€authority€for€the€custody,Ð &  Ðe.g.,€a€felony€conviction,€an€arrest€for€a€misdemeanor,€etc.)òò2óó;€and€Ð ˆ$  Ðà  à[òòTwoóó]€[òòThreeóó],€the€defendant€[left]€[attemptedòò3óó€to€leave]€custody€without€authorization;Ð ê†  Ðand€Ð Lè  Ðà  à[òòThreeóó]€[òòFouróó],€in€so€doing,€the€defendant€knew€that€he€was€[leaving]€[attempting€toÐ ®J Ðleave]€custody€without€authorization.€Ð ¬ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ r ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ôp Ðà  à1.€€In€routine€cases€where€custody€is€obvious,€no€definition€of€"custody"€should€beÐ 6Ò Ðneeded.€€In€other€cases,€where€custody€is€minimal€or€constructive,€a€definition€may€beÐ "¾ Ðappropriate.€Ð ª ÐÔ'ˆÔ@~ Ôà  à2.€€If€the€defendant€is€to€be€subject€to€the€five„year€maximum€sentence,€the€jury€must€findÐ p   Ðas€an€element€of€the€offense€that€he€was€in€custody€or€confinement€by€virtue€of€an€arrest€on€aÐ \ø! Ðcharge€of€felony,€or€conviction€of€any€offense.€€òòSee€Jones€v.€United€Statesóó,€526€U.S.€227€(1999);òòÐ Hä" ÐApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220€F.3d€926Ð 4 Ð# Ð(8òòthóó€Cir.€2000).Ð  !¼$ Ðà  à3.€€If€the€defendant€is€charged€with€attempt,€the€instructions€must€incorporate€ModelÐ ‚"& ÐInstruction€8.01€on€attempt.Ð n# ' ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ð$l) Ðà  àòòSeeóó€2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÖ‚ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r ƒ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rgƒ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¶ƒ #Ô:€€CriminalÐ 2&Î+ Ððððð35.01-.07€(5th€ed.€2000).Ô':Ð$R‚ ÔÐ 'º , Ðà  àAs€an€element€of€the€offense,€the€Government€is€obligated€to€establish€òòbothóó€the€fact€ofÐ €(". Ðcustody€òòandóó€the€authority€for€the€custody.€€òòUnited€States€v.€Richardsonóó,€687€F.2d€952€(7th€Cir.Ð l)#/ Ð1982);€òòsee€alsoóó€òòUnited€States€v.€Payneóó,€529€F.2d€1353,€1354-55€(8th€Cir.€1976).€€The€custodyÐ X*ô#0 Ðâ âmay€be€minimal€and,€indeed,€may€be€constructive.€€òòUnited€States€v.€Cluckóó,€542€F.2d€728,€731,Ð D+à$1 Ð736€(8th€Cir.€1976).€€The€defendant€cannot€raise€the€invalidity€or€impropriety€of€his€confinementÐ d Ðas€a€defense.€€òòId.óó€at€732.€Ð Pì Ðâ âà  àOut€of€an€abundance€of€caution,€many€courts€had€included€willfulness€as€an€element€ofÐ ²N Ðthis€offense.€€òòSee,€e.g.,€United€States€v.€Tapioóó,€634€F.2d€1092,€1094€(8th€Cir.€1980);€òòUnited€StatesÐ ž : Ðv.€Cluckóó.€€However,€the€Committee€believes€that€there€now€is€clear€precedent€for€requiring€onlyÐ Š & Ðknowledge€as€the€mental€state€for€this€offense.€€òòSeeóó€òòUnited€States€v.€Baileyóó,€444€U.S.€394,€407-08Ð v  Ð(1980).€€"[S]pecific€intent€is€not€an€element€of€the€offense€of€escape€under€section€751."€€òòUnitedÐ b þ ÐStates€v.€Tapioóó,€634€F.2d€at€1094.€Ð N ê Ðà  àAn€intentional€failure€to€return€to€confinement€is€an€"escape"€in€violation€of€section€751.€Ð °L  ÐòòUnited€States€v.€Baileyóó,€444€U.S.€at€413.€Ð œ8  Ðà  àAs€the€Supreme€Court€noted€in€òòBaileyóó,€444€U.S.€at€409-13,€a€defense€of€duress€orÐ þš  Ðnecessity€is€theoretically€available€in€escape€situations.€€Two€elements€are€involved€in€such€aÐ ê†  Ðdefense:€€(a)€that€the€defendant,€while€in€confinement,€was€confronted€with€a€threat€(presumablyÐ Ör  Ðlimited€to€threats€of€death€or€serious€bodily€harm)€so€imminent€that€leaving€custody€was€his€onlyÐ Â^  Ðreasonable€alternative;€and€(b)€that€the€defendant€made€a€bona€fide€effort€to€surrender€or€return€toÐ ®J Ðcustody€as€soon€as€the€claimed€duress€or€necessity€had€lost€its€coercive€force.€€òòSeeóó€òòUnited€StatesÐ š6 Ðv.€Jacksonóó,€838€F.2d€301,€302€(8th€Cir.€1988).€€As€with€the€defense€of€duress€in€other€settings,Ð †" Ðonce€the€defendant€has€introduced€sufficient€evidence€on€òòbothóó€these€points€to€put€the€defense€inÐ r Ðissue,€the€burden€may€be€upon€the€defense€to€prove€these€defenses€by€a€preponderance€of€theÐ ^ú Ðevidence.€€òòSee€Dixon€v.€United€Statesóó,€548€U.S.€1€(2006).€€òòSee€generallyóó€Instruction€9.02,€òòinfraóó.€Ð  Jæ ÐÓ €ÓÖ€kiìvÖÑ  Ñà@. . ìàò òÔ% € ÔÔ  Ô6.18.844.€€ARSON€OF€PROPERTY€USED€IN€OR€AFFECTING€ˆÐ d Ðà@ ìàINTERSTATE€COMMERCE€(No€Personal€Injury€Involved)Ô €o› Ô€òò1óóó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€arson€as€charged€in€[Count€___€of]€the€indictment€has€three€elements,€whichÐ ( Ä Ðare:Ð Š & Ðà  àòòOneóó,€the€defendant€[attempted€to]€[damage(d)]€(specify€the€particular€building,€vehicle,Ð ì ˆ Ðreal€or€personal€property€alleged€in€the€indictment)€by€[fire]€[using€an€explosiveòò2óó]€on€(date);Ð N ê  Ðà  àòòTwoóó,€the€defendant€did€so€maliciously;Ð °L  Ðà  àòòThreeóó,€at€the€time€of€the€[fire]€[explosion]€(specify€the€particular€building,€vehicle,€real€orÐ ®  Ðpersonal€property€alleged€in€the€indictment)€[was€used€in€(interstate)€(foreign)€commerce]òò3óó€[wasÐ t  Ðused€in€an€activity€affecting€interstate€commerce].Ð Ör  Ðà  àThe€term€ð ðmaliciouslyðð€as€used€in€this€instruction€means€to€intentionally€cause€damageÐ 8Ô  Ðwithout€just€cause€or€reason.Ð š6 Ðà  àThe€term€ð ðused€in€an€activity€affecting€interstate€commerceðð€means€active€use€of€theÐ ü˜ Ðproperty€for€commercial€purposes€and€not€a€passive,€passing€or€past€connection€to€commerce.€Ð ^ú Ð[You€may€find€an€effect€on€[interstate]€[foreign]€commerce€has€been€proven€if€you€find€from€theÐ À\ Ðevidence€beyond€a€reasonable€doubt:€€(describe€governmentððs€evidence€at€trial€of€effect€onÐ "¾ Ðinterstate€or€foreign€commerce,€òòe.g.óó,€that€the€building€was€used€as€rental€property.)]€òò4,€5óó€Ð „  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ æ‚! ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Hä# Ðà  à1.€€The€Committee€believes€that€arson€involving€serious€bodily€injury€or€death€shouldÐ ª F% Ðfollow€the€same€approach€adopted€by€the€United€States€Supreme€Court€in€òòJones€v.€United€Statesóó,Ð –!2& Ð526€U.S.€Ô'&HG— Ô227€(1999),€in€which€increased€penalties€for€ð ðserious€bodily€injuryðð€and€ð ðdeathðð€areÐ ‚"' Ðð ðdistinct€elements,€each€of€which€must€be€charged€by€indictment,€proven€beyond€a€reasonableÐ n# ( Ðdoubt,€and€submitted€to€a€jury€for€its€verdict.ðð€€òòSee€also€Apprendi€v.€New€Jerseyóó,€530€U.S.€466Ð Z$ö) Ð(2000).Ð F%â* Ðà  à2.€€The€term€ð ðexplosiveðð€is€defined€in€18€U.S.C.€ðð€844(j)€as€including€ð ðgunpowders,Ð ¨&D , Ðpowders€used€for€blasting,€all€forms€of€high€explosives,€blasting€materials,€fuses€(other€thanÐ ”'0!- Ðelectric€circuit€breakers),€detonators,€and€other€detonating€agents,€smokeless€powders,€otherÐ €(". Ðexplosive€or€incendiary€devices€.€.€.€and€any€chemical€compounds,€mechanical€mixture,€or€deviceÐ l)#/ Ðthat€contains€any€oxidizing€and€combustible€units,€or€other€ingredients,€in€such€proportions,Ð X*ô#0 Ðquantities,€or€packing€that€ignition€by€fire,€by€friction,€by€concussion,€by€percussion,€or€byÐ D+à$1 Ðdetonation€of€the€compound,€mixture,€or€device,€or€any€part€thereof€may€cause€an€explosion.ððÐ 0,Ì%2 Ðà  à3.€€In€òòUnited€States€v.€Reaóó,€169€F.3d€1111,€1113€(8th€Cir.€1999),€òòvacated€on€otherÐ d Ðgroundsóó,€530€U.S.€1201€(2000),€the€Eighth€Circuit€unequivocally€confirmed€that€the€interstateÐ Pì Ðcommerce€requirement€of€the€statute€is€an€element€of€the€offense€which€must€be€found€by€theÐ <Ø Ðjury,€rather€than€a€prerequisite€to€subject€matter€jurisdiction.Ð ( Ä Ðà  à4.€€The€Committee€believes€that€the€phrase€ð ðactive€employment€for€commercial€purposesððÐ Š & Ðcan€lead€to€jury€confusion€in€certain€cases€because€activities€that€courts€have€found€to€constituteÐ v  Ðactive€employment€(such€as€use€of€the€building€as€rental€property)€may€be€assumed€by€the€jury€toÐ b þ Ðbe€passive€in€nature.€€In€òòJones€v.€United€Statesóó,€529€U.S.€848€(2000)€(quoting€from€òòRussell€v.Ð N ê ÐUnited€Statesóó,€471€U.S.€858€(1985)),€the€Supreme€Court€stated€ð ðthe€òòRussellóó€opinion€went€on€toÐ :Ö  Ðobserve€however€that€ððby€its€terms€ðð€844(i)€applies€only€to€property€that€is€used€in€an€activity€thatÐ &  Ðaffects€commerce.€€The€rental€of€real€estate€is€unquestionably€such€an€activity.ðððð€€529€U.S.€848,Ð ®  Ð856.€€The€Committee€therefore€believes€that€the€following€language€should€also€be€added€in€anÐ þš  Ðappropriate€case:€€ð ð[You€may€find€an€effect€on€[interstate]€[foreign]€commerce€has€been€proven€ifÐ ê†  Ðyou€find€from€the€evidence€beyond€a€reasonable€doubt:€€(describe€governmentððs€evidence€at€trialÐ Ör  Ðof€effect€on€interstate€or€foreign€commerce,€òòe.g.óó,€that€the€building€was€used€as€rental€property.)]ðð€Ð Â^  ÐIf€this€form€of€instruction€is€used,€the€judge€should€make€a€finding€outside€the€presence€of€theÐ ®J Ðjury€that€the€particular€use€of€the€property€is€a€sufficient€use€to€affect€interstate€commerce.€Ð š6 Ðà  à5.€€In€òòUnited€States€v.€Jonesóó,€òòid.óó,€the€Supreme€Court€determined€that€section€844(Ô_ÔiÔ_Ô)ððsÐ ü˜ Ðqualification€that€a€building€must,€òòinter€aliaóó,€be€used€ð ðin€any€activity€affecting€interstate€orÐ è„ Ðforeign€commerceðð€means€ð ðactive€employment€for€commercial€purposes,€and€not€merely€aÐ Ôp Ðpassive,€passing,€or€past€connection€to€commerce.ðð€€The€Court€concluded€that€the€proper€inquiryÐ À\ Ðð ðððis€into€the€function€of€the€building€itself,€and€then€a€determination€of€whether€that€functionÐ ¬H Ðaffects€commerce.ðððð€€òòId.óó€(quoting€òòUnited€States€v.€Ryanóó,€9€F.3d€660,€675€(8th€Cir.€1993)€(Arnold,Ð ˜4 ÐC.J.,€concurring,€in€part,€and€dissenting,€in€part)).€€Clearly,€under€òòJonesóó,€arson€of€an€owner„Ð „  Ðoccupied€residential€property€connected€to€interstate€commerce€solely€by€virtue€of€interstateÐ p  Ðreceipt€of€utilities,€a€mortgage€and€an€insurance€policy€does€not€fall€under€section€844(I).€Ð \ø ÐFurther,€the€Eighth€Circuit€has€made€clear€that€all€buildings€must€be€ð ðused€inðð€commerce€in€orderÐ Hä Ðto€meet€the€requirements€of€section€844(i).€€òòUnited€States€v.€Reaóó,€223€F.3d€741€(8th€Cir.€2000)Ð 4 Ð Ð(church).€€This€issue€is€discussed€in€more€detail€in€òòUnited€States€v.€Rea€(Rea€III)óó,€No.€01„2177,Ð  !¼ Ðslip€op.€(8òòthóó€Cir.€Aug.€26,€2002).€€Compare€òòUnited€States€v.€Harrisóó,€221€F.3d€1048,€1050€n.2€(8thÐ  "¨ ÐCir.€2000).€€The€mere€status€of€being€owned€by€an€out„of„state€resident€does€not€constitute€activeÐ ø"”  Ðemployment€in€interstate€commerce,€nor€does€the€fact€that€the€building€is€about€to€be€placed€onÐ ä#€! Ðthe€market€for€sale,€nor€that€it€is€leased€by€a€person€to€his€wholly€owned€company€in€a€passiveÐ Ð$l" Ðlegal€arrangement,€nor€that€it€receives€natural€gas€from€an€out„of„state€provider.€€òòUnited€States€v.Ð ¼%X# ÐRyanóó,€227€F.3d€1058€(8th€Cir.€2000).Ð  ¨&D $ ÐÖ€mkìwÖÓ €Óà@·· ìàò òÔ% € ÔÔ  Ô6.18.912.€€IMPERSONATION€OF€A€FEDERAL€OFFICER€OR€EMPLOYEE€„€ˆÐ d Ðà@ê ê ìà[ACTING€AS]€[DEMANDING€SOMETHING€OF€VALUE]€ˆÐ Pì Ðà@  "ìà(18€U.S.C.€ðð€912)Ô  õ­ Ôó óˆÐ <Ø ÐÌà  àÓ€ÓThe€crime€of€impersonation€of€a€federal€[officer]€[employee],òò1óó€as€charged€in€[Count€òò€€€óó€of]Ð  ° Ðthe€indictment,€has€three€elements,€which€are:€Ð v  Ðà  àòòOneóó,€the€defendant€pretended€to€be€(describe€the€pretense,€e.g.,€a€special€agent€of€theÐ Ø t ÐF.B.I.);€and€Ð :Ö  Ðà  àòòTwoóó,€such€pretense€was€false€and€the€defendant€knew€it€was€false;òò2óó€and€Ð œ8  Ðà  àòòThreeóó,€the€defendant,€while€so€pretending,€[acted€with€the€intent€to€cause€a€person€toÐ þš  Ðfollow€some€course€of€action€or€inaction]òò3óó€[[demanded]€[obtained]€some€[money]€[paper]Ð `ü  Ð[document]€[thing€of€value]].òò4óó€Ð Â^  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ $À ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ †" Ðà  à1.€€The€statute€does€not€label€the€crime€"impersonation€of€a€federal€officer";€however,€thatÐ è„ Ðis€the€title€usually€associated€with€a€violation€of€18€U.S.C.€ðð€912.€Ð Ôp ÐÔ'œ†À² Ôà  à2.€€Although€the€statute€and€cases€do€not€expressly€state€that€the€defendant€must€know€theÐ 6Ò Ðpretense€was€false,€that€is€implicit€in€the€word€"pretend."€€òòSeeóó€2€Kevin€F.€OððMalley,€et€al.,Ð "¾ КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rë´ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r5µ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r|µ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r˵ #Ô:€€Criminal€ðð€38.04€(5th€ed.€2000).€€Ð ª Ðà  à3.€€Use€this€language€if€the€defendant€is€charged€with€"acting€as"€a€federal€officer.€€TheÐ p  Ðspecific€language€setting€forth€what€the€victim€did€or€did€not€do€may€be€substituted€for€the€moreÐ \ø  Ðgeneral€language€of€"following€some€course€of€action€or€inaction."€€The€exact€language€ofÐ Hä! ÐòòRobbinsóó,€613€F.3d€at€691,€that€"to€ððact€as€suchðð€would€be€the€equivalent€of€causing€ððthe€deceivedÐ 4 Ð" Ðperson€to€follow€some€course€he€would€not€have€pursued€but€for€the€deceitful€conduct,ðð"€is€notÐ  !¼# Ðused€because€it€is€confusing€and€because€the€government€is€not€required€to€prove€that€the€victimÐ  "¨$ Ðwould€not€have€followed€the€course€of€action€"but€for€the€pretense."€€Ð ø"”% Ðà  àThe€Committee€does€not€believe€that€òòRobbinsóó€intended€to€create€a€new€causationÐ Z$ö' Ðrequirement€for€this€statute.€€The€first€bracketed€matter€set€forth€in€Element€òòThreeóó€is€aÐ F%â( Ðmental-state€requirement,€not€a€causation€requirement.€€òòUnited€States€v.€Gilbertóó,€143€F.3d€397,Ð 2&Î) Ð398€(8òòthóó€Cir.€1998)€(jury€could€reasonably€infer€that€the€defendant€attempted€to€avoid€receiving€aÐ 'º * Ðtraffic€ticket€by€impersonating€a€federal€agent€and€falsely€implying€that€he€was€on€the€way€to€aÐ  (¦!+ Ðwork„related€emergency.€€"There€was€more€here€than€a€naked€representation,€more€than€mereÐ ö(’", Ðbravado€or€puffing.")Ð â)~#- Ðà  à4.€€Use€this€language€if€the€charge€is€that€the€defendant€obtained€something€of€value.€Ð D+à$/ ÐObtaining€property€by€impersonating€a€federal€official€is€a€separate€and€distinct€offense€fromÐ 0,Ì%0 Ð"acting€as"€a€federal€official.€€òòUnited€States€v.€Lepowitchóó,€318€U.S.€702,€704-05€(1943);€òòUnitedÐ d ÐStates€v.€Robbinsóó,€613€F.2d€688,€690€(8th€Cir.€1979).€€The€gravamen€of€the€offense€is€theÐ Pì Ðacquisition€of€something€of€value€because€of€the€defendant's€representation€that€he€was€a€federalÐ <Ø Ðofficer€or€employee.€€òòUnited€States€v.€Etheridgeóó,€512€F.2d€1249,€1253€(2d€Cir.€1975).€€The€"thingÐ ( Ä Ðof€value"€obtained€by€the€defendant€need€not€to€be€tangible;€information€can€be€a€thing€of€value.€Ð  ° ÐòòUnited€States€v.€Shekeróó,€618€F.2d€607,€609€(9th€Cir.€1980).€€Similarly,€forbearance€by€a€policeÐ  œ Ðofficer€of€issuing€a€traffic€ticket€is€a€thing€of€value.€€òòUnited€States€v.€Rippeeóó,€961€F.2d€677,€679Ð ì ˆ Ð(7òòthóó€Cir.€1992).Ð Ø t ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ :Ö  Ðà  àòòSeeóó€2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rWÁ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¡Á #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rèÁ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r7 #Ô:€€CriminalÐ œ8  Ððððð38.01„.06€(5th€ed.€2000).€€òòSee€generally€United€States€v.€Robbinsóó,€613€F.2d€688€(8th€Cir.Ð ˆ$  Ð1979);€òòUnited€Ô'&:ÓÀ ÔStates€v.€Gilbertóó,€143€F.3d€397€(8òòthóó€Cir.€1998).€€Ð t  Ðà  àAn€"intent€to€defraud"€need€not€be€specifically€alleged;€it€is€automatically€present€anyÐ Ör  Ðtime€the€other€elements€of€the€offense€are€proven,€òòUnited€States€v.€Gayleóó,€967€F.2d€483,€486„87Ð Â^  Ð(11òòthóó€Cir.€1992);€instead,€all€that€is€required€is€that€the€defendant€sought€to€cause€the€deceivedÐ ®J Ðperson€to€follow€some€course€he€would€not€have€pursued€but€for€the€deceitful€conduct.€€òòUnitedÐ š6 ÐStates€v.€Robbinsóó,€613€F.2d€at€690-92.€Ð †" Ðà  àIt€is€immaterial€that€the€officer€impersonated€lacked€the€authority€to€do€what€theÐ è„ Ðdefendant€did€or€purported€to€do,€òòThomas€v.€United€Statesóó,€213€F.2d€30,€31-32€(9th€Cir.€1954),€orÐ Ôp Ðthat€the€benefits€accrued€to€the€defendant€in€his€personal€capacity€rather€than€in€his€purportedÐ À\ Ðofficial€capacity.€€òòUnited€States€v.€Rippeeóó,€961€F.2d€677,€679€(7òòthóó€Cir.€1992).Ð  ¬H ÐÖ€omìxÖÓ €Óà@§§ ìàò òÔ% € ÔÔ  Ô6.18.922A.€€FELON€IN€POSSESSION€OF€FIREARM€(18€U.S.C.€ðð€922(g))Ô 11ØÇ Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€being€a€felonòò1óó€in€possession€of€a€firearm,€as€charged€in€[Count€òò€€€óó€of]€theÐ <Ø Ðindictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€had€been€convicted€of€a€crime€punishable€by€imprisonment€for€a€termÐ  œ Ðexceeding€one€year;Ð b þ Ðà  àòòTwoóó,€the€defendant€thereafter€knowinglyòò2óó€[possessed]€[received]€a€firearm,€that€isÐ Ä `  Ð(describe€weapon);€and€Ð &  Ðà  àòòThreeóó,€the€firearm€was€transported€across€a€state€line€at€some€time€during€or€before€theÐ ˆ$  Ðdefendant's€possession€of€it.Ð ê†  Ðà  à[You€are€instructed€that€(list€convictions€of€the€defendant,€e.g.,€burglary,€robbery)€[is]€[areÐ Lè  Ðeach]€[a]€crime[s]€punishable€by€imprisonment€for€more€than€one€year€under€the€laws€of€(listÐ ®J Ðjurisdiction,€e.g.,€State€of€Missouri).]òò3óó€Ð ¬ Ðà  à[You€are€instructed€that€the€Government€and€the€defendant€have€stipulated,€that€is,Ð r Ðagreed,€that€the€defendant€has€been€convicted€of€a€crime€punishable€by€imprisonment€for€moreÐ Ôp Ðthan€one€year€under€the€laws€of€(list€jurisdiction,€e.g.,€State€of€Missouri),€and€you€must€considerÐ 6Ò Ðthe€first€element€as€proven.]Ð ˜4 Ðà  àIf€you€have€found€beyond€a€reasonable€doubt€that€the€firearm€in€question€wasÐ ú–  Ðmanufactured€in€a€state€other€than€(name€state€in€which€possession€occurred)€and€that€theÐ \ø" Ðdefendant€possessed€that€firearm€in€the€State€of€(name€state€in€which€possession€occurred)€thenÐ ¾Z$ Ðyou€may,€but€are€not€required€to,€find€that€it€was€transported€across€a€state€line.òò4óóÐ  !¼& Ðà  àThe€term€"firearm"€means€any€weapon€(including€a€starter€gun)€which€will€or€is€designedÐ ‚"( Ðto€or€may€be€readily€converted€to€expel€a€projectile€by€the€action€of€an€explosive.òò5óóÐ ä#€* Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ F%â, ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¨&D . Ðà  à1.€€A€misdemeanor€crime€involving€domestic€abuse€may€also€be€actionable€under€thisÐ  (¦!0 Ðsection.€€òòSeeóó€18€U.S.C.€ðððð€921(33)(A)€and€922(g)(9).€€Ð ö(’"1 ÐÔ'œ¨&AÑ Ôà  à2.€€"Knowingly"€is€found€in€the€penalty€section€of€the€statute,€ðð€924.€Ð X*ô#3 Ðà  à3.€€Crimes€included€are€defined€in€section€921.€€Ð º+V%5 Ðà  à4.€€Adapted€generally€from€the€instruction€used€in€òòBarrett€v.€United€Statesóó,€423€U.S.€212Ð d Ð(1976),€òòseeóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r×Ó #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r!Ô #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rhÔ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r·Ô #Ô:€Ð Pì ÐCriminal€ðð39.14€(5th€ed.€2000).Ð <Ø Ðà  à5.€€This€definition€is€taken€from€18€U.S.C.€ðð€921(a)(3).€€Other€portions€of€this€definitionÐ ž : Ðshould€be€used€where€appropriate.€Ð Š & ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ì ˆ Ðà  àòòSee€Scarborough€v.€United€Statesóó,€431€U.S.€563€(1977);€òòBarrett€v.€United€Statesóó,€423Ð N ê  ÐU.S.€212,€215€n.4€(1976);€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r× #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r^× #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¥× #ÔÐ :Ö  ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rØ #Ô:€€Criminal€Ô'&ì Ö Ôðððð39.09„.15€(5th€ed.€2000).€Ð &  Ðà  àThe€Firearms€Owners'€Protection€Act€of€1986€amended€prior€section€922€by€incorporatingÐ ˆ$  Ðwith€it€related€provisions€of€18€U.S.C.€App.€ðð€1202(a)(l).€€òòSeeóó€House€Rep.€#99-495,€reprinted€inÐ t  Ð1986€U.S.€Code€Cong.€&€Admin.€News€1327,€1349.€€òòSee€generallyóó€Hardy,€òòThe€FirearmsÐ `ü  ÐOwners'€Protection€Act:€€A€Historical€and€Legal€Perspectiveóó,€17€Cumb.€L.€Rev.€585€(1987),€forÐ Lè  Ðan€extensive€discussion€of€the€legislative€history€of€this€amendment.€Ð 8Ô  Ðà  àIn€amending€section€922(g),€Congress€intended€both€to€"enhance€the€ability€of€lawÐ š6 Ðenforcement€to€fight€violent€crime"€and€to€"relieve€the€nation's€sportsmen€and€firearms€ownersÐ †" Ðand€dealers€from€unnecessary€burdens€under€the€Gun€Control€Act€of€1968."€€House€Report€atÐ r Ð1327.€€These€potentially€conflicting€goals,€coupled€with€a€long€and,€at€times€confusing,Ð ^ú Ðlegislative€history,€can€make€interpretation€of€this€statute€difficult.€€Ð Jæ Ðà  àPursuant€to€the€statute,€it€is€unlawful€for€any€person€who€has€been€convicted€of€a€crimeÐ ¬H Ðpunishable€by€imprisonment€for€a€term€exceeding€one€year€to€possess€or€receive€a€firearm€whereÐ ˜4 Ðthe€required€interstate€commerce€nexus€is€established.€€The€defendant€need€not€know€the€firearmÐ „  Ðwas€transported€across€state€lines.€€òòUnited€States€v.€Valiantóó,€873€F.2d€205€(8th€Cir.€1989).€Ð p  ÐChallenges€to€the€constitutionality€of€section€922(g)€on€the€theory€that€Congress€did€not€haveÐ \ø Ðconstitutional€authority€to€criminalize€possession€of€a€weapon€by€a€felon€just€because€the€weaponÐ Hä Ðhad€been€transported€in€interstate€commÔ_ÔerceÔ_Ô€have€been€unsuccessful.€€òòUnited€States€v.€Lopezóó,€514Ð 4 Ð ÐU.S.€549€(1995).€€òòSee,€e.g.,€United€States€v.€Monteleoneóó,€77€F.3d€1086€(8th€Cir.€1996);€òòUnitedÐ  !¼  ÐStates€v.€Rankinóó,€64€F.3d€338,€339€(8th€Cir.€1995);€òòUnited€States€v.€Mosbyóó,€60€F.3d€454,€456€(8thÐ  "¨! ÐCir.€1995).Ð ø"”" Ðà  àSection€921(a)(20)€indicates€that€what€constitutes€a€conviction€is€to€be€determined€byÐ Z$ö$ Ðreference€to€the€law€of€the€jurisdiction€in€which€proceedings€were€held.€€Moreover,€the€sectionÐ F%â% Ðprovides€that,€where€a€conviction€has€been€expunged€or€set€aside,€or€where€a€person€has€had€hisÐ 2&Î& Ðor€her€civil€rights€restored,€there€is€no€conviction€for€the€purposes€of€this€statute.€€With€regard€toÐ 'º ' Ðrestoration€of€civil€rights,€the€Eighth€Circuit€has€held€that€substantial,€not€total,€restoration€isÐ  (¦!( Ðrequired€to€remove€a€defendant€from€the€reach€of€the€statute,€but€further€held€that€disqualificationÐ ö(’") Ðfrom€serving€as€a€juror€and€in€certain€law€enforcement€positions€did€not€constitute€substantialÐ â)~#* Ðrestoration.€€òòPresley€v.€United€Statesóó,€851€F.2d€1052€(8th€Cir.€1988).€€For€a€discussion€of€theÐ Î*j$+ Ðdifferences€in€the€various€statutory€schemes€for€the€restoration€of€rights€in€other€jurisdictionsÐ º+V%, Ðwithin€this€circuit,€òòsee€United€States€v.€Traxellóó,€914€F.2d€119€(8th€Cir.€1990);€òòUnited€States€v.Ð d ÐWoodallóó,€120€F.3d€880€(8th€Cir.€1997).€€For€a€discussion€of€the€restoration€of€the€right€to€possessÐ Pì Ða€firearm,€òòsee€Caron€v.€United€Statesóó,€524€U.S.€308€(1998).€€Any€state€limitation€on€possession€ofÐ <Ø Ða€particular€type€of€firearm€by€an€offender€ð ðactivates€the€uniform€federal€ban€on€possessing€anyÐ ( Ä Ðfirearms€at€all.ðð€€òòCaron€v.€United€Statesóó,€524€U.S.€at€312.€€The€mere€absence€of€a€statuteÐ  ° Ðprohibiting€firearm€possession€by€ex„felons€does€not€constitute€a€restoration€of€civil€rights€forÐ  œ Ðpurposes€of€section€921(a)(20).€€òòUnited€States€v.€Mooreóó,€108€F.3d€878€(8th€Cir.€1997).€€Ð ì ˆ Ðà  àIn€òòOld€Chief€v.€United€Statesóó,€519€U.S.€172€(1997),€the€Supreme€Court€held€that€it€wasÐ N ê Ðerror€for€the€trial€court€to€refuse€to€accept€a€defendantððs€offer€of€stipulation€to€the€fact€of€a€priorÐ :Ö  Ðfelony€conviction€over€the€objection€of€the€prosecution€in€any€case€"in€which€the€prior€convictionÐ &  Ðis€for€an€offense€likely€to€support€conviction€on€some€improper€ground."€€In€appropriate€cases,Ð ®  Ðunder€òòOld€Chiefóó,€the€trial€court€may€be€compelled€to€accept€an€offer€to€stipulate€to€the€fact€of€aÐ þš  Ðprior€felony€conviction.€€òòSee,€e.g.,€United€States€v.€Blakeóó,€107€F.3d€651€(8th€Cir.€1997);€òòbut€seeÐ ê†  ÐOld€Chiefóó,€519€U.S.€at€196€(Justice€OððConnor€dissenting).Ð Ör  Ðà  àThe€Eighth€Circuit€has€not€decided€whether€justification€and€coercion€can€be€defenses€toÐ 8Ô  Ða€charge€under€section€922(g).€€See€òòUnited€States€v.€Blankenshipóó,€67€F.3d€673,€677€(8th€Cir.Ð $À Ð1995)€for€a€discussion€of€the€elements€of€both€defenses.€€Ð ¬ Ðà  àThe€Eighth€Circuit€held€in€òòUnited€States€v.€Richardsonóó,€439€F.3d€421€(8òòthóó€Cir.€2006),€thatÐ r Ðconvictions€under€ðð€922(g)(1)€and€(g)(3)€arising€out€of€the€same€act€of€possession€should€haveÐ ^ú Ðbeen€merged€for€sentencing,€because€Congress€did€not€intend€multiple€punishments€for€a€singleÐ Jæ Ðact€of€possession€of€a€firearm.Ð  6Ò ÐÖ€qoìyÖÓ €Óà@GGìàò òÔ% € ÔÔ  Ô6.18.922B.€€DRUG€USER€IN€POSSESSION€OF€FIREARM€(18€U.S.C.€ðð€922(g)(3))Ô HZï Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€being€a€[drug€user]òò€óó[drug€addict]òòóó€in€possession€of€a€firearm,€as€charged€inÐ <Ø Ð[Count€òò€€€óó€of]€the€indictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€[was€an€unlawful€user€of€a€controlled€substance,€that€is,€(name€ofÐ  œ Ðsubstance)]òò1óó€[was€a€drug€addict]òò2óó;Ð b þ Ðà  àòòTwoóó,€the€defendant€knowinglyòò3óó€[possessed]€[received]€[a€firearm]€[ammunition],€that€isÐ Ä `  Ð(describe€weapon€or€ammunition),€while€[he]€[she]€was€[an€unlawful€user€of€a€controlledÐ &  Ðsubstance]€[a€drug€addict];€and€Ð ˆ$  Ðà  àòòThreeóó,€the€[firearm]€[ammunition]€was€transported€across€a€state€line€at€some€time€duringÐ ê†  Ðor€before€the€defendant's€possession€of€it.Ð Lè  Ðà  àIf€you€have€found€beyond€a€reasonable€doubt€that€the€firearm€in€question€wasÐ ®J Ðmanufactured€in€a€state€other€than€(name€state€in€which€possession€occurred)€and€that€theÐ ¬ Ðdefendant€possessed€that€firearm€in€the€State€of€(name€state€in€which€possession€occurred)€thenÐ r Ðyou€may,€but€are€not€required€to,€find€that€it€was€transported€across€a€state€line.òò4óóÐ Ôp Ðà  àThe€term€"firearm"€means€any€weapon€(including€a€starter€gun)€which€will€or€is€designedÐ 6Ò Ðto€or€may€be€readily€converted€to€expel€a€projectile€by€the€action€of€an€explosive.òò5óóÐ ˜4 Ðà  à[The€phrase€"unlawful€user€of€a€controlled€substance"€means€a€person€who€uses€aÐ ú–  Ðcontrolled€substance€in€a€manner€other€than€as€prescribed€by€a€licensed€physician.€€The€defendantÐ \ø" Ðmust€have€been€actively€engaged€in€use€of€[a]€controlled€substance[s]€during€the€€time€[he]€[she]Ð ¾Z$ Ðpossessed€the€[firearm]€[ammunition],€but€the€law€does€not€require€that€[he]€[she]€used€theÐ  !¼& Ðcontrolled€substance[s]€at€the€precise€time€[he]€[she]€possessed€the€[firearm]€[ammunition].€€SuchÐ ‚"( Ðuse€is€not€limited€to€the€use€of€drugs€on€a€particular€day,€or€within€a€matter€of€days€or€weeksÐ ä#€* Ðbefore,€but€rather€that€the€unlawful€use€has€occurred€recently€enough€to€indicate€that€theÐ F%â, Ðindividual€is€actively€engaged€in€such€conduct.€€[An€inference€that€a€person€[was]€[is]€a€user€of€aÐ ¨&D . Ðcontrolled€substance€may€be€drawn€from€evidence€of€a€pattern€of€use€or€possession€of€aÐ  (¦!0 Ðcontrolled€substance€that€reasonably€covers€the€time€the€[firearm]€[ammunition]€was€possessed.]òò6óóÐ l)#2 Ðà  à[The€term€"drug€addict"€means€any€individual€who€habitually€uses€any€controlledÐ Î*j$4 Ðsubstance€so€as€to€endanger€the€public€morals,€health,€safety,€or€welfare,€or€who€is€so€far€addictedÐ 0,Ì%6 Ðto€the€use€of€a€controlled€substance€as€to€have€lost€the€power€of€self„control€with€reference€toÐ d Ð[his]€[her]€addiction.]òò7óóÐ Æb Ðà  àYou€are€instructed€that€[name€of€substance(s)]€is€a€controlled€substance.Ð ( Ä Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð Š & ÐÓ €ÓÓ€ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ì ˆ Ðà  à1.€€This€instructionððs€definition€of€an€unlawful€user€of€a€controlled€substance€is€basedÐ N ê  Ðupon€the€definition€utilized€by€the€Treasury€Department€in€its€firearms€regulations,€€27€C.F.R.Ð :Ö  ÐÔ'&ì ?ý Ôðð478.11,€which€provides€in€pertinent€part€as€follows:€€Ð &  Ðà0  à[A]ny€person€who€is€a€current€user€of€a€controlled€substance€in€a€manner€other€than€asÐ ˆ$  Ðprescribed€by€a€licensed€physician.€Such€use€is€not€limited€to€the€use€of€drugs€on€aÐ t  Ðparticular€day,€or€within€a€matter€of€days€or€weeks€before,€but€rather€that€the€unlawful€useÐ `ü  Ðhas€occurred€recently€enough€to€indicate€that€the€individual€is€actively€engaged€in€suchÐ Lè  Ðconduct.€A€person€may€be€an€unlawful€current€user€of€a€controlled€substance€even€thoughÐ 8Ô  Ðthe€substance€is€not€being€used€at€the€precise€time€the€person€seeks€to€acquire€a€firearm€orÐ $À Ðreceives€or€possesses€a€firearm.€An€inference€of€current€use€may€be€drawn€from€evidenceÐ ¬ Ðof€a€recent€use€or€possession€of€a€controlled€substance€or€a€pattern€of€use€or€possessionÐ ü˜ Ðthat€reasonably€covers€the€present€time,€e.g.,€a€conviction€for€use€or€possession€of€aÐ è„ Ðcontrolled€substance€within€the€past€year;€multiple€arrests€for€such€offenses€within€theÐ Ôp Ðpast€5€years€if€the€most€recent€arrest€occurred€within€the€past€year;€or€persons€foundÐ À\ Ðthrough€a€drug€test€to€use€a€controlled€substance€unlawfully,€provided€that€the€test€wasÐ ¬H Ðadministered€within€the€past€year.И4(#(# Ðà  àThe€Eighth€Circuit€in€òòUnited€States€v.€Turnbullóó,€349€F.3d€558,€562€(8òòthóó€Cir.€2003)€foundÐ ú– Ðthe€Treasury€Departmentððs€definition€ð ðentirely€consistent€with€any€standard€for€unlawful€use€toÐ æ‚ Ðbe€gleaned€from€our€prior€decisionsðð€and€that€the€district€court€acted€within€its€discretion€when€itÐ Òn Ðincorporated€ðð478.11's€definition€in€its€instructions.€€The€Eighth€Circuit€has€held€that€theÐ ¾Z Ðgovernment€need€not€prove€that€the€defendant€was€actually€using€drugs€at€the€precise€moment€heÐ ª F  Ðpossessed€the€firearm.€€Rather,€the€"plain€language€[of€ðð€922(g)(3)]€requires€that€the€governmentÐ –!2! Ðonly€prove€[the€defendant]€was€an€ððunlawful€userðð€.€.€.€during€the€time€he€possessed€firearms."€Ð ‚"" ÐòòUnited€States€v.€McIntoshóó,€23€F.3d€1454,€1458€(8òòthóó€Cir.€1994).€€Ð n# # Ðà  à2.€€This€definition€is€taken€from€21€U.S.C.€ðð€802(1).€Ð Ð$l% Ðà  à3.€€"Knowingly"€is€found€in€the€penalty€section€of€the€statute,€section€924.€Ð 2&Î' Ðà  à4.€€Adapted€generally€from€the€instruction€used€in€òòBarrett€v.€United€Statesóó,€423€U.S.€212,Ð ”'0!) Ð225€(1976).€€Ð €("* Ðà  à5.€€This€definition€is€taken€from€18€U.S.C.€ðð€921(a)(3).€€Other€portions€of€this€definitionÐ â)~#, Ðshould€be€used€where€appropriate.€Ð Î*j$- Ðà  à6.€€òòSeeóó€Note€1.Ð 0,Ì%/ Ðà  à7.€€òòSeeóó€Note€2.Ð d ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ Æb Ðà  àThe€Firearms€Owners'€Protection€Act€of€1986€amended€prior€section€922€by€incorporatingÐ ( Ä Ðwith€it€related€provisions€of€18€U.S.C.€App.€ðð€1202(a)(l).€€òòSeeóó€House€Rep.€#99-495,€reprinted€inÐ  ° Ð1986€Ô'&Æ‚ ÔU.S.€Code€Cong.€&€Admin.€News€1327,€1349.€€òòSee€generallyóó€Hardy,€òòThe€FirearmsÐ  œ ÐOwners'€Protection€Act:€€A€Historical€and€Legal€Perspectiveóó,€17€Cumb.€L.€Rev.€585€(1987),€forÐ ì ˆ Ðan€extensive€discussion€of€the€legislative€history€of€this€amendment.€Ð Ø t Ðà  àIn€amending€section€922(g),€Congress€intended€both€to€"enhance€the€ability€of€lawÐ :Ö  Ðenforcement€to€fight€violent€crime"€and€to€"relieve€the€nation's€sportsmen€and€firearms€ownersÐ &  Ðand€dealers€from€unnecessary€burdens€under€the€Gun€Control€Act€of€1968."€€House€Report€atÐ ®  Ð1327.€€These€potentially€conflicting€goals,€coupled€with€a€long€and,€at€times€confusing,Ð þš  Ðlegislative€history,€can€make€interpretation€of€this€statute€difficult.€€Ð ê†  Ðà  àPursuant€to€the€statute,€it€is€unlawful€for€any€person€who€is€a€user€of€or€addicted€to€aÐ Lè  Ðcontrolled€substance€to€possess€or€receive€a€firearm€where€the€required€interstate€commerceÐ 8Ô  Ðnexus€is€established.€€The€defendant€need€not€know€the€firearm€was€transported€across€state€lines.€Ð $À ÐòòUnited€States€v.€Valiantóó,€873€F.2d€205€(8th€Cir.€1989).€€Challenges€to€the€constitutionality€ofÐ ¬ Ðsection€922(g)€on€the€theory€that€Congress€did€not€have€constitutional€authority€to€criminalizeÐ ü˜ Ðpossession€of€a€weapon€by€a€felon€just€because€the€weapon€had€been€transported€in€interstateÐ è„ Ðcommerce€have€been€unsuccessful.€€òòUnited€States€v.€Lopezóó,€514€U.S.€549€(1995).€€òòSee,€e.g.,Ð Ôp ÐUnited€States€v.€Monteleoneóó,€77€F.3d€1086€(8th€Cir.€1996);€òòUnited€States€v.€Rankinóó,€64€F.3d€338,Ð À\ Ð339€(8th€Cir.€1995);€òòUnited€States€v.€Mosbyóó,€60€F.3d€454,€456€(8th€Cir.€1995).€€Ð ¬H Ðà  àThe€Eighth€Circuit€held€in€òòUnited€States€v.€Richardsonóó,€439€F.3d€421€(8òòthóó€Cir.€2006),€thatÐ ª Ðconvictions€under€ðð€922(g)(1)€and€(g)(3)€arising€out€of€the€same€act€of€possession€should€haveÐ ú– Ðbeen€merged€for€sentencing,€because€Congress€did€not€intend€multiple€punishments€for€a€singleÐ æ‚ Ðact€of€possession€of€a€firearm.Ð  Òn ÐÓ €ÓÖ€sqìzÖà@YY ìàò òÔ% € ÔÔ  Ô6.18.924.€€FIREARMS€-POSSESSION€IN€FURTHERANCE€OF€A€CRIME€ˆÐ d Ðà@ÅÅ ìàOF€VIOLENCE/€DRUG€TRAFFICKING€OFFENSE€(18€U.S.C.€ðð€924(c))Ô rtB Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€possessing€a€firearmòò1óó€in€furtherance€of€a€[crime€of€violence]òò2óó€[drugÐ ( Ä Ðtrafficking€crime]€as€charged€in€[Count€_____€of]€the€indictment€has€[two]€[three]€elements,Ð Š & Ðwhich€are:òò3óó€Ð ì ˆ Ðà  àòòOneóó,€the€defendant€committed€the€crime[s]€of€(describe€crime[s]);òò4óó€andÐ N ê  Ðà  àòòTwoóó,€the€defendant€knowinglyòò5óó€possessed€a€firearm€in€furtherance€of€[that]€[those]Ð °L  Ðcrime[s]€[and]€Ð ®  Ðà  à[òòThreeóó,€the€firearm€was€a[n]€(describe,€e.g.,€semi„automatic€assault€weapon,€short„Ð t  Ðbarreled€rifle,€short„barreled€shotgun,€machine€gun,€destructive€device,€or€firearm€equipped€withÐ Ör  Ða€silencer€or€muffler).]òò6óóÐ 8Ô  Ðà  à[òòThreeóó,€the€defendant€used€the€firearm€to€cause€the€death€of€(specify€person€killed).]òò7óóÐ š6 Ðà  à[The€phrase€ð ðin€furtherance€ofðð€should€be€given€its€plain€meaning,€that€is,€the€act€ofÐ ü˜ Ðfurthering,€advancing,€or€helping€forward.€€The€phrase€ð ðin€furtherance€ofðð€is€a€requirement€thatÐ ^ú Ðthe€defendant€possess€the€firearm€with€the€intent€that€it€advance,€assist€or€help€commit€the€crime,Ð À\ Ðnot€that€it€actually€did€so.]òò8óóÐ "¾ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ „  ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ æ‚! Ðà  à1.€€òòSeeóó€18€U.S.C.€ðððð€921(a)(3),€921(a)(23)€and€921(a)(24)€and€26€U.S.C.€ðð€5845(b).€Ð Hä# Ð"Firearm"€normally€will€not€require€definition€for€the€jury.€€Under€18€U.S.C.€ðð€924(c)(1),€Ô':æV ÔtheÐ 4 Ð$ Ðpenalty€for€use€of€a€machine€gun,€silencer€or€muffler€has€been€substantially€increased,€e.g.,€thirtyÐ  !¼% Ð(30)€years.€€Under€18€U.S.C.€ðð€924(c)(1),€the€penalty€for€use€of€a€semi„automatic€assault€weaponÐ  "¨& Ðhas€been€increased€to€ten€(10)€years.€€The€definition€of€these€weapons€can€be€rather€technical€andÐ ø"”' Ðnot€necessarily€intuitive.€€òòSee,€e.g.óó,€18€U.S.C.€ðððð€921(a)(30)€&€922,€Appendix€and€26€U.S.C.Ð ä#€( Ððð5645.€€Where€the€third€optional€element€is€included€in€this€instruction€because€the€governmentÐ Ð$l) Ðseeks€an€enhanced€penalty€for€use€of€an€assault€weapon,€machine€gun,€silencer€or€muffler,€orÐ ¼%X* Ðdestructive€device,€the€Committee€recommends€that€the€jury€should€be€instructed€as€to€theÐ ¨&D + Ðstatutory€definitions€at€the€request€of€either€party.€€Where€more€than€one€firearm€is€charged€in€theÐ ”'0!, Ðsame€count,€a€special€verdict€may€be€helpful.€€òòSeeóó€Instruction€11.03.€€òòCf.óó€òòUnited€States€v.€Friendóó,Ð €("- Ð50€F.3d€548,€554€(8th€Cir.€1995)€(government€did€not€object€to€lesser„included€offenseÐ l)#. Ðinstruction€of€using€a€firearm€with€no€silencer).€€Ð X*ô#/ Ðà  à2.€€Currently€defined€by€18€U.S.C.€ðð€924(c)(3);€òòsee€alsoóó€18€U.S.C.€ðð€16.Ð º+V%1 Ðà  à3.€€The€committee€has€omitted€ð ðuseðð€and€ð ðcarryðð€from€the€main€body€of€the€instructionÐ d Ðbecause€it€believes€that€the€prosecution€will€opt€for€the€generally€broader€ð ðpossess€in€furtheranceððÐ Pì Ðlanguage€of€the€statute€in€formulating€charges€in€indictments.€€However,€in€those€instances€inÐ <Ø Ðwhich€the€indictment€charges€the€ð ð€useðð€of€a€firearm,€the€following€definition€of€that€term€shouldÐ ( Ä Ðbe€included€in€the€instruction:Ð  ° Ðà0  àà ` à[The€phrase€"used€[a]€firearm[s]"€means€that€the€firearm€was€actively€employed€inÐ v  Ðthe€course€of€the€commission€of€the€(insert€crime[s]).€€You€may€find€that€a€firearm€wasÐ b þ Ðused€during€the€commission€of€the€crime[s]€of€(insert€crime)€if€you€find€that€(it€wasÐ N ê Ð[brandished]€[displayed]€[bartered]€[used€to€strike€someone]€[fired])€(the€defendantÐ :Ö  Ð[attempted€to€fire€the€firearm]€[traded€or€offered€to€trade€a€firearm€without€handling€it]Ð &  Ð[made€references€to€a€firearm€that€was€in€the€defendant's€possession])€(describe€otherÐ ®  Ðconduct€consistent€with€the€active„employment€use€of€a€firearm).]Ðþš (#(# Ðà  àThe€United€States€Supreme€Court,€in€òòBailey€v.€United€Statesóó,€516€U.S.€137,€145€(1995),Ð `ü  Ðhas€determined€that€"the€language,€context,€and€history€of€section€924(c)(1)€indicate€that€theÐ Lè  ÐGovernment€must€show€active€employment€of€the€firearm"€when€the€case€is€submitted€under€theÐ 8Ô  Ð"use"€prong€of€the€statute.€€This€holding€overrules€an€established€line€of€cases€that€utilized€theÐ $À Ð"accessibility€and€proximity€test"€previously€employed€by€this€and€other€circuits.€€The€languageÐ ¬ Ðof€section€924(c)(1),€supported€by€its€history€and€context,€compels€the€conclusion€that€CongressÐ ü˜ Ðintended€ð ðuseðð€in€the€active€sense€of€ð ðto€avail€oneself€of."€€òòId.óóÐ è„ Ðà  àIn€order€to€meet€this€requirement,€the€firearm€need€not€have€a€role€in€the€crime€as€aÐ Jæ Ðweapon.€€òòSee€Smith€v.€United€Statesóó,€508€U.S.€223,€241€(1993)€(holding€that€a€criminal€whoÐ 6Ò Ðtrades€his€firearm€for€drugs€"uses"€it€during€and€in€relation€to€a€drug€trafficking€offense€within€theÐ "¾ Ðmeaning€of€section€924(c)).€€òòBailey,€óó516€U.S.€at€145.€€Ð ª Ðà  àWhere€ð ðcarryðð€is€charged€in€the€indictment,€it€should€be€noted,€€"carryÔ_ÔingÔ_Ô"€does€notÐ p  Ðrequire€that€the€defendant€had€the€weapon€on€his€person.€€òòUnited€States€v.€Nelsonóó,€109€F.3d€1323Ð \ø Ð(8th€Cir.€1997);€òòUnited€States€v.€Barryóó,€98€F.3d€373,€378€(8th€Cir.€1996),.€€"Carries,"€within€theÐ Hä Ðmeaning€of€section€924(c)(1),€includes€carrying€a€weapon€in€a€vehicle.€€òòUnited€States€v.€Nelsonóó;Ð 4 Ð ÐòòUnited€States€v.€Freisingeróó,€937€F.2d€383,€387€(8th€Cir.€1991).€€It€is€not€necessary€to€show€thatÐ  !¼ Ðthe€defendant€used€the€weapon€in€any€affirmative€manner€to€prove€that€the€defendant€carried€theÐ  "¨  Ðweapon.€€òòBailey€v.€United€Statesóó,€516€U.S.€at€145€(a€firearm€can€be€carried€without€being€used,Ð ø"”! Ðe.g.,€when€an€offender€keeps€a€gun€hidden€in€his€clothing€throughout€a€drug€transaction).Ð ä#€" Ðà  àCourts€have€held€that€it€is€not€plain€error€to€fail€to€give€a€definition€of€"carrying"€becauseÐ F%â$ Ðit€is€a€commonly€understood€term.€€òòSeeóó€òòUnited€States€v.€Rhodenizeróó,€106€F.3d€222,€225€(8th€Cir.Ð 2&Î% Ð1997);€òòUnited€States€v.€Behleróó,€100€F.3d€632€(8th€Cir.€1996)€(where€the€defendant€fails€to€offerÐ 'º & Ðan€instruction€defining€"carry,"€the€ordinary€meaning€of€the€word€should€apply).Ð  (¦!' Ðà  àIf€a€definition€of€"carrying"€is€to€be€given,€the€Committee€recommends€the€following€beÐ l)#) Ðâ âinserted€after€element€òòThreeóó:Ð X*ô#* Ðà8  àà ` à[You€may€find€that€a€firearm€was€"carried"€during€the€commission€of€theÐ d Ðâ âcrime[s]€of€(insert€crime)€if€you€find€that€the€defendant€[had€a€firearm€on€hisÐ Pì Ðperson]€[was€transporting€a€firearm€in€a€vehicle]€[(describe€other€included€conductÐ <Ø Ðconsistent€with€carrying€a€firearm)].Ð( ÄÐ Ð  ÐFor€additional€discussion€of€the€scope€of€the€term€"carry,"€òòsee€Smith€v.€United€Statesóó,€508€U.S.Ð Š & Ð223€(1993);€òòUnited€States€v.€Whiteóó,€81€F.3d€80€(8th€Cir.€1996);€òòUnited€States€v.€Willisóó,€89€F.3d€atÐ v  Ð1379.€Ð b þ Ðà  àThe€use€or€carrying€of€a€"firearm,"€as€defined€in€18€U.S.C.€ðð€921(a)(3),€clearly€is€aÐ Ä `  Ðstatutory€element€of€the€offense€which€must€be€submitted€to€the€jury.€€Element€òòTwoóó,€òòsupraóó.€€òòSeeÐ °L  Ðalso€United€States€v.€Rodriguezóó,€841€F.€Supp.€79€(E.D.N.Y.€1994)€(whether€a€firearm€threadedÐ œ8  Ðfor€a€silencer€next€to€a€silencer€was€"equipped"€with€a€silencer€within€the€meaning€of€the€statuteÐ ˆ$  Ðwas€an€issue€for€the€jury),€òòaff'dóó,€53€F.3d€545,€546€(2d€Cir.€1995).Ð t  Ðà  àThe€"in€relation€to"€element€must€be€included€in€the€instructions€in€those€instances€whereÐ Ör  Ðð ðuseðð€or€ð ðcarryðð€is€charged.€€òòSmith€v.€United€Statesóó,€508€U.S.€223,€237€(1993).€Ð Â^  Ðà  àIn€òòBradshawóó€v.€òòUnited€States,óó€153€F.3d€704,€707€(8òòthóó€Cir.€1998)€this€circuit€approved€theÐ $À Ðfollowing€language:Ð ¬ Ðà0  àIn€determining€whether€a€defendant€used€or€carried€a€firearm,€you€may€consider€all€of€theÐ r Ðfactors€received€in€evidence€in€the€case€including€the€nature€of€the€underlying€drugÐ ^ú Ðtrafficking€crime€alleged,€the€proximity€of€the€defendant€to€the€firearm€in€question,€theÐ Jæ Ðusefulness€of€the€firearm€to€the€crime€alleged,€and€the€circumstances€surrounding€theÐ 6Ò Ðpresence€of€the€firearm.Ð"¾(#(# Ðà  àIn€òòBailey€v.€United€Statesóó,€516€U.S.€137€(1995),€the€Court€enumerated€various€examplesÐ „  Ðof€conduct€that€would€constitute€the€active€employment€of€a€firearm€in€relation€to€the€predicateÐ p  Ðoffense€and€also€stated€that€a€firearm€could€"be€used€without€being€carried,€e.g.,€when€an€offenderÐ \ø Ðhas€a€gun€on€display€during€a€transaction€or€barters€with€a€firearm€without€handling€it."€€òòId.óó€€TheÐ Hä ÐCommittee€believes€that€other€conduct€can€also€constitute€active€employment€of€a€firearm€andÐ 4 Ð Ðthat€latitude€should€be€accorded€to€the€trial€court€to€fashion€an€appropriate€instruction€when€theÐ  !¼  Ðevidence€supports€submission€on€the€issue€of€"use."Ð  "¨! Ðà  à4.€€The€question€of€whether€the€crime€is€a€crime€of€violence€or€a€drug€trafficking€crime€isÐ n# # Ða€question€of€law€for€the€court.€€òòUnited€States€v.€Mooreóó,€38€F.3d€977,€979€(8th€Cir.€1994)€(districtÐ Z$ö$ Ðjudge€correctly€applied€a€categorical€analysis€to€the€elements€of€involuntary€manslaughter€asÐ F%â% Ðdefined€in€18€U.S.C.€ðð€1112€and€determined€as€a€matter€of€law€that€it€was€a€crime€of€violence).€Ð 2&Î& ÐThe€trial€court€should€make€its€finding€on€the€record.€Ð 'º ' Ðà  à5.€€Section€924(c)€as€written€does€not€require€that€possession,€€use€or€carrying€of€aÐ €(") Ðweapon€be€done€"knowingly."€€However,€ð ðthe€existence€of€a€mens€rea€is€the€rule€of,€rather€thanÐ l)#* Ðthe€exception€to,€the€principles€of€Anglo„American€criminal€jurisprudence.ðð€€òòStaples€v.€UnitedÐ X*ô#+ ÐStatesóó,€511€U.S.€600,€605€(1994).€€Most€jurisdictions€that€have€addressed€the€issue€requireÐ D+à$, Ðknowledge.€€The€Eighth€Circuit€has€implied€that€knowingly€is€required.€€òòSeeóó€òòBradshaw€v.€UnitedÐ 0,Ì%- ÐStatesóó,€153€F.3d€704€(8òòthóó€Cir.€1998);€òòUnited€States€v.€Coyleóó,€998€F.2d€548,€551€(8th€Cir.€1993).€Ð d ÐòòSee€also€United€States€v.€Wilsonóó,€884€F.2d€174,€178„79€(5th€Cir.€1989).€€Other€circuitsðð€pattern€Ð Pì Ðjury€instructions€require€knowingly€also.€€òòSeeóó€2A€Kevin€F.€OððMalley,€et€al.,š€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rE #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rPE #ÔÐ <Ø ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r«E #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rúE #Ôšš:€€Criminal€ðððð€39.16„.20€(5òòthóó€ed.€2000).€€Thus,€the€CommitteeÐ ( Ä Ðbelieves€that€"knowingly"€is€required€even€though€section€924(c)€does€not€expressly€require€thatÐ  ° Ðthe€act€be€done€knowingly.Ð  œ Ðà  à6.€€This€element€should€be€considered€only€when€the€government€seeks€an€enhancedÐ b þ Ðsentence€associated€with€a€particular€type€of€firearm,€e.g.,€a€semi„automatic€assault€weapon€or€aÐ N ê Ðmachine€gun.€€òòSee€United€States€v.€Simmsóó,€18€F.3d€588,€592€(8th€Cir.€1994)€(generally€theÐ :Ö  Ðprosecution€must€prove€only€that€the€defendant€used€or€carried€a€firearm€and€did€so€in€relation€toÐ &  Ðthe€predicate,€e.g.,€drug€trafficking,€crime);€òòUnited€States€v.€Warrenóó,€16€F.3d€247,€252€(8th€Cir.Ð ®  Ð1994)€(a€section€924(c)€conviction€requires€that€a€defendant€use€or€carry€a€firearm€during€and€inÐ þš  Ðrelation€to€either€a€drug€trafficking€crime€or€a€crime€of€violence).€€Where€an€enhanced€sentence€isÐ ê†  Ðsought,€the€government€must€prove€that€the€firearm€was€not€just€any€firearm,€but€of€the€typeÐ Ör  Ðspecifically€proscribed.€€Ð Â^  Ðà  àThe€Committee€believes€that€actual€knowledge€of€the€specific€characteristics€of€theÐ $À Ðfirearm€resulting€in€enhancement€of€the€punishment€is€not€required€in€an€18€U.S.C.€ðð€924(c)Ð ¬ Ðprosecution.€€òòUnited€States€v.€Harris,€óó959€F.2d€246,€257„61€(D.C.€Cir.€1992).€€Although€it€mayÐ ü˜ Ðbe€argued€that€the€rationale€of€òòUnited€States€v.€X„Citement€Video,€Inc.óó,€513€U.S.€64€(1994)Ð è„ Ðrequires€a€òòmens€reaóó€finding€as€to€the€characteristics€of€the€firearm,€it€is€the€Committee's€opinionÐ Ôp Ðthat€the€òòX„Citement€Videoóó€rationale€does€not€apply€to€an€"element"€that€only€establishesÐ À\ Ðapplicability€of€an€enhanced€penalty,€as€opposed€to€liability€for€violation€of€the€statute.€€òòX„Ð ¬H ÐCitement€Videoóó€involved€a€prosecution€under€18€U.S.C.€ðð€2252,€and€the€Court€held€that€theÐ ˜4 Ðgovernment€needed€to€prove€not€only€that€the€defendant€knew€the€depiction€was€sexuallyÐ „  Ðexplicit,€but€also€that€the€defendant€knew€the€performer€was€a€minor.]Ð p  Ðà  àThe€Committee€also€believes€that€òòStaples€v.€United€Statesóó,€511€U.S.€600€(1994)€isÐ Òn Ðdistinguishable.€€Where€a€defendant€is€charged€with€merely€possessing€a€proscribed€firearm€suchÐ ¾Z Ðas€a€sawed„off€shotgun€or€machine€gun€under€26€U.S.C.€ðð€5861(d),€there€is€no€doubt€that€theÐ ª F Ðmens€rea€requirement€of€the€offense€includes€knowledge€that€the€firearm€possessed€hadÐ –!2 Ðcharacteristics€that€make€it€a€"firearm"€under€that€statute.€€The€Court€in€Staples€held€thatÐ ‚"  ÐCongress€would€have€spoken€more€clearly€if€it€had€intended€to€permit€severe€punishment€ofÐ n# ! Ð"traditionally€lawful€conduct"€and€of€those€"wholly€ignorant€of€the€offending€characteristics€ofÐ Z$ö" Ðtheir€weapons."€€Before€a€defendant€can€be€found€guilty€under€18€U.S.C.€ðð924(c),€however,€theÐ F%â# Ðgovernment€must€first€prove€that€the€defendant€committed€a€"crime€of€violence"€or€a€"drugÐ 2&Î$ Ðtrafficking€crime."€€òòSee€United€States€v.€Hawkinsóó,€59€F.3d€723,€729€(8th€Cir.€1995)€("mereÐ 'º % Ðpossession"€of€a€firearm€is€insufficient);€òòUnited€States€v.€Simmsóó,€18€F.3d€588,€592€(8th€Cir.Ð  (¦!& Ð1994).€€The€distinction€between€the€scienter€requirements€of€26€U.S.C.€ðð€5861€and€18€U.S.C.Ð ö(’"' Ððð924(c)€were€carefully€analyzed€in€òòUnited€States€v.€Harrisóó,€959€F.2d€246,€257„61€(D.C.€Cir.Ð â)~#( Ð1992).€€Employing€the€same€analysis€the€Supreme€Court€later€used€in€òòStaplesóó,€the€D.C.€CircuitÐ Î*j$) Ðconcluded€that€the€defendant's€conviction€for€using€a€machine€gun€in€violation€of€18€U.S.C.Ð º+V%* Ððð924(c)€could€stand€without€proof€that€the€defendant€"knew€the€precise€nature€of€the€weapon,"Ð d Ðbut€that€the€conviction€for€possessing€the€same€weapon€in€violation€of€26€U.S.C.€ðð€5861€couldÐ Pì Ðnot.€€òòHarrisóó,€959€F.2d€at€259€(finding€that€knowingly€using€a€firearm€in€relation€to€a€drugÐ <Ø Ðdistribution€offense€established€the€required€mental€state€and€analogizing€to€cases€where€theÐ ( Ä Ðdefendants€receive€enhanced€penalties€based€on€possession€of€different€kinds€of€illegal€drugsÐ  ° Ðwithout€the€government€showing€the€defendant€knew€the€exact€nature€of€a€given€illegalÐ  œ Ðsubstance.Ð ì ˆ Ðà  àA€defendant€may€be€held€liable€under€section€924(c)€for€the€acts€of€others,€based€not€onÐ N ê Ðactual€knowledge,€but€€that€the€use€or€carrying€of€the€firearm€was€reasonably€foreseeable€inÐ :Ö  Ðfurtherance€of€the€offense,€e.g.,€a€drug€conspiracy.€€òòUnited€States€v.€Friendóó,€50€F.3d€548,€554€(8thÐ &  ÐCir.€1995);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1220€(8th€Cir.)€(citing€òòPinkerton€v.€UnitedÐ ®  ÐStatesóó,€328€U.S.€640,€647„48€(1946)).€€The€òòmens€reaóó€requirement€is€satisfied€by€the€defendant'sÐ þš  Ðagreement€to€join€in€an€agreement€to€commit€other€crimes;€however,€there€is€no€requirement€thatÐ ê†  Ðthe€defendant€have€actual€knowledge€of€the€specific€type€of€firearm.€€òòSee€Friendóó,€50€F.3d€at€554Ð Ör  Ð(evidence€supported€foreseeability€of€firearm€but€not€silencer).€€The€Committee€recommends€thatÐ Â^  Ðthe€reasonable€foreseeability€requirement€be€given€if€the€jury€is€to€be€given€a€vicarious€liabilityÐ ®J ÐòòPinkertonóó€instruction€or€Instruction€5.01€(aiding€and€abetting).€€òòSee€Friendóó,€50€F.3d€at€554;Ð š6 ÐòòUnited€States€v.€Comeauxóó,€955€F.2d€586,€591€(8th€Cir.€1992)€(òòPinkertonóó€vicarious€liabilityÐ †" Ðinstruction€where€the€defendants€were€indicted€as€aiders€and€abettors).Ð r Ðà  à7.€€Title€18€U.S.C.€ðð€924(j)€is€not€independent€of€section€924(c)€and€the€punishmentÐ Ôp Ðprovisions€of€that€section.€€Section€924(j)€is€an€additional€aggravating€punishment€for€the€schemeÐ À\ Ðset€out€in€section€924(c).€€ð ðAlthough€section€924(j)€does€not€explicitly€contain€the€same€expressÐ ¬H Ðmandatory€cumulative€punishment€language€as€found€in€section€924(c),€it€incorporates€sectionÐ ˜4 Ð924(c)€by€reference€without€disclaiming€the€cumulative€punishment€scheme€which€is€so€clearlyÐ „  Ðset€out€in€section€924(c).òò€€United€States€v.€Allen,€óó247€F.3d€741,769,€(8òòthóó€Cir.€2001).Ð p  Ðà  àWhere€the€indictment€charges€a€violation€of€section€924(c)€which€caused€death€of€aÐ Òn Ðperson€under€section€924(j),€the€Court€must€instruct€the€jury,€consistent€with€the€facts€of€the€case,Ð ¾Z Ðon€the€elements€of€murder,€voluntary€manslaughter€and€involuntary€manslaughter€since€theÐ ª F Ðmaximum€sentence€to€be€imposed€is€dependent€on€a€determination€of€the€nature€of€the€crimeÐ –!2 Ðcommitted€which€caused€the€death.€€òòSeeóó€18€U.S.C.€ðððð€924(j)(1)€and€(2).Ð ‚"  Ðà  àThis€circuit€has€not€decided€whether€a€specific€intent€to€kill€is€an€element€of€the€offenseÐ ä#€" Ðof€murder€in€the€first€degree€committed€during€a€violation€of€section€924(c).€€òòUnited€States€v.Ð Ð$l# ÐAllen,€óó247€F.3d€at€783„84€(citations€omitted).€€The€element€of€ð ðmalice€aforethoughtðð€may€beÐ ¼%X$ Ðestablished€may€be€established€under€a€felony€murder€theory.€€ð ðWe€agree€with€the€Tenth€CircuitððsÐ ¨&D % Ðinterpretation€of€section€1111(a)€in€a€case€such€as€this€one€(murder€committed€during€armed€bankÐ ”'0!& Ðrobbery)€that€ððfirst€degree€murder€is€defined€as€including€any€murder€which€is€either€premeditatedÐ €("' Ðor€committed€in€the€perpetration€of€any€of€the€listed€felonies,€which€include€robbery.ðððð€€òòId.óó€Ð l)#( ÐFurther,€an€instruction€requiring€a€jury€to€find,€beyond€a€reasonable€doubt,€that€a€defendant€wasÐ X*ô#) Ðaware€that€a€serious€risk€of€death€may€occur€in€the€course€of€an€armed€robbery€is€adequate€toÐ D+à$* Ðsupport€a€conviction.€€òòId.óó€at€785.€€The€panelððs€decision€in€òòAllenóó€also€concluded€that€the€aiding€andÐ 0,Ì%+ Ðabetting€instructions€on€each€count€given€by€the€District€Court€were€sufficient€to€supply€aÐ d Ðspecific€intent€element€as€a€matter€of€law.€€òòId.óó€€Aiding€and€abetting€a€violation€of€924(j)€theÐ Pì Ðgovernment€must€prove:€(1)€the€defendant€must€ð ðhave€known€the€offense€of€using€or€carrying€aÐ <Ø Ðfirearm€during€and€in€relation€to€a€bank€robbery€was€being€committed€or€going€to€be€committed;ððÐ ( Ä Ð(2)€the€defendant€€ð ðintentionally€acted€in€some€way€for€the€purpose€of€causing,€encouraging,€orÐ  ° Ðaiding€the€commission€of€using€or€carrying€of€a€firearm€during€and€in€relation€to€a€bank€robberyÐ  œ Ðand€that€.€.€.€was€murdered€in€the€perpetration€of€that€robbery;ðð€and€(3)€the€defendant€ð ðwas€awareÐ ì ˆ Ðof€a€serious€risk€of€death€attending€his€conduct.€€òòId.óó€at€784,€n.19€(8òòthóó€Cir.€2001).Ð Ø t Ðà  à8.€€òòUnited€States€v.€Kentóó,€531€F.3d€642€(8òòthóó€Cir.€2008).Ð :Ö  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ œ8  Ðà  àBrandishing€and€discharge€of€a€weapon€are€sentencing€enhancements€and€not€elements€ofÐ þš  Ðthis€offense€and€thus,€do€not€need€to€pleaded€and€proven€to€a€jury€beyond€a€reasonable€doubt.€Ð ê†  ÐòòÔ'&œl ÔHarris€v.€United€Statesóó,€536€U.S.€545€(2002).Ð  Ör  ÐÓ €ÓÖ€usì{Öà@ï ï ìàò òÔ% €  ÔÔ  Ô6.18.1001A.€€CONCEALING€A€MATERIAL€FACT€FROM€ˆÐ d Ðà@> > ìàA€GOVERNMENTAL€AGENCY€(18€U.S.C.€ðð€1001)Ô kn Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[falsifying€a€material€fact]€[concealing€a€material€fact]€in€a€matter€with€aÐ ( Ä Ðgovernmental€agency,€as€charged€in€[Count€_____€of]€the€indictment,€has€€four€elements,€whichÐ Š & Ðare:€Ð ì ˆ Ðà  àòòOneóó,€the€defendant€knowingly,€voluntarily€and€intentionally€[falsified]€[concealed]Ð N ê  Ð(describe€material€fact€falsified€or€concealed,€e.g.,€the€true€purchase€price€of€the€ABC€Building)Ð °L  Ðin€(describe€the€matter€within€agency€jurisdiction,€e.g.,€a€loan€closing€statement€submitted€toÐ ®  ÐXYZ€Association);òò1óó€Ð t  Ðà  àòòTwoóó,€the€defendant€did€so€by€use€of€a€[trick]€[scheme]€[device],€that€is,€a€course€of€actionÐ Ör  Ðintended€to€deceive€others;òò2óó€Ð 8Ô  Ðà  àòòThreeóó,€the€fact€was€material€to€the€(name€agency,€e.g.,€Federal€Home€Loan€Bank€Board);òò3óóÐ š6 ÐandÐ ü˜ Ðà  àòòFouróó,€the€(describe€matter,€e.g.,€loan€closing€statement)€was€a€matter€within€theÐ ^ú Ðjurisdiction€of€(name€agency,€e.g.,€Federal€Home€Loan€Bank€Board).òò4óó€€You€may€find€that€thisÐ À\ Ðelement€has€been€satisfied€if€you€find€that€the€(name€of€agency)'s€function€includes€(describeÐ "¾ Ðevidence€adduced€to€show€agency€jurisdiction,€e.g.,€"reviewing€lending€practices€of€XYZÐ „  ÐAssociation").Ð æ‚! Ðà  àA€fact€is€"material"€if€it€has€a€natural€tendency€to€influence,€or€is€capable€of€influencing,Ð Hä# Ðthe€decision€of€the€agency.€€[However,€whether€a€fact€is€"material"€does€not€depend€on€whether€aÐ ª F% Ðcourse€of€action€intended€to€deceive€others€actually€succeeded.]òò5óóÐ  "¨' ÐÓ €Óà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÐ n# ) ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ð$l+ Ðà  à1.€€Attention€must€be€paid€to€sufficiently€describing€the€matter€within€federal€jurisdiction.€Ð 2&Î- ÐThe€example€given€in€Element€òòOneóó€of€this€instruction€suggests€a€way€to€characterize€a€matterÐ 'º . ÐÔ'&Ð$w Ôinvolving€a€document€submitted€to€a€local€agency.€€The€examples€given€in€Elementòò€Oneóó€ofÐ  (¦!/ ÐInstruction€6.18.1001B€and€Element€òòOneóó€of€Instruction€6.18.1001C€suggest€a€way€to€characterizeÐ ö(’"0 Ða€matter€involving€a€statement€made€directly€to€a€federal€agency.€€Ð â)~#1 Ðà  à2.€€This€element€contains€the€definition€of€"scheme€or€device"€from€Seventh€CircuitÐ D+à$3 ÐFederal€Jury€Instructions:€€Criminal€at€242€(1999).€€Ð 0,Ì%4 Ðà  à3.€€Materiality€is€an€element€of€the€second€("false€statement")€clause€of€18€U.S.C.€ðð1001Ð d Ðand€it€is€a€constitutional€violation€and€reversible€error€for€the€trial€court€to€refuse€to€submit€theÐ Pì Ðissue€to€the€jury.€€òòUnited€States€v.€Gaudinóó,€515€U.S.€506,€523€(1995)€(unanimous€opinion).€€ThreeÐ <Ø Ðjustices€might€have€reached€a€different€conclusion€regarding€the€second€clause€of€18€U.S.C.€ððÐ ( Ä Ð1001,€if€the€government€had€not€conceded€that€materiality€is€an€element.€€òòId.óó€at€523€(Rehnquist,Ð  ° ÐC.J.,€concurring).€€Because€the€first€("concealment")€clause€explicitly€refers€to€a€"material€fact,"Ð  œ Ðthere€can€be€no€doubt€that€òòGaudinóó€also€requires€that€the€issue€of€materiality€be€submitted€to€theÐ ì ˆ Ðjury€in€"concealment"€cases.€Ð Ø t Ðà  à4.€€The€statutory€requirement€that€the€matter€be€ð ðwithin€the€jurisdictionðð€of€anyÐ :Ö  Ðdepartment€or€agency€of€the€United€States€appears€to€be€an€element€of€the€offense.€€Traditionally,Ð &  Ðthis€issue€has€been€treated€as€a€question€of€law€for€the€court.€€òòTerry€v.€United€Statesóó,€131€F.2d€40,Ð ®  Ð44€(8th€Cir.€1942)€(decided€under€18€U.S.C.€ðð€80,€a€predecessor€to€sections€287€and€1001).€Ð þš  ÐHowever,€the€logic€applied€in€òòUnited€States€v.€Gaudinóó€to€the€issue€of€"materiality,"€may€similarlyÐ ê†  Ðapply€to€the€issue€of€departmental/agency€jurisdiction.€€Accordingly,€the€Committee€recommendsÐ Ör  Ðthat€the€third€element€be€added€to€previous€versions€of€this€instruction.€€However,€the€CommitteeÐ Â^  Ðbelieves€that€whether€an€entity€is€a€department€or€agency€of€the€United€States€need€not€beÐ ®J Ðdetermined€by€the€jury,€but€is€a€question€of€law€which€should€be€found€by€the€Court,€on€theÐ š6 Ðrecord,€before€submitting€the€case€to€the€jury.€€"Department€or€agency"€is€defined€in€18€U.S.C.Ð †" Ððð6;€òòsee€alsoóó€5€U.S.C.€ðð€101€(executive€departments);€òòUnited€States€v.€Gouldóó,€536€F.2d€216€(8thÐ r ÐCir.€1976)€(if€the€court€reaches€a€"conclusion€through€an€exercise€in€statutory€interpretation"Ð ^ú Ðabout€a€particular€issue,€the€conclusion€is€a€legislative€fact€that€need€not€be€submitted€to€the€jury).Ð Jæ Ðà  à5.€€òòSee€United€States€v.€Gaudinóó,€515€U.S.€at€508€(agreed€definition);€òòUnited€States€v.Ð ¬H ÐAdleróó,€623€F.2d€1287,€1292€n.7€(8th€Cir.€1980)€("A€writing€or€document€is€materially€false€ifÐ ˜4 Ðsuch€writing€has€a€natural€tendency€to€influence€or€is€capable€of€influencing€the€decision€of€theÐ „  Ðgovernment€agency€making€the€determination€required€in€the€matter.");€òòUnited€States€v.€Johnsonóó,Ð p  Ð937€F.2d€392,€396€(8th€Cir.€1991)€("[a]ctual€reliance€by€the€government€is€not€necessary");€òòBlakeÐ \ø Ðv.€United€Statesóó,€323€F.2d€245,€247€(8th€Cir.€1963)€(same).Ð Hä ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ª F Ðà  àòòSeeóó€òòUnited€States€v.€Swaimóó,€757€F.2d€1530,€1533€(5th€Cir.€1985);€òòUnited€States€v.€Diogoóó,Ð  "¨  ÐÔ':ª ®† Ô320€F.2d€898,€902€(2d€Cir.€1963).€Ð ø"”! Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1001B,€òòinfraóó.€Ð Z$ö# Ðà  àThe€requirement€of€a€"trick,€scheme,€or€device"€is€discussed€in€òòUnited€States€v.€Londonóó,Ð ¼%X% Ð550€F.2d€206,€211-14€(5th€Cir.€1977).€€"Willfully"€and€"knowingly"€are€defined€in€òòUnited€StatesÐ ¨&D & Ðv.€Markhamóó,€537€F.2d€187,€194€(5th€Cir.€1976).Ð ”'0!' Ðà  àThe€government€must€prove€an€affirmative€act€by€which€a€material€fact€is€activelyÐ ö(’") Ðconcealed.€€òòUnited€States€v.€Shannonóó,€836€F.2d€1125,€1130€(8th€Cir.€1988).Ð â)~#* Ðà  àNondisclosure€or€partial€disclosure€may€constitute€concealment€under€section€1001.€Ð D+à$, ÐòòUnited€States€v.€Olin€Mathiesonóó,€368€F.2d€525€(2d€Cir.€1966).€€However,€in€such€cases€theÐ 0,Ì%- ÐGovernment€must€prove€that€the€defendant€had€a€legal€duty€to€disclose.€€òòUnited€States€v.€Larsonóó,Ð d Ð796€F.2d€244,€246€(8th€Cir.€1986);€òòUnited€States€v.€Anzaloneóó,€766€F.2d€676,€682-83€(1st€Cir.Ð Pì Ð1985);€òòUnited€States€v.€Irwinóó,€654€F.2d€671,€678-79€(10th€Cir.€1981).€€Whether€the€defendant€hadÐ <Ø Ða€legal€duty€to€disclose€is€a€question€of€law€for€the€court.€€òòUnited€States€v.€DeRosaóó,€783€F.2dÐ ( Ä Ð1401,€1407€(9th€Cir.€1986).€Ð  ° Ðà  àIn€òòHubbard€v.€United€Statesóó,€514€U.S.€695,€715€(1995),€the€Supreme€Court€held€that€"aÐ v  Ðfederal€court€is€neither€a€ððdepartmentðð€nor€an€ððagencyðð€within€the€meaning€of€ðð1001,"€overrulingÐ b þ ÐòòUnited€States€v.€Bramblettóó,€348€U.S.€503€(1955),€which€had€held€that€the€word€"department"€usedÐ N ê Ðin€section€1001€was€meant€to€extend€the€statuteððs€reach€to€all€three€branches€of€government.€€TheÐ :Ö  ÐFalse€Statements€Accountability€Act€of€1996,€Pub.€L.€104„292,€HR€3166€(Oct.€11,€1996),€revisedÐ &  Ðsection€1001€to€cover€statements€that€are€made€to€all€three€branches€of€the€federal€government,Ð ®  Ðeffectively€overruling€òòHubbardóó.Ð  þš  ÐÖ€wuì|ÖÓ €Óà@ìììàò òÔ% €" ÔÔ  Ô6.18.1001B.€€FALSE€STATEMENT€TO€GOVERNMENTAL€AGENCY€ˆÐ d Ðà@îî!ìà(18€U.S.C.€ðð€1001)Ô ,€¦ Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€making€a€[false]€[fictitious]€[fraudulent]€material€[statement]Ð ( Ä Ð[representation]€in€a€matter€within€the€jurisdiction€of€a€governmental€agency,€as€charged€inÐ Š & Ð[Count€_____€of]€the€indictment,€has€three€elements€which€are:€Ð ì ˆ Ðà  àòòOneóó,€the€defendant€knowingly,€voluntarily€and€intentionally€made€a€[false]€[fictitious]Ð N ê  Ð[fraudulent]€[statement]€[representation]€in€(describe€matter€within€agency€jurisdiction,€e.g.,€aÐ °L  ÐU.S.€customs€declaration);òò1óó€Ð ®  Ðà  àòòTwoóó,€the€[statement]€[representation]€was€materialòò2óó€to€the€(name€agency,€e.g.,€U.S.Ð t  ÐCustoms€Service);€andÐ Ör  Ðà  àòòThreeóó,€the€(describe€matter,€e.g.,€U.S.€customs€declaration)€was€a€matter€within€theÐ 8Ô  Ðjurisdiction€of€(name€agency,€e.g.,€U.S.€Customs€Service)òò3óó.€€You€may€find€that€this€element€hasÐ š6 Ðbeen€satisfied€if€you€find€that€the€(name€of€agency)'s€function€includes€(describe€evidenceÐ ü˜ Ðadduced€to€show€agency€jurisdiction,òò€e.g.óó,€"collecting€duties€on€goods€entering€the€UnitedÐ ^ú ÐStates").Ð À\ Ðà  à[A€statement€is€"false"€or€"fictitious,"€if€untrue€when€made,€and€then€known€to€be€untrueÐ "¾ Ðby€the€person€making€it€or€causing€it€to€be€made.]€€[A€statement€or€representation€is€"fraudulent,"Ð „  Ðif€known€to€be€untrue,€and€made€or€caused€to€be€made€with€the€intent€to€deceive€theÐ æ‚! Ðgovernmental€agency€to€whom€it€was€submitted.]òò4óó€Ð Hä# Ðà  àA€[statement]€[representation]€is€"material,"€if€it€has€a€natural€tendency€to€influence,€or€isÐ ª F% Ðcapable€of€influencing,€the€decision€of€the€agency.€€[However,€whether€a€[statement]Ð  "¨' Ð[representation]€is€"material"€does€not€depend€on€whether€the€agency€was€actually€deceived.]òò5óó€Ð n# ) Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Ð$l+ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 2&Î- Ðà  à1.€€Attention€must€be€paid€to€sufficiently€describing€the€€matter€within€federal€jurisdiction.€Ð ”'0!/ ÐThe€example€given€in€Element€òòOneóó€of€Instruction€6.18.1001A,€òòsupraóó,€suggests€a€way€toÐ €("0 Ðcharacterize€a€matter€Ô'&2&š Ôinvolving€a€document€submitted€to€a€local€non-federal€agency.€€TheÐ l)#1 Ðexamples€given€in€Element€€òòOneóó€of€this€instruction€and€Element€òòOneóó€of€Instruction€6.18.1001C,Ð X*ô#2 Ðòòinfraóó,€suggest€a€way€to€characterize€a€matter€involving€a€statement€made€directly€to€a€federalÐ D+à$3 Ðagency.€€Ð 0,Ì%4 Ðà  à2.€€Contrary€to€long„standing€Circuit€holdings,€the€issue€of€materiality€is€an€element€of€theÐ d Ðoffense€which€must€be€decided€by€the€jury.€€òòSeeóó€Committee€Comments,€òòinfraóó,€and€òòUnited€StatesÐ Pì Ðv.€Gaudinóó,€515€U.S.€506€(1995).Ð <Ø Ðà  à3.€€The€statutory€requirement€that€the€matter€be€"within€the€jurisdiction"€of€anyÐ ž : Ðdepartment€or€agency€of€the€United€States€appears€to€be€an€element€of€the€offense.€€Traditionally,Ð Š & Ðthis€issue€has€been€treated€as€a€question€of€law€for€the€court.€€òòTerry€v.€United€Statesóó,€131€F.2d€40,Ð v  Ð44€(8th€Cir.€1942)€(decided€under€18€U.S.C.€ðð€80,€a€predecessor€to€sections€287€and€1001).€Ð b þ ÐHowever,€the€logic€applied€in€òòUnited€States€v.€Gaudinóó€to€the€issue€of€"materiality,"€may€similarlyÐ N ê Ðapply€to€the€issue€of€departmental/agency€jurisdiction.€€Accordingly,€the€Committee€recommendsÐ :Ö  Ðthat€the€third€element€be€added€to€previous€versions€of€this€instruction.€€However,€the€CommitteeÐ &  Ðbelieves€that€whether€an€entity€is€a€department€or€agency€of€the€United€States€need€not€beÐ ®  Ðdetermined€by€the€jury,€but€is€a€question€of€law€which€should€be€found€by€the€Court,€on€theÐ þš  Ðrecord,€before€submitting€the€case€to€the€jury.€€"Department€or€agency"€is€defined€in€18€U.S.C.€ððÐ ê†  Ð6;€òòsee€alsoóó€5€U.S.C.€ðð€101€(executive€departments);€òòUnited€States€v.€Gouldóó,€536€F.2d€216€(8thÐ Ör  ÐCir.€1976)€(if€the€court€reaches€a€"conclusion€through€an€exercise€in€statutory€interpretation"Ð Â^  Ðabout€a€particular€issue,€the€conclusion€is€a€legislative€fact€that€need€not€be€submitted€to€the€jury).Ð ®J Ðà  à4.€€Definitions€of€"false,"€"fictitious"€and€"fraudulent"€should€be€given.€€òòSeeóó€š2A€Kevin€F.Ð ¬ ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¾¤ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¥ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rO¥ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rž¥ #Ô:€€Criminal€ðð40.07€(5th€ed.€2000)Ð ü˜ Ðon€which€this€instruction€is€based.€Ð è„ Ðà  à5.€€"Materiality€involves€only€the€capability€of€influencing€an€agency's€governmentalÐ Jæ Ðfunctions,€i.e.,€does€the€statement€have€a€'natural€tendency€to€influence€or€is€it€capable€ofÐ 6Ò Ðinfluencing€agency€decision.'"€€òòUnited€States€v.€Whitakeróó,€848€F.2d€at€916€(citing€òòUnited€States€v.Ð "¾ ÐPopowóó,€821€F.2d€483€(8th€Cir.€1987)€(citing€òòUnited€States€v.€Richmondóó,€700€F.2d€at€1188)).€€òòSeeóóÐ ª Ðòòalsoóó€òòUnited€States€v.€Voorheesóó,€593€F.2d€346,€349€(8th€Cir.€1979).€€òòGaudinóó€did€not€disturb€thisÐ ú– Ðwell„recognized€definition.€€515€U.S.€at€508.€€òòSee€also€United€States€v.€Adleróó,€623€F.2d€1287,Ð æ‚ Ð1292€n.7€(8th€Cir.€1980)€("[a]€writing€or€document€is€materially€false€if€such€writing€has€a€naturalÐ Òn Ðtendency€to€influence€or€is€capable€of€influencing€the€decision€of€the€government€agency€makingÐ ¾Z Ðthe€determination€required€in€the€matter").€€Actual€reliance€by€the€government€or€success€of€theÐ ª F Ðattempted€deception€is€not€necessary.€€òòSee€United€States€v.€Johnsonóó,€937€F.2d€392,€396€(8th€Cir.Ð –!2 Ð1991);€òòBlake€v.€United€Statesóó,€323€F.2d€245,€247€(8th€Cir.€1963).€€Ð ‚"  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ä#€" Ðà  àòòSeeóó€òòUnited€States€v.€Whitakeróó,€848€F.2d€914,€917€(8th€Cir.€1988);€òòUnited€States€v.Ð F%â$ ÐGilbertsonóó,€588€F.2d€584,€589€(8th€Cir.€1978);€òòUnited€States€v.€Lanieróó,€578€F.2d€1246,€1250-52Ð 2&Î% Ð(8th€Cir.€Ô'&ä#„« Ô1978);€òòUnited€States€v.€Chandleróó,€752€F.2d€1148,€1150€(6th€Cir.€1985);€š2A€Kevin€F.Ð 'º & ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rp­ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rº­ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r® #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rP® #Ô:€€Criminal€ðððð40.05„.08€(5th€ed.Ð  (¦!' Ð2000).€€òòSee€generallyóó€òòWhite€Collar€Crime:€€False€Statementsóó,€18€Am.€Crim.€L.€Rev.€273€(1980).€Ð ö(’"( Ðà  àMost€courts€set€out€the€elements€as€this€circuit€did€in€òòWhitakeróó,€as€follows:€€(1)€aÐ X*ô#* Ðstatement;€(2)€which€is€false;€(3)€and€material;€(4)€made€knowingly€and€willingly€and€(5)€withinÐ D+à$+ Ðthe€government€jurisdiction.€€848€F.2d€at€917;€òòUnited€States€v.€Lichensteinóó,€610€F.2d€1272,€1276Ð 0,Ì%, Ð(5th€Cir.€1980);€òòUnited€States€v.€Godwinóó,€566€F.2d€975,€976€(5th€Cir.€1978)€(per€curiam).€€òòSeeÐ d Ðalsoóó€òòUnited€States€v.€Johnsonóó,€937€F.2d€392,€396€(8th€Cir.€1991)€(same€elements€in€differentÐ Pì Ðorder).Ð <Ø Ðà  àIn€order€to€fall€within€a€federal€agency's€jurisdiction,€it€is€not€necessary€that€the€falseÐ ž : Ðstatement€be€presented€directly€to€a€federal€agency;€it€is€sufficient€if€the€statement€is€made€inÐ Š & Ðsome€intended€relationship€to€a€matter€within€an€agency's€jurisdiction.€€òòUnited€States€v.Ð v  ÐRichmondóó,€700€F.2d€1183,€1187-88€(8th€Cir.€1983).€€òòSee€also€United€States€v.€Rodgersóó,€466€U.S.Ð b þ Ð475€(1984);€òòUnited€States€v.€Bassóó,€472€F.2d€207,€212€(8th€Cir.€1973)€and€cases€cited€therein.€Ð N ê Ðà  àIn€òòHubbard€v.€United€Statesóó,€514€U.S.€695,€715€(1995),€the€Supreme€Court€held€that€"aÐ °L  Ðfederal€court€is€neither€a€ððdepartmentðð€nor€an€ððagencyðð€within€the€meaning€of€ðð€1001,"€overrulingÐ œ8  ÐòòUnited€States€v.€Bramblettóó,€348€U.S.€503€(1955),€which€had€held€that€the€word€"department"€usedÐ ˆ$  Ðin€section€1001€was€meant€to€extend€the€statuteððs€reach€to€all€three€branches€of€government.€€TheÐ t  ÐFalse€Statements€Accountability€Act€of€1996,€Pub.€L.€104„292,€HR€3166€(Oct.€11,€1996),€revisedÐ `ü  Ðsection€1001€to€cover€statements€that€are€made€to€all€three€branches€of€the€federal€government,Ð Lè  Ðeffectively€overruling€òòHubbardóó.Ð 8Ô  Ðà  àThe€defendant€need€not€have€actual€knowledge€that€he€is€making€a€statement€within€theÐ š6 Ðjurisdiction€of€a€federal€agency.€€òòUnited€States€v.€Yermianóó,€468€U.S.€63,€75€(1984);€òòUnited€StatesÐ †" Ðv.€Hildebrandtóó,€961€F.2d€116,€119€(8th€Cir.€1992).€€Nor€must€the€intended€victim€of€the€deceit€beÐ r Ðthe€federal€government.€€òòYermianóó,€468€U.S.€at€69.€Ð ^ú Ðà  àWhile€materiality€is€not€an€explicit€requirement€of€the€second€clause€of€section€1001,€the€€Ð À\ ÐSupreme€Court€has€assumed€that€it€is€and€has€held€that€it€is€a€constitutional€violation€andÐ ¬H Ðreversible€error€to€refuse€to€submit€the€issue€to€the€jury.€€òòUnited€States€v.€Gaudinóó,€515€U.S.€506,Ð ˜4 Ð523€(1995)€(Rehnquist,€C.J.,€concurring€and€noting€and€that€the€Court€did€not€resolve€the€conflictÐ „  Ðamong€the€circuits€but€merely€assumed€that€materiality€is€an€element€of€the€false€statement€clauseÐ p  Ðof€section€1001).€Ð \ø Ðà  àThe€acts€must€be€done€"knowingly€and€willfully."€€"Knowingly"€under€this€clause€of€theÐ ¾Z Ðstatute€has€been€generally€defined€as€"with€knowledge"€and€"willfully"€as€"deliberately"€orÐ ª F Ð"deliberately€with€knowledge."€€òòMcBride€v.€United€Statesóó,€225€F.2d€249,€253-55€(5th€Cir.€1955);Ð –!2  ÐòòNeely€v.€United€Statesóó,€300€F.2d€67,€72-73€(9th€Cir.€1962);€òòUnited€States€v.€Mekjianóó,€505€F.2dÐ ‚"! Ð1320,€1324-25€(5th€Cir.€1975).€€Ð n# " Ðà0  àAs€to€the€element€of€knowingly,€it€is€reasonable€for€the€court€to€inform€the€jury€that€theyÐ Ð$l$ Ðmust€attempt€to€view€this€element€by€looking€at€whether€the€evidence€showed€that€theÐ ¼%X% Ðòòdefendant€knewóó€he€filled€out€the€form€falsely.Ш&D &(#(# ÐòòUnited€States€v.€Coxóó,€696€F.2d€1294,€1297€(11th€Cir.€1983).€€"Knowingly"€includes€knowledge€ofÐ  (¦!( Ðthe€falsity.€€òòUnited€States€v.€Lanieróó,€578€F.2d€at€1252.€Ð ö(’") Ðà  àKnowledge€of€falsity€also€arises€under€this€clause€of€section€1001€in€the€definition€ofÐ X*ô#+ Ð"false"€and€"fictitious."€€"False"€and€"fictitious"€are€standardly€defined€as€in€this€instruction.€Ð D+à$, Ðà  à"Willfully"€is€construed€as€requiring€that€the€conduct€be€intentional,€i.e.,€that€statementsÐ d Ðin€the€invoices€be€intentionally€false.€€òòUnited€States€v.€Richmondóó,€700€F.2d€at€1191-92.€€SuchÐ Pì Ðintent€can€be€shown€by€proving€intent€to€defraud.€€òòId.óó€at€1194.€€However,€"intent€to€defraud„-thatÐ <Ø Ðis€the€intent€to€deprive€someone€of€something€by€means€of€deceit"€is€not€required€by€sectionÐ ( Ä Ð1001.€€òòUnited€States€v.€Lichensteinóó,€610€F.2d€at€1277;€òòUnited€States€v.€Godwinóó,€566€F.2d€at€976.€Ð  ° ÐIntent€under€section€1001€passes€an€intent€to€deceive,€òòid.óó,€an€intent€or€design€to€induce€belief€inÐ  œ Ðthe€falsity€or€an€intent€to€mislead,€òòLichensteinóó,€610€F.2d€at€1277,€or€an€intent€to€disrupt€agencyÐ ì ˆ Ðfunctions€by€false€statements.€€òòId.óó,€610€F.2d€at€1278.€Ð Ø t Ðà  àIn€addition€to€being€one€of€the€ways€in€which€willfulness€can€be€established,€the€issue€ofÐ :Ö  Ð"intent€to€deceive"€also€arises€where€"fraudulent"€statements€are€charged.€€"Fraudulent"€isÐ &  Ðstandardly€defined€as€in€this€instruction.€Ð ®  Ðà  àIn€one€opinion€in€this€circuit,€òòUnited€States€v.€Martinóó,€772€F.2d€1442€(8th€Cir.€1985),€theÐ t  Ðcourt€indicated€"intent€to€deceive"€may€be€an€element.€€The€Committee€has€examined€thisÐ `ü  Ðopinion€and€does€not€believe€that€it€is€authority€for€adding€this€concept€as€an€additional€element,Ð Lè  Ðbut€that€"intent€to€deceive"€is€relevant€in€analyzing€the€element€of€willfulness€and€in€definingÐ 8Ô  Ð"fraudulent."€Ð $À Ðà  àSpecifically,€in€òòUnited€States€v.€Martinóó,€the€defendant€raised€the€issue€of€"intent€toÐ †" Ðdeceive"€by€arguing€that€his€claim€was€not€"fraudulent."€€Both€parties€agreed€"intent€to€deceive"Ð r Ðwas€an€issue,€and€the€court€addressed€"intent€to€deceive"€as€an€element€when€it€should€have€beenÐ ^ú Ðtreated€as€part€of€the€definition€of€"fraudulent."€€The€court€was€never€asked€to€decide€òòhowóó€itÐ Jæ Ðbecame€an€issue.€€Thus,€the€Committee€is€treating€the€€unanalyzed€and€unsupported€statement€inÐ 6Ò Ðthe€opinion€that€"intent€to€deceive"€is€an€element€of€18€U.S.C.€ðð€1001€as€dicta€and€notÐ "¾ Ðcontrolling.€€òòSee€United€States€v.€Marvinóó,€687€F.2d€1221,€1225€(8th€Cir.€1982).Ð  ª ÐÖ€ywì}ÖÓ €Óà@O O ìàò òÔ% €$ ÔÔ  Ô6.18.1001C.€€USING€A€FALSE€DOCUMENT€(18€U.S.C.€ðð€1001)Ô nqÜÊ Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€[making]€[using]€a€false€[writing]€[document]€in€a€matter€within€theÐ <Ø Ðjurisdiction€of€a€governmental€agency,€as€charged€in€[Count€_____€of]€the€indictment,€has€fourÐ ž : Ðelements,€which€are:Ð  œ Ðà  àòòOneóó,€the€defendant€voluntarily€and€intentionally€[made]€[used]€a€[writing]€[document]Ð b þ Ðcontaining€a€[false]€[fictitious]€[fraudulent]€[statement]€[entry]€in€(describe€matter€within€agencyÐ Ä `  Ðjurisdiction,€e.g.,€an€application€for€an€S.B.A.€loan);òò1óó€Ð &  Ðà  àòòTwoóó,€at€the€time€the€defendant€did€so,€he€knew€that€the€[writing]€[document]€contained€aÐ ˆ$  Ð[false]€[fictitious]€[fraudulent]€[statement]€[entry];€€Ð ê†  Ðà  àòòThreeóó,€the€[false]€[fictitious]€[fraudulent]€[statement]€[entry]€was€material€to€the€(name€ofÐ Lè  Ðagency,€e.g.,€Small€Business€Administration)òò2óó;€andÐ ®J Ðà  àòòFouróó,€the€(describe€matter,€e.g.,€an€application€for€an€S.B.A.€loan)€was€a€matter€within€theÐ ¬ Ðjurisdiction€of€the€(name€agency,€e.g.,€Small€Business€Administration).òò3óó€€(You€may€find€that€thisÐ r Ðelement€has€been€satisfied€if€you€find€that€the€(name€of€agency)'s€function€includes€(describeÐ Ôp Ðevidence€adduced€to€show€agency€jurisdiction,€e.g.,€"acting€on€applications€for€loans.")Ð 6Ò Ðà  à[A€statement€or€entry€is€"fraudulent,"€if€known€by€the€defendant€to€be€untrue,€and€made€orÐ ˜4 Ðused€by€the€defendant€with€the€intent€to€deceive€the€governmental€agency€to€whom€submitted.]òò4óó€Ð ú–  Ðà  àA€[writing]€[document]€is€"material"€if€it€has€a€natural€tendency€to€influence,€or€is€capableÐ \ø" Ðof€influencing,€the€decision€of€the€agency.€€[However,€whether€a€[writing]€[document]€isÐ ¾Z$ Ð"material"€does€not€depend€on€whether€the€[agency]€was€actually€deceived.]òò5óóÐ  !¼& Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ‚"( ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ä#€* Ðà  à1.€€Attention€must€be€paid€to€sufficiently€describing€the€matter€within€federal€jurisdiction.€Ð F%â, ÐThe€example€given€in€Element€òòOneóó€of€Instruction€6.18.1001A€suggests€a€way€to€characterize€aÐ 2&Î- ÐÔ'&ä#%Ô Ômatter€involving€a€document€submitted€to€a€local€agency.€€The€examples€given€in€Elementòò€OneóóÐ 'º . Ðof€Instruction€6.18.1001B,€òòsupraóó,€and€Element€òòOneóó€of€this€instruction€suggest€a€way€toÐ  (¦!/ Ðcharacterize€a€matter€involving€a€statement€made€directly€to€a€federal€agency.€€Ð ö(’"0 Ðà  à2.€€šMateriality€is€an€element€of€the€second€("false€statement")€clause€of€18€U.S.C.€ðð€1001Ð X*ô#2 Ðand€it€is€a€constitutional€violation€and€reversible€error€for€the€trial€court€to€refuse€to€submit€theÐ D+à$3 Ðissue€to€the€jury.€€òòUnited€States€v.€Gaudinóó,€515€U.S.€506,€523€(1995)€(unanimous€opinion).€€ThreeÐ 0,Ì%4 Ðjustices€might€have€reached€a€different€conclusion€regarding€the€second€clause€of€18€U.S.C.€ððÐ d Ð1001,€if€the€government€had€not€conceded€that€materiality€is€an€element.€€òòId.óó€at€2320€(Rehnquist,Ð Pì ÐC.J.,€concurring).€€Because€the€first€("concealment")€clause€explicitly€refers€to€a€"material€fact,"Ð <Ø Ðthere€can€be€no€doubt€that€òòGaudinóó€also€requires€that€the€issue€of€materiality€be€submitted€to€theÐ ( Ä Ðjury€in€"concealment"€cases.šÐ  ° Ðà  à3.€€The€statutory€requirement€that€the€matter€be€ð ðwithin€the€jurisdictionðð€of€anyÐ v  Ðdepartment€or€agency€of€the€United€States€appears€to€be€an€element€of€the€offense.€€Traditionally,Ð b þ Ðthis€issue€has€been€treated€as€a€question€of€law€for€the€court.€€òòTerry€v.€United€Statesóó,€131€F.2d€40,Ð N ê Ð44€(8th€Cir.€1942)€(decided€under€18€U.S.C.€ðð€80,€a€predecessor€to€sections€287€and€1001).€Ð :Ö  ÐHowever,€the€logic€applied€in€òòGaudinóó€to€the€issue€of€"materiality,"€may€similarly€apply€to€theÐ &  Ðissue€of€departmental/agency€jurisdiction.€€Accordingly,€the€Committee€recommends€that€theÐ ®  Ðthird€element€be€added€to€previous€versions€of€this€instruction.€€However,€the€CommitteeÐ þš  Ðbelieves€that€whether€an€entity€is€a€department€or€agency€of€the€United€States€need€not€beÐ ê†  Ðdetermined€by€the€jury,€but€is€a€question€of€law€which€should€be€found€by€the€Court,€on€theÐ Ör  Ðrecord,€before€submitting€the€case€to€the€jury.€€"Department€or€agency"€is€defined€in€18€U.S.C.Ð Â^  Ððð6;€òòsee€alsoóó€5€U.S.C.€ðð€101€(executive€departments);€òòUnited€States€v.€Gouldóó,€536€F.2d€216€(8thÐ ®J ÐCir.€1976)€(if€the€court€reaches€a€"conclusion€through€an€exercise€in€statutory€interpretation"Ð š6 Ðabout€a€particular€issue,€the€conclusion€is€a€legislative€fact€that€need€not€be€submitted€to€the€jury).Ð †" Ðà  à4.€€The€definition€of€"false€and€fictitious"€is€not€given€because€the€definition€containsÐ è„ Ðnothing€that€is€not€already€in€the€elements.€€òòSeeóó€Instruction€6.18.1001B,€òòsupraóó.€€"Fraudulent"€isÐ Ôp Ðdefined.€€òòSeeóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r†á #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÐá #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%râ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rfâ #Ô:€Ð À\ ÐCriminal€ðð40.08€(5th€ed.€2000).€Ð ¬H Ðà  à5.€€òòSeeóó€òòUnited€States€v.€Gaudinóó,€515€U.S.€at€508€(agreed€definition);€òòUnited€States€v.Ð ª ÐAdleróó,€623€F.2d€1287,€1292€n.7€(8th€Cir.€1980)€("A€writing€or€document€is€materially€false€ifÐ ú– Ðsuch€writing€has€a€natural€tendency€to€influence€or€is€capable€of€influencing€the€decision€of€theÐ æ‚ Ðgovernmental€agency€making€the€determination€required€in€the€matter.");€òòUnited€States€v.Ð Òn ÐJohnsonóó,€937€F.2d€392,€396€(8th€Cir.€1991)€(actual€reliance€by€the€government€or€success€of€theÐ ¾Z Ðattempted€deception€is€not€necessary);€òòBlake€v.€United€Statesóó,€323€F.2d€245,€247€(8th€Cir.€1963)Ð ª F Ð(same).Ð –!2 ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ø"”! Ðà  àòòSeeóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rxæ #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÂæ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r ç #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rXç #Ô:€€CriminalÐ Z$ö# Ððððð40.09„.12€(5th€ed.€2000);€òòUnited€States€v.€Hicksóó,€619€F.2d€752,€754€(8th€Cir.€1980);€òòEbeling€v.Ð F%â$ ÐÔ'&ø"òå ÔUnited€Statesóó,€248€F.2d€429,€438€(8th€Cir.€1957).€Ð 2&Î% Ðà  àIn€òòHicksóó,€the€court€states€that€"willfully"€should€be€interpreted€"as€that€term€is€nowÐ ”'0!' Ðgenerally€understood€in€the€field€of€federal€criminal€law,"€referring€to€former€ðð€14.06€of€Devitt€&Ð €("( ÐBlackmar€(now€š1A€Kevin€E.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÒé #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rê #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rcê #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r²ê #Ô:€Ð l)#) ÐCriminal€ðð17.05€(5th€ed.€2000))€and€cases€cited€therein.€€These€cases€support€a€definition€ofÐ X*ô#* Ðâ â"voluntarily€and€intentionally."€€Alternatively,€"deliberately"€could€be€used.€€òòSeeóó€CommitteeÐ D+à$+ ÐComments,€Instruction€6.18.1001B,€òòsupraóó.€€"Knowingly€and€intentionally"€was€used€in€theÐ d Ðinstruction€in€òòEbelingóó.€Ð Pì Ðâ âà  àThe€specific€knowledge€required€by€this€clause€of€the€statute€is€set€forth€in€Element€òòTwoóó.€€Ð ²N Ðà  àIn€òòEbelingóó,€the€court€held€that€the€false€documents€themselves€did€not€have€to€beÐ  ° Ðsubmitted€to€the€government€if€it€was€intended€"to€bear€a€relation€or€purpose€as€to€some€matterÐ  œ Ðwhich€is€within€the€jurisdiction€of€a€department€or€agency€of€the€United€States."€€248€F.2d€at€434.€Ð ì ˆ ÐIn€that€case,€the€court€found€that€phony€purchase€orders,€shipping€tickets€and€invoices€created€byÐ Ø t Ða€government€contractor€and€its€subcontractor€as€backup€for€a€false€amount€claimed€under€theÐ Ä `  Ðcontract€were€covered€section€by€1001,€even€though€the€backup€was€not€directly€submitted€forÐ °L  Ðpayment.€Ð œ8  Ðà  àIn€òòHubbard€v.€United€Statesóó,€514€U.S.€695,€715€(1995),€the€Supreme€Court€held€that€"aÐ þš  Ðfederal€court€is€neither€a€ððdepartmentðð€nor€an€ððagencyðð€within€the€meaning€of€ðð€1001,"€overrulingÐ ê†  ÐòòUnited€States€v.€Bramblettóó,€348€U.S.€503€(1955),€which€had€held€that€the€word€"department"€usedÐ Ör  Ðin€section€1001€was€meant€to€extend€the€statuteððs€reach€to€all€three€branches€of€government.€€TheÐ Â^  ÐFalse€Statements€Accountability€Act€of€1996,€Pub.€L.€104„292,€HR€3166€(Oct.€11,€1996),€revisedÐ ®J Ðsection€1001€to€cover€statements€that€are€made€to€all€three€branches€of€the€federal€government,Ð š6 Ðeffectively€overruling€òòHubbardóó.Ð  †" ÐÖ€{yì~ÖÓ €Óà@CCìàò òÔ% €& ÔÔ  Ô6.18.1005.€€FALSE€ENTRY€IN€BANK€RECORDS€(18€U.S.C.€ðð€1005)€(Third€Paragraph)Ô er|ó Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€making€a€false€entry€in€bank€records,€as€charged€in€[Count€_____€of]€theÐ <Ø Ðindictment,€has€four€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€that€the€defendantòò1óó€made€or€caused€to€be€made€a€false€entry€[concerning€a€materialÐ  œ Ðfact]òò2óó€in€a€[book]€[report]€[statement]€of€(name€of€bank€or€other€covered€institution)òò3óó;Ð b þ Ðà  àòòTwoóó,€the€defendant€knew€the€entry€was€false;€Ð Ä `  Ðà  àòòThreeóó,òò4óó€[the€defendant€did€so€with€the€intent€[to€injure]€[to€defraud]€[the€bank]€[(orÐ &  Ðdescribe€other€entity€or€person€covered€by€the€statute€allegedly€intended€to€be€injured€orÐ ˆ$  Ðdefrauded,€i.e.,€"any€other€company,€body€politic€or€corporate,€or€any€individual€person")];]Ð ê†  Ðà  à[the€defendant€did€so€with€the€intent€to€deceive€an€officer€of€the€bank€(or€describe€otherÐ Lè  Ðentity€or€person€covered€by€the€statute€allegedly€intended€to€be€deceived,€i.e.,€"the€Comptroller€ofÐ ®J Ðthe€Currency,€or€the€Federal€Deposit€Insurance€Corporation,€or€any€agent€or€examiner€appointedÐ ¬ Ðto€examine€the€affairs€of€such€bank€or€company,€or€the€Board€of€Governors€of€the€FederalÐ r ÐReserve€System");]€andÐ Ôp Ðà  àòòFouróó,€the€bank€was€(describe€federal€relation,€e.g.,€insured€by€the€FDIC).€€Ð 6Ò Ðà  àAn€entry€is€"false"€if€untrue€when€made.€€An€entry€may€be€false€if€it€records€a€transactionÐ ˜4 Ðwhich€did€not€occur,€or€fails€to€record€a€transaction€which€did€occur€and€should€have€beenÐ ú–  Ðaccurately€recorded,€or€inaccurately€reports€or€records€a€transaction.€€Ð \ø" Ðà  à[To€act€with€"intent€to€injure"€means€to€act€with€intent€to€cause€pecuniary€loss.]€€[To€actÐ ¾Z$ Ðwith€"intent€to€defraud"€means€to€act€with€intent€to€deceive€or€cheat,€ordinarily€for€the€purpose€ofÐ  !¼& Ðcausing€a€financial€loss€to€someone€else€or€bringing€about€a€financial€gain€to€the€defendant€orÐ ‚"( Ðanother.]€€[To€act€with€"intent€to€deceive"€means€to€act€with€intent€to€mislead€or€to€cause€a€personÐ ä#€* Ðto€believe€that€which€is€false.]òò5óóÐ F%â, Ðà  à[A€fact€is€"material"€if€it€has€a€natural€tendency€to€influence,€or€is€capable€of€influencingÐ ¨&D . Ðthe€decision€of€the€institution.€€(Whether€a€fact€is€material€does€not€depend€on€whether€a€courseÐ  (¦!0 Ðof€action€intended€to€deceive€others€actually€succeeded.)]òò6óóÐ l)#2 Ðâ âà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ Î*j$4 ÐÔ& & Ôâ ââ ââ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€The€Federal€Judicial€Center€Pattern€Jury€Instructions€list€as€an€element€that€theÐ Æb Ðdefendant€be€an€employee€of€the€bank.€€The€third€paragraph€of€the€statute€does€not€make€thisÐ ²N ÐÔ'&dXÿ Ôdistinction€and€proscribes€"whoever,"€not€merely€officers,€from€making€false€entries.€€òòUnitedÐ ž : ÐStates€v.€Edickóó,€432€F.2d€350,€352„53€(4th€Cir.€1970).Ð Š & Ðà  à2.€€Although€neither€18€U.S.C.€ðð€1005€nor€ðð€1006€expressly€require€the€false€statement€orÐ ì ˆ Ðentry€to€be€of€a€ð ðmaterial€fact,ðð€both€the€Eleventh€Circuit€and€the€Fifth€Circuit€impose€such€aÐ Ø t Ðrequirement,€albeit€without€much€discussion.€€òòUnited€States€v.€Rappóó,€871€F.2d€957,€963„64€(11thÐ Ä `  ÐCir.€1989)€(citing€òòUnited€States€v.€Jacksonóó,€621€F.2d€216,€219€(5th€Cir.€1980))€(section€1005);Ð °L  ÐòòUnited€States€v.€Beuttenmulleróó,€29€F.3d€973,€982€(5th€Cir.€1994)€(section€1006).€€Both€circuitsÐ œ8  Ðsuggest€using€the€definition€of€materiality€approved€for€section€1001€instructions.€€The€EighthÐ ˆ$  ÐCircuit€has€not€specifically€addressed€this€issue.€€In€òòFeingold€v.€United€Statesóó,€49€F.3d€437€(8thÐ t  ÐCir.€1995),€the€court€mentioned€the€requirement€of€materiality€in€conjunction€with€a€section€1001Ð `ü  Ðcharge,€but€did€not€make€any€reference€to€a€materiality€issue€in€a€section€1005€charge€that€wasÐ Lè  Ðdiscussed€in€the€preceding€sentence.€€The€issue€apparently€was€not€raised,€and€was€not€discussedÐ 8Ô  Ðin€the€appellate€opinion.€€Ð $À Ðà  àIn€section€1001,€materiality€is€important€because€the€statute€requires€that€the€statement€beÐ †" Ðof€a€material€fact€and€no€intent€to€deceive€or€defraud€is€required€for€conviction.€€The€statutoryÐ r Ðlanguage€in€sections€1005€and€1006€does€not€include€a€requirement€of€materiality,€but€doesÐ ^ú Ðimpose€a€requirement€that€the€government€prove€an€intent€to€defraud€or€deceive.€€Materiality€ofÐ Jæ Ðthe€statement€would€seem€less€significant€if€the€individual€seeks€to€deceive€or€defraud.€€TheÐ 6Ò Ðrequirement€of€materiality€was€arguably€intentionally€left€out€of€sections€1005€and€1006€for€thatÐ "¾ Ðreason,€although€no€court€has€yet€so€stated.€€In€the€absence€of€case€law€on€point,€the€CommitteeÐ ª Ðrecommends€requiring€that€materiality€be€found€by€the€jury.€€If€it€is€an€element,€under€the€holdingÐ ú– Ðoòòf€United€States€v.€Gaudinóó,€515€U.S.€506€(1995),€it€is€a€jury€issue€and€must€be€instructed.Ð æ‚ Ðà  à3.€€The€types€of€institutions€covered€include€the€Federal€Reserve€Bank,€member€banks€ofÐ Hä Ðthe€Federal€Reserve€System,€national€banks,€bank€holding€companies,€and€any€state€bank,Ð 4 Ð Ðbanking€association,€trust€company€or€savings€bank,€the€deposits€of€which€are€insured€by€theÐ  !¼ ÐFederal€Deposit€Insurance€Corporation.Ð  "¨  Ðà  à4.€€Intent€to€deceive€rather€than€defraud€or€injure€may€be€alleged€in€the€indictment,€andÐ n# " Ðthe€jury€should€be€instructed€accordingly.€€The€defendant€does€not€have€to€know€that€his€actÐ Z$ö# Ðviolates€the€law€and€is€not€entitled€to€an€instruction€defining€"specific€intent."€€òòUnited€States€v.Ð F%â$ ÐDoughertyóó,€763€F.2d€970,€973„74€(8th€Cir.€1985).€Ð 2&Î% Ðà  àIn€the€event€the€indictment€alleges€and€the€evidence€at€trial€supports€the€submission€to€theÐ ”'0!' Ðjury€of€more€than€one€mental€state,€for€example,€intent€to€defraud€the€bank€and€intent€to€deceiveÐ €("( Ðthe€comptroller€of€currency,€the€jury€may€be€instructed€that€they€can€find€the€defendant€guilty€ifÐ l)#) Ðthey€find€unanimously€and€beyond€a€reasonable€doubt€that€the€government€has€proven€at€leastÐ X*ô#* Ðone€theory.€€òòSee€generally€United€States€v.€Gipsonóó,€553€F.2d€453€(5th€Cir.€1977);€òòUnited€States€v.Ð D+à$+ ÐFrazinóó,€780€F.2d€1461,€1468€(9th€Cir.€1977).€€Ð 0,Ì%, Ðà  à5.€€"Intent€to€deceive"€is€defined€according€to€òòUnited€States€v.€Godwinóó,€566€F.2d€975€(5thÐ d ÐCir.€1978).Ð Pì Ðà  à6.€€òòSee€United€States€v.€Gaudinóó,€515€U.S.€at€508€(agreed€definition);€òòUnited€States€v.Ð ²N ÐAdleróó,€623€F.2d€1287,€1292€n.7€(8th€Cir.€1980)€("A€writing€or€document€is€materially€false€ifÐ ž : Ðsuch€writing€has€a€natural€tendency€to€influence€or€is€capable€of€influencing€the€decision€of€theÐ Š & Ðgovernment€agency€making€the€determination€required€in€the€matter.");€òòUnited€States€v.€Johnsonóó,Ð v  Ð937€F.2d€392,€396€(8th€Cir.€1991)€("Actual€reliance€by€the€government€is€not€necessary.");€òòBlakeÐ b þ Ðv.€United€Statesóó,€323€F.2d€245,€247€(8th€Cir.€1963)€(same).Ð N ê ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ °L  Ðà  àòòSeeóó€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r8 #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r‚ #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÉ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r #Ô:€€CriminalÐ ®  Ððð41.03€(5th€ed.€2000)Ô':°³ Ô.€€òòUnited€States€v.€Biggerstaffóó,€383€F.2d€675€(4th€Cir.€1967).Ð þš  Ðà  à"[S]ection€1005€is€intended€to€be€broad€enough€to€cover€any€document€or€record€of€theÐ `ü  Ðbank€that€would€reveal€pertinent€information€for€the€officers€or€directors€of€the€bank."€€òòUnitedÐ Lè  ÐStates€v.€Fosteróó,€566€F.2d€1045,€1052€(6th€Cir.€1977).Ð 8Ô  Ðà  à"The€essence€of€the€offense€is€making€or€causing€to€be€made€a€bank€entry€whichÐ š6 Ðrepresents€what€is€not€true€or€does€not€exist."€€òòUnited€States€v.€Steffenóó,€641€F.2d€591,€597€(8thÐ †" ÐCir.€1981).€€"An€omission€where€an€honest€entry€would€otherwise€be€made€can€be€a€false€entryÐ r Ðfor€section€1005€purposes."€€òòUnited€States€v.€Coppleóó,€827€F.2d€1182,€1187€(8th€Cir.€1987).€€ForÐ ^ú Ðexample,€omitting€information€that€would€show€the€true€nature€of€a€transaction€can€be€aÐ Jæ Ðviolation.€€òòUnited€States€v.€Austinóó,€823€F.2d€257€(8th€Cir.€1987).€€For€other€examples€of€falseÐ 6Ò Ðentries,€òòsee€United€States€v.€Doughertyóó,€763€F.2d€970€(8th€Cir.€1985)€(failure€to€record€improperÐ "¾ Ðissuance€of€bankers'€acceptances);€òòUnited€States€v.€Mohróó,€728€F.2d€1132€(8th€Cir.€1984)Ð ª Ð(exceeding€loan€limit€and€concealing€documents);€òòUnited€States€v.€Nessóó,€665€F.2d€248€(8th€Cir.Ð ú– Ð1981)€(check„rolling€without€deposits€to€customer€accounts,€which€were€not€really€legitimateÐ æ‚ Ðloans);€òòUnited€States€v.€Steffenóó,€641€F.2d€591€(8th€Cir.€1981)€(forged€minutes€of€board€ofÐ Òn Ðdirectors'€meeting);€òòUnited€States€v.€Bevansóó,€496€F.2d€494€(8th€Cir.€1974)€(rollover€ofÐ ¾Z Ðinsufficient€fund€checks€and€their€treatment€as€new€checks€each€day€to€avoid€posting€asÐ ª F Ðoverdrafts).€€Ð –!2  Ðà  àòòCoffin€v.€United€Statesóó,€156€U.S.€432,€463€(1895),€held€that€"the€making€of€a€false€entry€isÐ ø"”" Ða€concrete€offense€which€is€not€committed€where€the€transaction€entered€actually€took€place,€andÐ ä#€# Ðis€entered€exactly€as€it€occurred."€€However,€the€òòCoffinóó€holding€has€been€modified,€and€a€literallyÐ Ð$l$ Ðtrue€and€accurate€entry€may€still€be€false€if€it€records€a€fraudulent€transaction,€contains€a€halfÐ ¼%X% Ðtruth,€or€conceals€a€material€fact.€€òòAgnew€v.€United€Statesóó,€165€U.S.€36,€52„54€(1897);€òòUnitedÐ ¨&D & ÐStates€v.€Walkeróó,€871€F.2d€1298,€1308€(6th€Cir.€1989);€òòUnited€States€v.€Gleasonóó,€616€F.2d€2,€29Ð ”'0!' Ð(2d€Cir.€1979);€òòUnited€States€v.€Kreppsóó,€605€F.2d€101,€109€(3d€Cir.€1979).€€Ð €("( Ðà  àThe€person€responsible€for€the€false€entries€need€not€have€actually€made€the€entryÐ â)~#* Ðâ âhimself;€it€is€enough€that€he€set€into€motion€the€actions€that€necessarily€resulted€in€the€making€ofÐ Î*j$+ Ðthe€entry€in€the€normal€course€of€business.€€òòUnited€States€v.€Wolfóó,€820€F.2d€1499,€1504€(9th€Cir.Ð d Ð1987);€òòUnited€States€v.€Kreppsóó,€605€F.2d€101,€109€n.28€(3d€Cir.€1979).€€Ð Pì Ðâ âà  àIntent€to€injure,€defraud,€or€deceive€is€an€element.€€No€other€definition€of€"specificÐ ²N Ðintent,"€i.e.,€willfulness€in€the€sense€of€a€purpose€to€violate€the€law€is€necessary.€€òòUnited€States€v.Ð ž : ÐDoughertyóó,€763€F.2d€970,€973„74€(8th€Cir.€1985).€€Consistent€with€the€òòDoughertyóó€opinion,€andÐ Š & Ðwith€the€recommendation€in€Instruction€7.02,€"willfully"€is€not€included€in€the€description€of€theÐ v  Ðmental€element€for€this€offense.€€Cases€that€include€"willfully"€in€the€description€of€the€mentalÐ b þ Ðelement€of€a€section€1005€offense€use€the€term€in€the€sense€of€acting€voluntarily€and€intentionallyÐ N ê Ðrather€than€as€a€"specific€intent"€requirement€of€the€statute.€€For€example,€the€Fifth€CircuitÐ :Ö  Ðinstruction€does€not€include€"willfully"€as€part€of€the€mental€element€of€a€section€1005€violation,Ð &  Ðand€òòUnited€States€v.€Jacksonóó,€621€F.2d€216,€219€(5th€Cir.€1980),€lists€section€1005€elementsÐ ®  Ðwithout€mentioning€"willfully."€€A€recent€case,€òòUnited€States€v.€Kingtonóó,€875€F.2d€1091,€1104Ð þš  Ð(5th€Cir.€1989),€cites€òòJacksonóó€in€listing€section€1005€elements.€€However,€in€denying€a€rehearingÐ ê†  Ðin€òòKingtonóó,€the€court€stated€at€878€F.2d€815,€817,€"[w]e€note€in€particular€that€the€district€court'sÐ Ör  Ðintent€instruction€on€the€section€1005€count€required€both€willfulness€òòandóó€an€intent€to€injure€orÐ Â^  Ðdefraud."€€Also,€in€a€recent€case,€the€Eleventh€Circuit€said,€"[t]o€substantiate€the€[section€1005Ð ®J Ðviolations]€the€government€must€prove€...€that€Rapp€òòknowinglyóó€and€òòwillfullyóó€made,€or€directed€orÐ š6 Ðauthorized€the€making€of,€a€false€entry€concerning€a€material€fact€in€a€book€or€record€...€withÐ †" Ðknowledge€of€its€falsity€and€with€the€intent€to€defraud€or€deceive€...."€€òòUnited€States€v.€Rappóó,Ð r Ð871€F.2d€957,€963€(11th€Cir.€1989)€(citing€òòJacksonóó€as€the€source€of€these€elements).€€UnderÐ ^ú Ðparagraph€three€of€section€1005€it€is€error€to€give€a€"reckless€disregard"€instruction,€sinceÐ Jæ Ð"reckless€disregard"€does€not€adequately€reflect€the€statutorily€required€mental€state.€€òòSee€UnitedÐ 6Ò ÐStates€v.€Welliveróó,€601€F.2d€203,€210€(5th€Cir.€1979);€òòUnited€States€v.€Adamsonóó,€700€F.2d€953,Ð "¾ Ð964€(5th€Cir.€1983).€€Although€materiality€is€not€statutorily€required,€some€circuits€have€imposedÐ ª Ðthe€requirement.€€òòSeeóó€cases€cited€in€Note€2,€òòsupraóó.€€Until€the€Eighth€Circuit€addresses€the€issue,Ð ú– Ðthe€Committee€recommends€including€materiality€in€the€jury€instructions€and€allowing€the€jury€toÐ æ‚ Ðdecide€the€issue.Ð Òn Ðà  àIn€cases€where€violations€of€civil€rules€and€regulations€are€shown€by€the€evidence,€it€mayÐ 4 Ð Ðbe€appropriate€to€instruct€the€jury€that€they€are€not€to€consider€violations€of€such€regulations€as€aÐ  !¼ Ðcrime.€€òòSee€United€States€v.€Kindigóó,€854€F.2d€703,€707€n.1€(5th€Cir.€1988).Ð   "¨ ÐÖ€~{ìÖÓ €Óà@ÊÊ ìàò òÔ% €- ÔÔ  Ô6.18.1006A.€€FALSE€ENTRIES€IN€FEDERAL€CREDIT€INSTITUTION€RECORDS€ˆÐ d Ðà@â â ìà(18€U.S.C.€ðð€1006)€(First€Paragraph)Ô fe«/ Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€making€a€false€entry€in€credit€institution€records,€as€charged€in€[CountÐ ( Ä Ð_____€of]€the€indictment,€has€[four]€[five]€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€was€[an€officer€of]€[an€agent€of]€[an€employee€of]€[connected€in€aÐ ì ˆ Ðcapacity€with]òò1óó€(name€of€covered€agency€or€institution);òò2óóÐ N ê  Ðà  àòòTwoóó,€the€defendant€made€or€caused€to€be€made€a€false€entry€[concerning€a€material€fact]òò3óóÐ °L  Ðin€a€[book€of]€[report€of]€[statement€of€or€to]€(name€of€agency€or€institution);Ð ®  Ðà  àòòThreeóó,€the€defendant€knew€the€entry€was€false;€Ð t  Ðà  àòòFouróó,òò4óó€the€defendant€did€so€with€the€intent€to€[defraud€the€institution€(or€describe€otherÐ Ör  Ðcovered€entity€or€person€allegedly€intended€to€be€defrauded,€i.e.,€"any€other€company,€bodyÐ 8Ô  Ðpolitic€or€corporate,€or€any€individual");]€[deceive€an€[officer]€[auditor]€[examiner]€[agent]€ofÐ š6 Ð[the€institution]€[department€or€agency€of€the€United€States.]òò5óóÐ ü˜ Ðà  à[òòFiveóó,€(name€of€institution)€was€(describe€federal€relation,€e.g.,€accounts€insured€by€theÐ ^ú ÐAdministrator€of€the€National€Credit€Union€Administration).]òò6óóÐ À\ Ðà  àAn€entry€is€"false"€if€untrue€when€made.€€An€entry€may€be€false€if€it€records€a€transactionÐ "¾ Ðwhich€did€not€occur,€or€fails€to€record€a€transaction€which€did€occur€and€should€have€beenÐ „  Ðaccurately€recorded,€or€inaccurately€reports€or€records€a€transaction.€€Ð æ‚! Ðà  à[To€act€with€"intent€to€defraud"€means€to€act€with€intent€to€deceive€or€cheat,€ordinarily€forÐ Hä# Ðthe€purpose€of€causing€a€financial€loss€to€someone€else€or€bringing€about€a€financial€gain€to€theÐ ª F% Ðdefendant€or€another.]€€[To€act€with€"intent€to€deceive"€means€to€act€with€intent€to€mislead€or€toÐ  "¨' Ðcause€a€person€to€believe€that€which€is€false.]òò7óóÐ n# ) Ðà  à[A€fact€is€"material"€if€it€has€a€natural€tendency€to€influence,€or€is€capable€of€influencingÐ Ð$l+ Ðthe€decision€of€the€institution.€€(Whether€a€fact€is€material€does€not€depend€on€whether€a€courseÐ 2&Î- Ðof€action€is€intended€to€deceive€others€actually€succeeded.)]òò8óóÐ ”'0!/ Ðâ âà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ö(’"1 ÐÔ& & Ôâ ââ ââ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€The€language€in€the€statute,€"connected€in€any€capacity€with,"€is€construed€broadly€toÐ Æb Ðeffectuate€congressional€intent€by€protecting€federally€insured€lenders€from€fraud.€€òòUnited€StatesÐ ²N ÐÔ'&d ; Ôv.€Prateróó,€805€F.2d€1441,€1446€(11th€Cir.€1986);€òòUnited€States€v.€Payneóó,€750€F.2d€844,€853€(11thÐ ž : ÐCir.€1985).€€Ð Š & Ðà  à2.€€The€types€of€agencies€and€institutions€covered€include€among€others:€€Federal€DepositÐ ì ˆ ÐInsurance€Corporation,€National€Credit€Union€Administration,€Office€of€Thrift€Supervision,Ð Ø t ÐResolution€Trust€Corporation,€and€any€lending,€mortgage,€insurance,€credit€or€savings€and€loanÐ Ä `  Ðcorporation€or€association€acting€under€the€laws€of€the€United€States€or€any€institution€theÐ °L  Ðaccounts€of€which€are€insured€by€the€Federal€Deposit€Insurance€Corporation€or€the€NationalÐ œ8  ÐCredit€Union€Administration€Board.Ð ˆ$  Ðà  à3.€€šAlthough€neither€18€U.S.C.€ðð€1005€nor€ðð€1006€expressly€require€the€false€statement€orÐ ê†  Ðentry€to€be€of€a€ð ðmaterial€fact,ðð€both€the€Eleventh€Circuit€and€the€Fifth€Circuit€impose€such€aÐ Ör  Ðrequirement,€albeit€without€much€discussion.€€òòUnited€States€v.€Rappóó,€871€F.2d€957,€963„64€(11thÐ Â^  ÐCir.€1989)€(citing€òòUnited€States€v.€Jacksonóó,€621€F.2d€216,€219€(5th€Cir.€1980))€(section€1005);Ð ®J ÐòòUnited€States€v.€Beuttenmulleróó,€29€F.3d€973,€982€(5th€Cir.€1994)€(section€1006).€€Both€circuitsÐ š6 Ðsuggest€using€the€definition€of€materiality€approved€for€section€1001€instructions.€€The€EighthÐ †" ÐCircuit€has€not€specifically€addressed€this€issue.€€In€òòFeingold€v.€United€Statesóó,€49€F.3d€437€(8thÐ r ÐCir.€1995),€the€court€mentioned€the€requirement€of€materiality€in€conjunction€with€a€section€1001Ð ^ú Ðcharge,€but€did€not€make€any€reference€to€a€materiality€issue€in€a€section€1005€charge€that€wasÐ Jæ Ðdiscussed€in€the€preceding€sentence.€€The€issue€apparently€was€not€raised,€and€was€not€discussedÐ 6Ò Ðin€the€appellate€opinion.€€Ð "¾ Ðà  àIn€section€1001,€materiality€is€important€because€the€statute€requires€that€the€statement€beÐ „  Ðof€a€material€fact€and€no€intent€to€deceive€or€defraud€is€required€for€conviction.€€The€statutoryÐ p  Ðlanguage€in€sections€1005€and€1006€does€not€include€a€requirement€of€materiality,€but€doesÐ \ø Ðimpose€a€requirement€that€the€government€prove€an€intent€to€defraud€or€deceive.€€Materiality€ofÐ Hä Ðthe€statement€would€seem€less€significant€if€the€individual€seeks€to€deceive€or€defraud.€€TheÐ 4 Ð Ðrequirement€of€materiality€was€arguably€intentionally€left€out€of€sections€1005€and€1006€for€thatÐ  !¼ Ðreason,€although€no€court€has€yet€so€stated.€€In€the€absence€of€case€law€on€point,€the€CommitteeÐ  "¨  Ðrecommends€requiring€that€materiality€be€found€by€the€jury.€€If€it€is€an€element,€under€the€holdingÐ ø"”! Ðoòòf€United€States€v.€Gaudinóó,€515€U.S.€506€(1995),€it€is€a€jury€issue€and€must€be€instructed.šÐ ä#€" Ðà  à4.€€The€jury€should€be€instructed€on€intent€to€defraud€or€to€deceive€according€to€theÐ F%â$ Ðallegations€of€the€indictment.€€Ð 2&Î% Ðà  à5.€€Intent€to€injure,€defraud,€or€deceive€is€an€element.€€No€other€definition€of€"specificÐ ”'0!' Ðintent,"€i.e.,€willfulness€in€the€sense€of€a€purpose€to€violate€the€law€is€necessary.€€òòUnited€States€v.Ð €("( ÐDoughertyóó,€763€F.2d€970,€973„74€(8th€Cir.€1985).€€Consistent€with€the€òòDoughertyóó€opinion,€andÐ l)#) Ðwith€the€recommendation€in€Instruction€7.02,€òòinfraóó,€"willfully"€is€not€included€in€the€descriptionÐ X*ô#* Ðof€the€mental€element€for€this€offense.€€Cases€that€include€"willfully"€in€the€description€of€theÐ D+à$+ Ðmental€element€of€a€section€1005€violation,€and€òòUnited€States€v.€Jacksonóó,€621€F.2d€216,€219€(5thÐ 0,Ì%, ÐCir.€1980),€list€section€1005€elements€without€mentioning€"willfully."€€òòUnited€States€v.€Kingtonóó,Ð d Ð875€F.2d€1091,€1104€(5th€Cir.€1989),€cites€òòJacksonóó€in€listing€section€1005€elements.€€However,€inÐ Pì Ðdenying€a€rehearing€in€òòKingtonóó,€the€court€stated€at€878€F.2d€815,€817,€"[w]e€note€in€particularÐ <Ø Ðthat€the€district€court's€intent€instruction€on€the€section€1005€count€required€both€willfulness€òòandóóÐ ( Ä Ðan€intent€to€injure€or€defraud."€€Also,€the€Eleventh€Circuit€said,€"[t]o€substantiate€the€[sectionÐ  ° Ð1005€violations]€the€government€must€prove€...€that€Rapp€òòknowinglyóó€and€òòwillfullyóó€made,€orÐ  œ Ðdirected€or€authorized€the€making€of,€a€false€entry€concerning€a€material€fact€in€a€book€or€recordÐ ì ˆ Ð...€with€knowledge€of€its€falsity€and€with€the€intent€to€defraud€or€deceive€...."€€òòUnited€States€v.Ð Ø t ÐRappóó,€871€F.2d€957,€963€(11th€Cir.€1989)€(citing€òòJacksonóó€as€the€source€of€these€elements).€Ð Ä ` Ðà  à6.€€Use€this€paragraph€where€the€false€entry€is€in€a€report€of€a€lending€institution€ratherÐ &  Ðthan€one€of€the€federal€agencies€named€in€the€statute.€€The€Federal€Savings€and€Loan€InsuranceÐ ®  ÐCorporation€was€abolished€in€1989.€€Institutions€formerly€insured€by€FSLIC€are€now€insured€byÐ þš  ÐFDIC.€€Section€1006€was€amended€one€year€later€to€account€for€this€change€and€the€legal€effectÐ ê†  Ðof€the€delay€is€unclear.€Ð Ör  Ðà  à7.€€"Intent€to€deceive"€is€defined€according€to€òòUnited€States€v.€Godwinóó,€566€F.2d€975€(5thÐ 8Ô  ÐCir.€1978).Ð $À Ðà  à8.€€òòSee€United€States€v.€Gaudinóó,€515€U.S.€at€508€(agreed€definition);€òòUnited€States€v.Ð †" ÐAdleróó,€623€F.2d€1287,€1292€n.7€(8th€Cir.€1980)€("A€writing€or€document€is€materially€false€ifÐ r Ðsuch€writing€has€a€natural€tendency€to€influence€or€is€capable€of€influencing€the€decision€of€theÐ ^ú Ðgovernment€agency€making€the€determination€required€in€the€matter.");€òòUnited€States€v.€Johnsonóó,Ð Jæ Ð937€F.2d€392,€396€(8th€Cir.€1991)€("Actual€reliance€by€the€government€is€not€necessary.");€òòBlakeÐ 6Ò Ðv.€United€Statesóó,€323€F.2d€245,€247€(8th€Cir.€1963)€(same).Ð "¾ ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ „  Ðà  àòòSeeóó€òòUnited€States€v.€Tullosóó,€868€F.2d€689,€693„94€(5th€Cir.€1989);€òòUnited€States€v.Ð æ‚ ÐStovallóó,€825€F.2d€817,€822€(5th€Cir.),€òòopinion€amendedóó,€833€F.2d€526€(5òòthóó€Cir.€1987).Ð Òn ÐÔ'œ„ÇU Ôà  àA€false€entry€in€the€records€of€a€federal€lending€institution€in€violation€of€section€1006Ð 4 Ð Ðand€willful€misapplication€of€the€funds€of€a€federal€lending€institution€in€violation€of€section€657Ð  !¼  Ðare€separate€offenses.€€òòUnited€States€v.€Stovallóó,€825€F.2d€at€822„23.Ð  "¨! Ðà  àFailure€to€disclose€a€bank€officer's€interest€in€a€loan,€and€failure€to€disclose€nomineeÐ n# # Ðstatus€of€a€borrower,€constitute€false€entries.€€òòUnited€States€v.€Rochesteróó,€898€F.2d€971,€978€(5thÐ Z$ö$ ÐCir.€1990);€òòUnited€States€v.€Tullosóó,€868€F.2d€at€694€n.6.Ð F%â% Ðà  àòòUnited€States€v.€Payneóó,€750€F.2d€844,€861€(11th€Cir.€1985),€holds€that€the€"exculpatoryÐ ¨&D ' Ðno"€doctrine,€which€developed€as€an€exception€to€18€U.S.C.€ðð€1001,€is€applicable€to€prosecutionsÐ ”'0!( Ðunder€section€1006.€€Ð €(") Ðà  àòòTullosóó€and€òòStovallóó€include€"knowingly€and€willfully"€in€defining€the€mental€element€of€aÐ â)~#+ Ðsection€1006€offense.€€The€Committee€believes€that€the€reasoning€of€òòUnited€States€v.€Doughertyóó,Ð Î*j$, Ð763€F.2d€970,€973„74€(8th€Cir.€1985),€applies,€and€that€there€is€no€need€to€instruct€on€an€elementÐ º+V%- Ðof€willfulness.€€Intent€to€defraud€or€to€deceive€correctly€defines€the€mental€element€of€the€offense.€Ð d ÐòòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Rochesteróó,€898€F.2d€971,€979€(5th€Cir.€1990);€òòUnited€States€v.€Payneóó,Ð Pì Ð750€F.2d€844,€858€(11th€Cir.€1989);€òòUnited€States€v.€Chenauróó,€552€F.2d€294,€297€n.3€and€299€n.7Ð <Ø Ð(9th€Cir.€1977);€òòUnited€States€v.€Hykelóó,€461€F.2d€721,€723€(3d€Cir.€1972);€òòBeaudine€v.€UnitedÐ ( Ä ÐStatesóó,€368€F.2d€417,€420€n.4€(5th€Cir.€1966).€€šAlthough€materiality€is€not€statutorily€required,Ð  ° Ðsome€circuits€have€imposed€the€requirement.€€òòSeeóó€cases€cited€in€Note€2,€òòsupraóó.€€Until€the€EighthÐ  œ ÐCircuit€addresses€the€issue,€the€Committee€recommends€including€materiality€in€the€juryÐ ì ˆ Ðinstructions€and€allowing€the€jury€to€decide€the€issue.Ð Ø t Ðà  àIn€cases€where€violations€of€civil€rules€and€regulations€are€shown€by€the€evidence,€it€mayÐ :Ö  Ðbe€appropriate€to€instruct€the€jury€that€they€are€not€to€consider€violations€of€such€regulations€as€aÐ &  Ðcrime.€€òòSeeóó€òòUnited€States€v.€Kindigóó,€854€F.2d€703,€707€n.1€(5th€Cir.€1988).€€Ð  ®  ÐÖ€€~ì€ÖÓ €Óà@p p ìàò òÔ% €/ ÔÔ  Ô6.18.1006B.€€PARTICIPATION€IN€FEDERAL€CREDIT€ˆÐ d Ðà@óó ìàINSTITUTION€TRANSACTIONS€(18€U.S.C.€ðð€1006,€Third€Paragraph)Ô it¶a Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€(describe€offense€charged,€e.g.,€receiving€benefits€through€a€transaction€of€aÐ ( Ä Ðcredit€institution),€as€charged€in€[Count€_____€of]€the€indictment,€has€[three]€[four]€elements,Ð Š & Ðwhich€are:€Ð ì ˆ Ðà  àòòOneóó,€the€defendant€was€[an€officer€of]€[an€agent€of]€[an€employee€of]€[connected€in€aÐ N ê  Ðcapacity€with]òò1óó€(name€of€covered€agency€or€institution)òò2óó;Ð °L  Ðà  àòòTwoóó,€the€defendant€[participated€in]€[shared€in]€[directly€or€indirectly€received]€anyÐ ®  Ð[money]€[profit]€[property]€[benefit]€through€[a€transaction]€[a€loan]€[a€commission]€[a€contract]Ð t  Ð[an€act]€of€(name€of€covered€agency€or€institution);Ð Ör  Ðà  àòòThreeóó,€the€defendant€did€so€with€the€intent€to€defraud€[the€United€States]€[an€agency€ofÐ 8Ô  Ðthe€United€States]€(name€of€covered€agency€or€institution);€Ð š6 Ðà  à[òòFouróó,€(name€of€institution)€was€(describe€federal€relation,€e.g.,€accounts€insured€by€theÐ ü˜ ÐAdministrator€of€the€National€Credit€Union€Administration).]òò3óó€€Ð ^ú Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€with€intent€to€deceive€or€cheat,€ordinarily€forÐ À\ Ðthe€purpose€of€causing€a€financial€loss€to€someone€else€or€bringing€about€a€financial€gain€to€theÐ "¾ Ðdefendant€or€another.Ð „  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ æ‚! ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Hä# Ðà  à1.€€Title€18€U.S.C.€ðð€1005€was€amended€by€the€Financial€Institutions€Reform,€RecoveryÐ ª F% Ðand€Enforcement€Act€(FIRREA)€of€1989€to€include€a€paragraph€similar€to€the€third€clause€of€18Ð –!2& ÐU.S.C.€Ô'&H-i Ôðð€1006.€€Presumably,€this€instruction€can€serve€as€a€pattern€for€section€1005€offensesÐ ‚"' Ðunder€the€new€provision.€€The€language€in€the€statute,€"connected€in€any€capacity€with,"€isÐ n# ( Ðconstrued€broadly€to€effectuate€congressional€intent€by€protecting€federally€insured€lenders€fromÐ Z$ö) Ðfraud.€€òòUnited€States€v.€Prateróó,€805€F.2d€1441,€1446€(11th€Cir.€1986);€òòUnited€States€v.€Payneóó,Ð F%â* Ð750€F.2d€844,€853€(11th€Cir.€1985).€€Ð 2&Î+ Ðà  à2.€€The€types€of€agencies€and€institutions€covered€include€among€others:€€Federal€DepositÐ ”'0!- ÐInsurance€Corporation,€National€Credit€Union€Administration,€Office€of€Thrift€Supervision,Ð €(". ÐResolution€Trust€Corporation,€and€any€lending,€mortgage,€insurance,€credit€or€savings€and€loanÐ l)#/ Ðcorporation€or€association€acting€under€the€laws€of€the€United€States€or€any€institution€theÐ X*ô#0 Ðaccounts€of€which€are€insured€by€the€Federal€Deposit€Insurance€Corporation€or€the€NationalÐ D+à$1 ÐCredit€Union€Administration€Board.Ð 0,Ì%2 Ðà  à3.€€Use€this€paragraph€where€the€illegal€participation€or€receipt€of€benefits€is€inÐ d Ðconnection€with€a€transaction€of€a€lending€institution€rather€than€one€of€the€federal€agenciesÐ Pì Ðnamed€in€the€statute.€€The€Federal€Savings€and€Loan€Insurance€Corporation€was€abolished€inÐ <Ø Ð1989.€€Institutions€formerly€insured€by€FSLIC€are€now€insured€by€FDIC.€€Section€1006€wasÐ ( Ä Ðamended€one€year€later€to€account€for€this€change,€and€the€legal€effect€of€the€delay€is€unclear.Ð  ° ÐÔ& ˆ Ôà@55!ìàò òCommittee€Commentsó óˆÐ v  Ðà  àòòSeeóó€òòUnited€States€v.€Griffinóó,€579€F.2d€1104,€1108€(8th€Cir.€1978);€òòUnited€States€v.Ð Ø t ÐChenauróó,€552€F.2d€294,€297€n.3€(9th€Cir.€1977);€òòUnited€States€v.€Hykelóó,€461€F.2d€721,€723€(3dÐ Ä `  ÐCir.€1972).Ð °L  ÐÔ'ˆv 0q Ôà  àParticipation€or€benefit€with€intent€to€defraud€is€sufficient;€there€is€no€need€to€show€actualÐ ®  Ðloss€to€the€institution.€€òòUnited€States€v.€Riceóó,€645€F.2d€691€(9th€Cir.€1981);€òòUnited€States€v.Ð þš  ÐChenauróó,€552€F.2d€at€299;€òòBeaudine€v.€United€Statesóó,€368€F.2d€417,€420€(5th€Cir.€1966).Ð ê†  Ðà  àThe€offense€of€misapplication€of€funds€(18€U.S.C.€ðð€657)€is€different€from€the€offense€ofÐ Lè  Ðfraudulent€participation€in€the€benefits€of€a€loan€(18€U.S.C.€ðð€1006).€€òòUnited€States€v.€Rochesteróó,Ð 8Ô  Ð898€F.2d€971,€980€(5th€Cir.€1990).€€Ð $À Ðà  àAlthough€case€law€discusses€willfulness€as€an€intent€element€of€a€section€1006€violation,Ð †" Ðòòseeóó,€òòe.g.óó,€òòUnited€States€v.€Rochesteróó,€898€F.2d€at€978„79,€the€Committee€believes€the€rationale€ofÐ r ÐòòUnited€States€v.€Doughertyóó,€763€F.2d€970,€973„74€(8th€Cir.€1985),€controls,€and€that€a€"specificÐ ^ú Ðintent"€instruction€should€not€be€given.€€òòGriffinóó€lists€as€the€fourth€element€of€a€section€1006Ð Jæ Ðviolation€"that€such€act€or€acts€were€done€knowingly€and€willfully."€€579€F.2d€at€1108.€€However,Ð 6Ò ÐòòDoughertyóó€was€decided€after€òòGriffinóó,€and€"specific€intent,"€apart€from€intent€to€defraud€orÐ "¾ Ðdeceive,€does€not€appear€to€be€required€by€section€1006.€Ð ª Ðà  àòòSee€alsoóó€Committee€Comments€and€Notes€on€Use,€Instruction€6.18.1006A,€òòsupraóó.Ð  p  ÐÖ€‚€ìÖÓ €Óà@ìàò òÔ% €1 ÔÔ  Ô6.18.1014.€€FALSE€STATEMENT€TO€A€FINANCIAL€INSTITUTION€(18€U.S.C.€ðð€1014)Ô itQy Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€making€a€false€statement€to€a€financial€institution,òò1óó€as€charged€in€[CountÐ <Ø Ð_____€of]€the€indictment,€has€three€elements,€which€are:òò2óó€€Ð ž : Ðà  àòòOneóó,€the€defendant€knowingly€made€a€false€statement€(describe€the€alleged€falseÐ  œ Ðstatement,€òòe.g.óó,€that€the€defendant€had€no€current€indebtedness€to€another€financial€institution)€toÐ b þ Ð(name€of€financial€institution);€Ð Ä `  Ðà  àòòTwoóó,€the€defendant€made€the€false€statement€for€the€purpose€of€influencing€the€action€ofÐ &  Ð(name€of€financial€institution)€upon€(describe€transaction,€òòe.g.óó,€an€application€for€a€loan);€Ð ˆ$  Ðà  àòòThreeóó,€that€(name€of€financial€institution)€was€(describe€federal€relation,€e.g.,€insured€byÐ ê†  Ðthe€FDIC)€at€the€time€the€statement€was€made.òò3óóÐ Lè  Ðà  àA€statement€is€"false"€if€untrue€when€made.€€Ð ®J Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ¬ ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€ð ðFinancial€institutionðð€is€defined€in€18€U.S.C.€ðð€20€to€include€businesses€other€thanÐ Ôp Ðbanks,€òòe.g.óó,€the€Federal€Housing€Administration,€the€Federal€Crop€Insurance€Corp.,€the€FederalÐ À\ ÐReserve€Bank,€the€Small€Business€Administration,€federal€credit€unions,€and€mortgage€lendingÐ ¬H Ðbusinesses€that€make€federally„related€mortgage€loans.€€If€the€fraud€was€against€a€financialÐ ˜4 Ðinstitution€other€than€a€bank,€this€phrase€should€be€modified€accordingly€throughout€theÐ „  Ðinstruction.Ð p  Ðà  à2.€€Materiality€is€not€an€element€of€section€1014.€€òòUnited€States€v.€Wellsóó,€519€U.S.€482Ð Òn! Ð(1997).€€"[A]ny€reference€to€materiality€in€the€jury€instruction€is€unnecessary€and€has€theÐ ¾Z" Ðpotential€to€cause€confusion."€€òòUnited€States€v.€Wellsóó,€127€F.3d€739,€744€(1997)€(on€remand).Ð ª F# Ðà  à3.€€Proof€of€federal€relation€is€required.€€òòUnited€States€v.€Carlisleóó,€118€F.3d€1271,€1274Ð  "¨% Ð(8th€Cir.€1997);€òòUnited€States€v.€Chandleróó,€66€F.3d€1460,€1466€(8th€Cir.€1995)€(quoting€òòUnitedÐ ø"”& ÐStates€v.€Whiteóó,€882€F.2d€250,€253„54€(7th€Cir.€1989)).Ð ä#€' ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ F%â) Ðà  àReliance€is€not€an€element€of€a€section€1014€violation.€€It€is€not€necessary€to€prove€thatÐ ¨&D + Ðthe€financial€institution€was€influenced€by€or€actually€relied€on€the€false€statement.€€òòUnited€StatesÐ ”'0!, Ðv.€Ô'&F%þƒ ÔCoppleóó,€827€F.2d€1182,€1187€(8th€Cir.€1987);€òòUnited€States€v.€Huntressóó,€956€F.2d€1309,€1317Ð €("- Ð(5òòthóó€Cir.€1992).€€Materiality,€likewise,€is€not€an€element€of€section€1014.€€òòUnited€States€v.€Wellsóó,Ð l)#. Ðâ â519€U.S.€482€(1997).Ð X*ô#/ Ðà  àMultiple€false€statements€in€a€single€document€constitutes€only€one€violation€of€sectionÐ d Ðâ â1014.€€òòUnited€States€v.€Sueóó,€586€F.2d€70€(8th€Cir.€1978).Ð  Pì ÐÖ€ƒ‚Ø‚ÖÑ8€w,XdìÌXXdì8ÑÓ €Óà@>> ìàò òÔ% €3 ÔÔ  Ô6.18.1028A.€€AGGRAVATED€IDENTITY€THEFT€(18€U.S.C.€ðð€1028A(a)(1))Ô re㇠Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€aggravated€identity€theft,€as€charged€in€[Count€___€of]€the€indictment,€hasÐ <Ø Ðfour€elements,òò1óó€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€knowingly€[transferred]€[possessed]€[used]òò2óó€the€(specify€means€ofÐ  œ Ðidentification€transferred,€possessed,€or€used,€e.g.,€Social€Security€number);òò3óóÐ b þ Ðà  àòòTwoóó,€the€defendant€knew€that€the€(specify€means€of€identification)€the€defendantÐ Ä `  Ð[transferred]€[possessed]€[used]€belonged€to€another€person;òò4,€5óóÐ &  Ðà  àòòThreeóó,€the€defendant€[transferred]€[possessed]€[used]€the€(specify€means€of€identification)Ð ˆ$  Ðwithout€lawful€authority;€and,Ð ê†  Ðà  àòòFouróó,€the€defendant€[transferred]€[possessed]€[used]€the€(specify€means€of€identification)Ð Lè  Ðduring€and€in€relation€to€the€crime€of€(list€predicate€felony€from€18€U.S.C.€ðð€1028A(c),€e.g.,€mailÐ ®J Ðfraud)€[as€charged€in€Count€___€of€the€indictment].Ð ¬ Ðà  àA€person€commits€the€crime€of€(list€predicate€felony€from€18€U.S.C.€ðð€1028A(c))€if€[he]Ð r Ð[she]€(insert€elements€of€predicate€felony€from€18€U.S.C.€ðð€1028A(c)).Ð Ôp Ðà  àThe€phrase€ð ðwithout€lawful€authorityðð€means€that€defendant€[transferred]€[possessed]Ð 6Ò Ð[used]€anotherððs€(specify€means€of€identification)€[without€that€personððs€permission]€[havingÐ ˜4 Ðobtained€that€personððs€permission€illegally].òò6óóÐ ú–  Ðà  àThe€phrase€ð ðduring€and€in€relation€toðð€means€that€the€(specify€means€of€identificationÐ \ø" Ðtransferred,€possessed,€or€used)€was€[transferred]€[possessed]€[used]€in€furtherance€of€theÐ ¾Z$ Ðcommission€of€the€crime€of€(insert€predicate€felony€from€18€U.S.C.€ðð€1028A(c));€it€must€haveÐ  !¼& Ðbeen€used€to€some€purpose€or€effect€with€respect€to€the€commission€of€the€crime€of€(insertÐ ‚"( Ðpredicate€felony€from€18€U.S.C.€ðð€1028A(c));€the€presence€or€involvement€of€the€(specify€meansÐ ä#€* Ðof€identification€transferred,€possessed,€or€used)€in€the€commission€of€the€(specify€predicateÐ F%â, Ðfelony)€cannot€be€the€result€of€accident€or€coincidence.€€[The€(specify€means€of€identificationÐ ¨&D . Ðtransferred,€possessed,€or€used)€must€facilitate€or€have€the€potential€to€facilitate€commission€ofÐ  (¦!0 Ðthe€(specify€predicate€felony).òò7óóÐ l)#2 Ðâ âà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð Î*j$4 ÐÔ& œ Ôâ ââ ââ âÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€òòSeeóó€òòUnited€States€v.€Ô_ÔHinesÔ_Ôóó,€472€F.3d€1038,€1039€(8òòthóó€Cir.€2007).Ð Æb Ðà  à2.€€If€more€than€one€theory€is€submitted€to€the€jury,€they€should€be€instructed€that€theyÐ ( Ä ÐÔ'œd_“ Ômay€convict€the€defendant€only€if€they€find€unanimously€and€beyond€a€reasonable€doubt€that€atÐ  ° Ðleast€one€of€the€theories€was€proven€by€the€Government.€€òòSee,€e.g.,€United€States€v.€Ô_ÔVickerageÔ_Ôóó,Ð  œ Ð921€F.2d€143,€147€(8òòthóó€Cir.€1990)€(finding€no€error€where€district€court€instructed€jury€it€had€toÐ ì ˆ Ðagree€unanimously€on€which€of€two€offenses€the€defendant€conspired€to€commit).€€For€anÐ Ø t Ðexample€of€an€unanimity€instruction,€òòseeóó€Instruction€6.18.1341,€òòinfra,€óón.2.Ð Ä `  Ðà  à3.€€ð ðMeans€of€identificationðð€is€defined€at€18€U.S.C.€ðð€1028(d)(7).Ð &  Ðà  à4.€€In€òòFlores„Figueroa€v.€United€Statesóó,€___€U.S.€___,€129€S.€Ct.€1886,€1888€(€2009),€theÐ ˆ$  ÐSupreme€Court€held€that€18€U.S.C.ðð€1028A(a)(1)€requires€the€Government€to€show€that€theÐ t  Ðdefendant€knew€the€means€of€identification€which€the€defendant€unlawfully€transferred,Ð `ü  Ðpossessed,€or€used,€in€fact€belonged€to€another€person.Ð Lè  Ðà  à5.€€ð ðActual€personðð€includes€both€living€and€deceased€persons.€€òòUnited€States€v.€Ô_ÔKowalÔ_Ôóó,Ð ®J Ð527€F.3d€741,€746„47€(8òòthóó€Cir.€2008).€€Ð š6 Ðà  à6.€€Use€when€there€is€evidence€that€the€means€of€identification€belonged€to€an€actualÐ ü˜ Ðperson,€and€that€person€did€not€consent€to€the€use€of€the€means€of€identification.€€òòSee€UnitedÐ è„ ÐStates€v.€Ô_ÔHinesÔ_Ôóó,€472€F.3d€1038,€1039€(8òòthóó€Cir.€2007).€€Ô_ÔHinesÔ_Ô€further€found€that€ð ðwithout€lawfulÐ Ôp Ðauthorityðð€includes€consent€obtained€illegally.€€òòÔ_ÔHinesÔ_Ôóó€at€1039€(where€consent€obtained€inÐ À\ Ðexchange€for€illegal€drugs,€use€is€without€lawful€authority).€€òòSee€also€United€States€v.€Ô_ÔHurtadoÔ_Ôóó,Ð ¬H Ð508€F.3d€603,€607€(11òòthóó€Cir.€2007)€(abrogated€on€other€grounds€(by€òòFlores„Figueroaóó))€(the€phraseÐ ˜4 Ðð ðwithout€lawful€authorityðð€includes€more€than€just€theft€or€stealing;€while€recognizing€that€ð ðthereÐ „  Ðare€other€ways€someone€could€possess€or€use€another€personððs€identification,€yet€not€have€ð ðlawfulÐ p  Ðauthority€to€do€so,ðð€the€court€did€not€attempt€to€define€every€situation;€and€the€11th€Circuit€foundÐ \ø Ðits€reading€of€the€phrase€to€be€consistent€with€the€8th€Circuitððs€decision€in€òòÔ_ÔHinesÔ_Ôóó).€€Ð Hä Ðà  à7.€€òòSee€United€States€v.€Baileyóó,€235€F.3d€1069,€1073€(8òòthóó€Cir.€2000)€(defining€the€sameÐ ª F  Ðphrase€as€it€relates€to€18€U.S.C.€ðð€924(c)).Ð  –!2! ÐÖ€„ƒìƒÖÓ €Óà0  àò òÔ% €5 ÔÔ  Ô6.18.1030A.€€COMPUTER€FRAUD€[OBTAINING€NATIONAL€SECURITYÐd(#(# Ðà@å å ìàINFORMATION]€(18€U.S.C.€ðð€1030(a)(1))Ô oná  Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€accessing€a€computer€to€obtain€national€security€information,€as€charged€inÐ ( Ä Ð[Count€òò€€€€óó]€of€the€indictment,€has€four€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€knowingly€accessed€a€computer€[without€authorization]òò2óó€[exceedingÐ ì ˆ Ðauthorized€access]òò3óó;Ð N ê  Ðòòà  àTwoóó,€the€defendant€obtained€informationòò4óó€that€[has€been€determined€by€the€United€StatesÐ °L  Ðgovernment€by€[Executive€Order]€[€statute]€to€require€protection€against€unauthorized€disclosureÐ ®  Ðfor€reasons€of€[national€defense]€[foreign€relations]]€[was€restricted€dataòò5óó€regarding€the€design,Ð t  Ðmanufacture€or€use€of€atomic€weapons];Ð Ör  Ðà  àòòThreeóó,€the€defendant€had€reason€to€believe€that€the€information€obtained€could€be€used€toÐ 8Ô  Ðthe€injury€of€the€United€States€or€to€the€advantage€of€any€foreign€nation;òò6óó€andÐ š6 Ðà  àòòFouróó,€the€defendant€[[voluntarily€and€intentionally]€[attempted€to]€[Ô_Ôcommunicate[dÔ_Ô]]Ð ü˜ Ð[Ô_Ôdeliver[edÔ_Ô]]€[transmit[ted]]€the€information€to€a€personòò7óó€not€entitled€to€receive€it]€[voluntarilyÐ ^ú Ðand€intentionally€retained€the€information€and€failed€to€deliver€the€information€to€the€[officer]Ð À\ Ð[employee]€of€the€United€States€entitled€to€receive€the€information].òò8óóÐ "¾ Ðà  àThe€Government€is€not€required€to€prove€that€the€information€obtained€by€the€defendantÐ „  Ðwas€in€fact€used€to€the€injury€of€the€United€States€or€to€the€advantage€of€any€foreign€nation.Ð æ‚! Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ Hä# Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ ª F% Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ  "¨' Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ n# ) Ðfraud€instructions).]òò9óóÐ Ð$l+ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð 2&Î- ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ”'0!/ Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð ö(’"1 Ðâ âU.S.C.€ðð€1030(b),€the€instruction€should€be€modified€accordingly.Ð â)~#2 Ðà  à2.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ d Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð Pì ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð <Ø Ðâ âà  à3.€€Although€Congress€did€not€squarely€address€the€issue€in€the€legislative€history€ofÐ ž : Ðsection€1030,€the€Committee€is€of€the€opinion€that€the€term€ð ðknowinglyðð€modifies€the€termÐ Š & Ðð ðaccessedðð€as€well€as€the€phrases€ð ðwithout€authorizationðð€or€ð ðexceeding€authorization.ðð€€In€otherÐ v  Ðwords,€the€Government€must€prove€both€that€the€defendant€knew€he€or€she€was€accessing€aÐ b þ Ðcomputer€and€that€he€or€she€knew€that€the€access€was€without€authorization€or€exceedingÐ N ê Ðauthorization.€€òòSee€Flores„Figueroa€v.€United€Statesóó,€__€U.S.€__,€129€S.€Ct.€1886,€1891€(2009)Ð :Ö  Ð(citing€òòUnited€States€v.€X„Citement€Video,€Inc.óó,€513€U.S.€64,€79€(1994)€(Stevens,€J.,€concurring),Ð &  Ðand€noting€that€courts€ordinarily€interpret€the€word€ð ðknowinglyðð€in€a€criminal€statute€as€applyingÐ ®  Ðto€all€subsequently€listed€elements,€not€just€the€verbs).€€òòCompare€óóCommittee€Comments€toÐ þš  ÐInstruction€6.18.1030B€(discussing€the€1986€amendments€to€subsection€1030(a)(2)€in€whichÐ ê†  ÐCongress€changed€the€scienter€requirement€from€"knowingly"€to€"intentionally"€to€clarify€that€itÐ Ör  Ðintended€to€criminalize€those€who€clearly€intended€to€enter€computer€files€without€properÐ Â^  Ðauthorization€rather€than€those€who€inadvertently€stumbled€upon€those€files).Ð ®J Ðà  à4.€€If€desired,€the€court€may€instruct€the€jury€that€the€phrase€ð ðobtained€informationððÐ ¬ Ðincludes€the€mere€observation€of€the€data€and€does€not€require€the€Government€to€prove€the€dataÐ ü˜ Ðwas€removed€from€its€original€location€or€transcribed.€€òòSee€óóS.€Rep.€99„432€at€6„7€(1986),Ð è„ Ðòòreprinted€inóó€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,€2484€and€òòavailable€atóó€1986€WL€31918.€€In€later€amendments€toÐ Ôp Ðother€subsections€of€section€1030,€Congress€further€clarified€that€the€phrase€ð ðððobtainingÐ À\ Ðinformationðð€includes€merely€reading€the€information.€€There€is€no€requirement€that€theÐ ¬H Ðinformation€be€copied€or€transported.ðð€€S.€Rep.€104„357,€2d€Sess.€8€(1996),€òòavailable€atóó€1996Ð ˜4 ÐWL€492169.€€The€term€ð ðinformationðð€includes€information€stored€in€intangible€form.€€òòSeeóó€S.Ð „  ÐRep.€No.€357,€104th€Cong.,€2d€Sess.€8€(1996).Ð p  Ðà  à5.€€The€phrase€"restricted€data"€means€all€data€concerning€the:€€(1)€design,€manufacture,Ð Òn Ðor€utilization€of€atomic€weapons;€(2)€the€production€of€special€nuclear€material;€or€(3)€the€use€ofÐ ¾Z Ðspecial€nuclear€material€in€the€production€of€energy,€not€declassified€or€removed€pursuant€toÐ ª F Ðfederal€law.€€18€U.S.C.€ðð€1030(a)(1)€(adopting€the€definition€of€restricted€data€set€forth€in€theÐ –!2 ÐAtomic€Energy€Act,€42€U.S.C.€ðð€2014(y)).Ð ‚"  Ðà  à6.€€The€phrase,€ð ðto€the€injury€of€the€United€States€or€to€the€advantage€of€any€foreignÐ ä#€" Ðnation,ðð€is€not€defined€in€section€1030.€€A€similar€phrase€is€used€in€espionage€statutes.€€òòSee,€e.g.óó,Ð Ð$l# Ð18€U.S.C.€ðððð€793,€794,€798.€€With€regard€to€a€predecessor€espionage€statute€containing€a€similarÐ ¼%X$ Ðphrase,€the€Espionage€Act€of€1917,€the€Supreme€Court€clarified€that€the€meaning€of€this€phraseÐ ¨&D % Ðturns€on€the€defendantððs€intent€and€whether€information€at€issue€was€in€fact€protected€by€theÐ ”'0!& ÐGovernment:€€"This€[language]€requires€those€prosecuted€to€have€acted€in€bad€faith.€€TheÐ €("' Ðsanctions€apply€only€when€scienter€is€established.€€Where€there€is€no€occasion€for€secrecy,€asÐ l)#( Ðwith€reports€relating€to€national€defense,€published€by€authority€of€Congress€or€the€militaryÐ X*ô#) Ðdepartments,€there€can,€of€course,€in€all€likelihood€be€no€reasonable€intent€to€give€an€advantage€toÐ D+à$* Ða€foreign€government.ðð€€òòGorin€v.€United€Statesóó,€312€U.S.€19,€28€(1941).Ð 0,Ì%+ Ðà  à7.€€If€a€definition€of€ð ðpersonðð€is€desired,€òòseeóó€18€U.S.C.€ðð€1030(e)(12).Ð d Ðà  à8.€€The€statute€uses€the€term€ð ðwillfully,ðð€but€consistent€with€Committee€Comments€toÐ Æb ÐInstruction€7.02,€that€term€has€been€replaced€with€the€words€ð ðvoluntarily€and€intentionally.ððÐ ²N Ðà  à9.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ  ° Ðgiven€in€most€cases€where€applicable.Ð  œ Ðà@55!ìàò òCommittee€Commentsó óˆÐ b þ Ðà  àIn€1996,€Congress€changed€the€scienter€element€of€section€1030(a)(1)€to€track€the€scienterÐ Ä `  Ðrequirement€of€18€U.S.C.€ðð€793(e),€a€statute€which€prohibits€gathering,€transmitting€or€losingÐ °L  Ðdefense€information.€€The€Senate€Committee€stated,Ð œ8  Ðà8  àAlthough€there€is€considerable€overlap€between€18€U.S.C.€ðð€793(e)€and€sectionÐ þš  Ð1030(a)(1)€.€.€.€the€two€statutes€would€not€reach€exactly€the€same€conduct.€€SectionÐ ê†  Ð1030(a)(1)€would€target€those€persons€who€deliberately€break€into€a€computer€toÐ Ör  Ðobtain€properly€classified€Government€secrets€and€then€try€to€peddle€those€secretsÐ Â^  Ðto€others,€including€foreign€governments.€€In€other€words,€unlike€existingÐ ®J Ðespionage€laws€prohibiting€the€theft€and€peddling€of€Government€secrets€toÐ š6 Ðforeign€agents,€section€1030(a)(1)€would€require€proof€that€the€individualÐ †" Ðknowingly€used€a€computer€without€authority,€for€the€purpose€of€obtainingÐ r Ðclassified€information.€€In€this€sense€then,€it€is€the€use€of€the€computer€which€isÐ ^ú Ðbeing€proscribed,€not€the€unauthorized€possession€of,€access€to,€or€control€over€theÐ Jæ Ðclassified€information€itself.Ð6ÒÐ Ð  ÐS.€Rep.€No.€357,€104th€Cong.,€2d€Sess.€7,€òòavailable€at€óó1996€WL€492169€at€*€16€(1996).€€Note,Ð ˜4 Ðhowever,€that€section€1030(a)(1)€can€be€violated€even€if€the€defendant€has€not€delivered€theÐ „  Ðinformation€to€a€third€party,€such€as€if€the€defendant€voluntarily€and€intentionally€retained€theÐ p  Ðinformation€and€failed€to€deliver€it€to€the€appropriate€U.S.€official.€Ð  \ø ÐÖ€…„ì„ÖÓ €Óà@OO ìàò òÔ% €7 ÔÔ  Ô6.18.1030B.€€COMPUTER€FRAUD€[OBTAINING€CONFIDENTIAL€INFORMATION]ˆÐ d Ðà@ìà(18€U.S.C.€ðð€1030(a)(2))Ô ó ÈÈ Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€computer€fraud€to€obtain€confidential€information,€as€charged€in€[Count€òò€€€óó]Ð ( Ä Ðof€the€indictment,€has€two€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOne,óó€the€defendant€intentionally€accessed€a€computer€[without€authorization]òò2óó€[exceedingÐ ì ˆ Ðauthorized€access],€andÐ N ê  Ðòòà  àTwo,€óóthe€defendant€obtained€informationòò3óó€[contained€in€a€financial€record€of€[a€financialÐ °L  Ðinstitution]€[an€issuer€of€a€credit€card][;]€[contained€in€a€file€of€a€consumer€reporting€agencyòò4óó€on€aÐ ®  Ðconsumer][;]€[from€any€[legislative]€[judicial]€[executive]€[department]òò5óó€[€agency]€of€the€UnitedÐ t  ÐStates][;]€[or]€[from€€any€protected€computer].Ð Ör  Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ 8Ô  Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ š6 Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ ü˜ Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ ^ú Ðfraud€instructions).]òò6óóÐ À\ Ðà  àIf€you€find€these€two€elements€unanimously€and€beyond€a€reasonable€doubt,€then€youÐ "¾ Ðmust€find€the€defendant€guilty€of€this€crime€[under€Count€__].òò7óó€€Record€your€determination€on€theÐ „  ÐVerdict€Form€which€will€be€submitted€to€you€with€these€instructions.Ð æ‚! Ðà  à[If€you€find€these€two€elements€unanimously€beyond€a€reasonable€doubt,€you€must€alsoÐ Hä# Ðunanimously€decide€whether€the€defendant:€€[acted€for€purposes€of€commercial€advantage€orÐ ª F% Ðprivate€financial€gain][;]€[or]€[acted€in€furtherance€of€(describe€crime€or€tort)]òò8óó€[or]€[obtainedÐ  "¨' Ðinformation€having€a€value€exceeding€$5,000.00].òò9óó€€Record€your€determination€on€the€VerdictÐ n# ) ÐForm.]Ð Ð$l+ Ðà  à(Instruction€3.09,€òòsupraóó,€which€describes€the€Governmentððs€burden€of€proof,€has€alreadyÐ 2&Î- Ðbeen€incorporated€in€this€instruction€and€should€not€be€repeated.)Ð ”'0!/ ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ö(’"1 Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð X*ô#3 ÐU.S.C.€ðð1030(b),€the€instruction€should€be€modified€accordingly.Ð D+à$4 Ðà  à2.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ d Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð Pì ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð <Ø Ðà  à3.€€If€desired,€the€court€may€instruct€the€jury€that€the€phrase€ð ðobtained€informationððÐ ž : Ðð ðincludes€merely€reading€the€information.€€There€is€no€requirement€that€the€information€beÐ Š & Ðcopied€or€transported.ðð€€S.€Rep.€357,€104th€Cong.,€2d€Sess.€8€(1996),€òòavailable€atóó€1996€WLÐ v  Ð492169.€€In€earlier€amendments€addressing€other€subsections€of€section€1030,€Congress€has€alsoÐ b þ Ðstated€that€the€phrase€"obtained€information"€includes€the€mere€observation€of€the€data€and€doesÐ N ê Ðnot€require€the€Government€to€prove€the€data€was€removed€from€its€original€location€orÐ :Ö  Ðtranscribed.€€òòSeeóó€S.€Rep.€99-432€at€6-7€(1986),€òòreprinted€inóó€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,€2484€òòandÐ &  Ðavailable€atóó€1986€WL€31918.€€The€term€ð ðinformationðð€includes€information€stored€in€intangibleÐ ®  Ðform.€€òòSeeóó€S.€Rep.€No.€357,€104th€Cong.,€2d€Sess.€8€(1996).Ð þš  Ðà  à4.€€If€a€definition€of€ð ðconsumer€reporting€agencyððis€desired,€òòseeóó€18€U.S.C.Ð `ü  Ððð1030(a)(2)(A)€and€15€U.S.C.€ðð€1681€òòet€seqóó.Ð Lè  Ðà  à5.€€If€a€definition€of€the€ð ðdepartment€of€the€United€Statesðð€is€desiredòò,€see€óó18€U.S.C.Ð ®J Ððð1030(e)(7).€€If€this€subsection€is€applicable,€the€instruction€should€set€forth€the€particularÐ š6 Ðexecutive€department€enumerated€in€5€U.S.C.€ðð€101€and€charged€in€the€indictment.Ð †" Ðà  à6.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ è„ Ðgiven€in€most€cases€where€applicable.Ð Ôp Ðà  à7.€€This€instruction€is€styled€in€the€form€of€a€lesser€included€offense€instruction,€withÐ 6Ò Ðconviction€on€these€two€elements€alone€constituting€a€misdemeanor,€unless€the€defendant€has€aÐ "¾ Ðconviction€of€a€prior€offense€under€Section€1030.€€òòSeeóó€18€U.S.C.€ðð€1030(c)(2)(A).€€€The€EighthÐ ª ÐCircuit€holds€that€a€lesser€included€offense€instruction€should€be€given€if€either€the€defense€or€theÐ ú– Ðgovernment€requests€it€and€where€various€factors€are€present.€€òòSeeóó€Instruction€3.10;€òòsee€alsoÐ æ‚ ÐUnited€States€v.€Pumpkin€Seedóó,€572€F.3d€552,€562€(8th€Cir.€2009).€€Thus,€if€neither€party€requestsÐ Òn Ðthis€lesser€included€offense€instruction,€or€if€the€Court€concludes€that€it€is€otherwise€inappropriateÐ ¾Z Ðunder€its€factor€test,€the€instruction€should€be€revised€by€including€the€pertinent€aggravating€factsÐ ª F Ðas€required€elements.€€The€special€verdict€form€will€also€be€unnecessary€in€such€a€case.Ð –!2  Ðà  à8.€€The€applicable€penalty€provision,€section€1030(c)(B)(ii),€provides€that€if€ð ðthe€offenseÐ ø"”" Ðwas€committed€in€furtherance€of€any€criminal€or€Ô_ÔtortiousÔ_Ô€act€in€violation€of€the€Constitution€orÐ ä#€# Ðlaws€of€the€United€States€or€of€any€State,ðð€the€defendant€will€face€imprisonment€for€not€moreÐ Ð$l$ Ðthan€five€years€and/or€a€fine€under€Title€18.€€If€this€provision€is€applicable,€the€court€should€makeÐ ¼%X% Ða€preliminary€finding€on€the€record€regarding€whether€the€alleged€offense€was€committed€inÐ ¨&D & Ðfurtherance€of€a€criminal€or€Ô_ÔtortiousÔ_Ô€act€that€violates€the€Constitution€or€any€law.€Ð ”'0!' Ðà  à9.€€Any€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€aÐ ö(’") Ðcrime€must€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonableÐ â)~#* Ðdoubt.€€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000).€€Typically,€the€indictment€will€not€includeÐ Î*j$+ Ðthese€aggravating€facts€if€the€Government€has€charged€a€first„time€offender€of€section€1030€solelyÐ º+V%, Ðwith€a€misdemeanor,€òòseeóó€18€U.S.C.€ðð€1030(c)(2)(A),€or€if€it€has€charged€a€felony€offense€thatÐ d Ðallegedly€occurred€after€a€conviction€for€another€offense€under€section€1030.€€òòSeeóó€18€U.S.C.Ð Pì Ððð1030(c)(2)(C).€€However,€if€any€of€the€additional€aggravating€facts€set€forth€in€the€statute€haveÐ <Ø Ðbeen€charged€in€the€indictment,€these€facts€should€be€submitted€to€the€jury€either€as€a€formalÐ ( Ä Ðelement€and/or€by€special€interrogatory.€€18€U.S.C.€ðððð€1030(c)(2)(B);€òòseeóó€6.18.1030B(a)€for€aÐ  ° Ðverdict€form€with€special€interrogatories.€€In€the€Committeeððs€view,€a€verdict€form€with€specialÐ  œ Ðinterrogatories€is€the€preferred€method€for€presenting€these€aggravating€factors€to€the€juryÐ ì ˆ Ðbecause€it€is€less€likely€to€result€in€confusion€and€because€it€creates€a€clear€record€of€the€basis€forÐ Ø t Ðthe€juryððs€verdict.Ð Ä ` ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ &  Ðà  àIn€1986,€Congress€amended€subsection€1030(a)(2)€to€change€the€scienter€requirementÐ ˆ$  Ðfrom€ð ðknowinglyðð€to€ð ðintentionally.ðð€€In€so€doing,€it€made€clear€that€element€one€requires€theÐ t  ÐÔ'&&Éé ÔGovernment€to€prove€not€only€that€the€defendant€intentionally€accessed€a€computer,€but€also€thatÐ `ü  Ðhe€or€she€knew€that€the€access€was€without€authorization€or€exceeding€authorized€access.€Ð Lè  ÐSpecifically,€Congress€expressed€concern€that€the€ð ðknowinglyðð€standard€ð ðmight€not€be€sufficientÐ 8Ô  Ðto€preclude€liability€on€the€part€of€those€who€inadvertently€'stumble€into'€someone€else's€computerÐ $À Ðfile€or€computer€data.€€This€is€particularly€true€in€those€cases€where€an€individual€is€authorized€toÐ ¬ Ðsign€onto€and€use€a€particular€computer,€but€subsequently€exceeds€his€authorized€access€byÐ ü˜ Ðmistakenly€entering€another€computer€file€or€data€that€happens€to€be€accessible€from€the€sameÐ è„ Ðterminal.€€Because€the€user€had€'knowingly'€signed€onto€that€terminal€in€the€first€place,€the€dangerÐ Ôp Ðexists€that€he€might€incur€liability€for€his€mistaken€access€to€another€file.€€This€is€so€because,Ð À\ Ðwhile€he€may€not€have€desired€that€result,€i.e.,€the€access€of€another€file,€it€is€possible€that€a€trierÐ ¬H Ðof€fact€will€infer€that€the€user€was€'practically€certain'€such€mistaken€access€could€result€from€hisÐ ˜4 Ðinitial€decision€to€access€the€computer.€€The€substitution€of€an€'intentional'€standard€is€designed€toÐ „  Ðfocus€Federal€criminal€prosecutions€on€those€whose€conduct€evinces€a€clear€intent€to€enter,Ð p  Ðwithout€proper€authorization,€computer€files€or€data€belonging€to€another.€€Again,€this€willÐ \ø Ðcomport€with€the€Senate€Report€on€the€Criminal€Code,€which€states€that€"intentional'€means€moreÐ Hä Ðthan€that€one€voluntarily€engaged€in€conduct€or€caused€a€result.€€Such€conduct€or€the€causing€ofÐ 4 Ð Ðthe€result€must€have€been€the€person's€conscious€objective.'ðð€€S.€Rep.€No.€99„432,€at€6€(1986),Ð  !¼ Ðòòreprinted€inóó€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,€2484€(quoting€another€Senate€report).€Ð  "¨ Ðà  àBecause€subsection€1030(a)(2)€focuses€on€privacy€protection,€the€statute€may€be€violatedÐ n# ! Ðby€the€mere€viewing€of€information€online€even€without€any€downloading€or€copying.€€òòSeeóó€S.Ð Z$ö" ÐRep.€No.€99-432,€at€ðð€I,€òòavailable€atóó€1986€W.L.€31918,€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€2484.Ð F%â# Ðà  àViolations€of€this€subsection€may€be€either€a€felony€or€a€misdemeanor.€€ð ðThe€crux€of€theÐ ¨&D % Ðoffense€under€subsection€1030(a)(2)(C)€.€.€.€is€the€abuse€of€a€computer€to€obtain€the€information.€Ð ”'0!& ÐThe€seriousness€of€a€breach€in€confidentiality€depends,€in€considerable€part,€on€the€value€of€theÐ €("' Ðinformation€taken,€or€on€what€is€planned€for€the€information€after€it€is€obtained.€€Thus,€theÐ l)#( Ðstatutory€penalties€are€structured€to€provide€that€obtaining€information€of€minimal€value€is€only€aÐ X*ô#) Ðmisdemeanor,€but€obtaining€valuable€information,€or€misusing€information€in€other€more€seriousÐ D+à$* Ðways,€is€a€felony.ðð€€S.€Rep.€No.€104-357,€ðð€IV(1)(E),€òòavailable€atóó€1996€W.L.€492169€at€*7.Ð  0,Ì%+ ÐÖ€†…ì…ÖÓ €Óà@DDìàò òÔ% €9 ÔÔ  Ô6.18.1030B(a).€€SPECIAL€VERDICT€FORM€(INTERROGATORIES€ˆÐ d Ðà@š š ìàTO€FOLLOW€FINDING€OF€GUILT)€(18€U.S.C.€ðð€1030(a)(2))Ô }ø Ôó óˆÐ Pì ÐÌÓ€Óà  àWe,€the€jury,€find€Defendant€(name)€__________________€Ð ( Ä Ðà  àà ` àà ¸ àà  àà h àà À à(guilty/not€guilty)Ð Š & Ðof€computer€fraud€to€obtain€confidential€information€[as€charged€in€Count€_____€of€theÐ ì ˆ Ðindictment]€[under€Instruction€No.€_____€].Ð N ê  Ðà  àIf€you€find€the€defendant€"guilty,"€you€must€answer€the€following€Ô_Ôquestion[sÔ_Ô]€and€youÐ °L  Ðmust€unanimously€agree€on€the€Ô_Ôanswer[sÔ_Ô]:€Ð ®  Ðà  àà ` à[a.€€€Did€the€defendant€act€for€purposes€of€commercial€advantage€or€privateÐ t  Ðfinancial€gain?€€Ð Ör  Ðà@ ìàYes€____€€€No€____€]ˆÐ 8Ô  Ðà  àà ` à[b.€€Did€the€defendant€act€in€furtherance€of€(describe€crime€or€tort)?€€Ð š6 Ðà@]]ìàYes€____€€€No€____€]€€ˆÐ ü˜ Ðà  àà ` à[c.€€Did€the€defendant€obtain€information€that€had€a€value€exceeding€$5,000.00?€€€Ð ^ú Ðà@]]ìàYes€____€€€No€____€]€€ˆÐ À\ ÐÓ€ÓÌà  àà ` àà ¸ àà  àà h àà À à____________________________________Ð ª Ðà  àà ` àà ¸ àà  àà h àà À àForepersonÐ ú– ÐÌ____________________________Ð Òn! ÐDateÐ  ¾Z" ÐÖ€‡†ì†Öà@<< ìàò òÔ% €= ÔÔ  Ô6.18.1030C.€€COMPUTER€FRAUD€[ACCESSING€A€NONPUBLIC€COMPUTER]ˆÐ d Ðà@ìà(18€U.S.C.€ðð€1030(a)(3))Ô Œÿ Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€accessing€a€nonpublic€computer,€as€charged€in€[Count€òò€€€€óó]€of€the€indictment,Ð ( Ä Ðhas€three€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€intentionally€accessed€a€nonpublic€computer€of€a[n]€[department]òò2óóÐ ì ˆ Ð[agency]€of€the€United€States;òò3óóÐ N ê  Ðà  àòòTwoóó,€the€defendant€was€without€authorizationòò4óó€to€access€not€just€the€nonpublic€computerÐ °L  Ð[he]€[she]€accessed€but€was€without€authorization€to€access€any€nonpublic€computer€of€thatÐ ®  Ð[department]€[agency];€andÐ t  Ðòòà  àThreeóó,€the€defendant€accessed€a€nonpublic€computer€that€was€[exclusively€for€the€use€ofÐ Ör  Ðthe€United€States€Government]€[used€[by]€[for]€the€United€States€Government,€and€theÐ 8Ô  Ðdefendantððs€conduct€affected€that€use€[by]€[for]€the€United€States€Government].òò5óóÐ š6 Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ ü˜ Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ ^ú Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ À\ Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ "¾ Ðfraud€instructions).]òò6óóÐ „  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð æ‚! ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Hä# Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð ª F% ÐU.S.C.€ðð€1030(b),€the€instruction€should€be€modified€accordingly.Ð –!2& Ðà  à2.€€If€a€definition€of€the€ð ðdepartment€of€the€United€Statesðð€is€desired,€òòseeóó€18€U.S.C.Ð ø"”( Ððð1030(e)(7).Ð ä#€) Ðà  à3.€€The€Committee€is€of€the€opinion€that€the€term€ð ðintentionallyðð€modifies€bothÐ F%â+ Ðð ðaccessedðð€as€well€as€the€phrase€that€follows,€ð ða€nonpublic€computer€of€a[n]€[department]Ð 2&Î, Ð[agency]€of€the€United€States.ðð€€òòSeeóó€S.€Rep.€No.€99„432,€at€6€(1986),€reprinted€in€1986Ð 'º - ÐÔ_ÔU.S.C.C.A.N.Ô_Ô€2479,€2484€(discussing€the€1986€amendments€to€subsection€1030(a)(2)€in€whichÐ  (¦!. ÐCongress€changed€the€scienter€requirement€from€"knowingly"€to€"intentionally"€to€clarify€thatÐ ö(’"/ Ðsubsection€1030(a)(2)€was€designed€to€criminalize€those€who€clearly€intended€to€enter€computerÐ â)~#0 Ðfiles€without€proper€authorization€rather€than€those€who€inadvertently€stumbled€upon€those€files,Ð Î*j$1 Ðand€observing€that€ð ðððintentionalðð€means€more€than€that€one€voluntarily€engaged€in€conduct€orÐ º+V%2 Ðcaused€a€result.€€Such€conduct€or€the€causing€of€the€result€must€have€been€the€person's€consciousÐ d Ðobjectiveðð).Ð Pì Ðà  à4.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ ²N Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð ž : ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð Š & Ðà  à5.€€The€phrase,€ð ðaffected€that€use€[by]€[for]€the€United€States€Government]ðð€means€theÐ ì ˆ Ðdefendantððs€conduct€affected€the€use€of€the€Governmentððs€operation€of€the€computer€in€question.€Ð Ø t ÐThere€is€no€requirement€that€the€defendantððs€conduct€harmed€the€overall€operation€of€theÐ Ä `  ÐGovernment.€€S.€Rep.€No.€99-432,€at€*8„9,€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€at€2485š.Ð °L  Ðà  à6.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ ®  Ðgiven€in€most€cases€where€applicable.šÐ þš  Ðà@55!ìàò òCommittee€Commentsó óˆÐ `ü  Ðà  àWhile€federal€employees€may€not€be€subject€to€prosecution€under€section€1030(a)(3)€asÐ Â^  Ðinsiders€as€to€their€own€agency's€computers,€they€may€be€eligible€for€prosecution€as€outsidersÐ ®J Ðwhere€they€engage€in€intrusions€into€other€agencies'€computers.€€S.€Rep.€No.€99-432,€at€7,€1986Ð š6 ÐÔ_ÔU.S.C.C.A.N.Ô_Ô€at€2485.€€Thus,€Congress€specifically€provided€that€section€1030(a)(3)€appliesÐ †" Ð"where€the€offender's€act€of€trespass€is€interdepartmental€in€nature."€€òòId.óó€at€8.€€Congress€noted€thatÐ r Ð"it€is€not€difficult€to€envision€an€individual€who,€while€authorized€to€use€certain€computers€in€oneÐ ^ú Ðdepartment,€is€not€authorized€to€use€them€all.€€The€danger€existed€that€[the€statute],€as€originallyÐ Jæ Ðintroduced,€might€cover€every€employee€who€happens€to€sit€down,€within€his€department,€at€aÐ 6Ò Ðcomputer€terminal€which€he€is€not€officially€authorized€to€use.€€These€acts€can€also€be€bestÐ "¾ Ðhandled€by€administrative€sanctions,€rather€than€by€criminal€punishment.€€To€that€end,€theÐ ª ÐCommittee€has€constructed€its€amended€version€of€(a)(3)€to€prevent€prosecution€of€those€who,Ð ú– Ðwhile€authorized€to€use€some€computers€in€their€department,€use€others€for€which€they€lack€theÐ æ‚ Ðproper€authorization."Ð Òn Ðà  àIn€1996€amenÔ_ÔdmentsÔ_Ô€to€subsection€1030(a)(3),€Congress€replaced€the€phrase€"computerÐ 4 Ð Ðof€a€department€or€agency€of€the€United€States"€with€the€term€"nonpublic"€to€"make€clear€thatÐ  !¼  Ðunauthorized€access€is€barred€to€any€ððnon-public'€Federal€Government€computer€and€that€aÐ  "¨! Ðperson€who€is€permitted€to€access€publicly€available€Government€computers,€for€example,€via€anÐ ø"”" Ðagency's€World€Wide€Web€site,€may€still€be€convicted€under€(a)(3)€for€accessing€withoutÐ ä#€# Ðauthority€any€nonpublic€Federal€Government€computer."€€S.€Rep.€No.€104-357,€at€9,€òòavailable€atóóÐ Ð$l$ Ð1996€WL€492169,€*€21€(1996).€€Thus,€although€the€phrase€"nonpublic€computer"€is€not€definedÐ ¼%X% Ðby€the€statute,€it€would€appear€to€have€its€ordinary€meaning;€that€is,€any€government€computerÐ ¨&D & Ðthat€is€not€available€for€access€by€the€public.€€This€is€a€much€narrower€definition€than€theÐ ”'0!' Ðstatutory€definition€of€"protected€computer."Ð €("( Ðà  àIn€earlier€versions€of€1030(a)(3),€if€the€defendant€was€charged€with€unlawfully€accessingÐ â)~#* Ða€computer€that€was€not€exclusively€for€the€government's€use,€the€government€was€required€toÐ Î*j$+ Ðprove€that€the€conduct€"adversely"€affected€the€use€of€that€computer€by€or€for€the€United€StatesÐ º+V%, Ðgovernment.€€In€1996€amendments,€Congress€removed€the€word€"adversely"€in€order€to€eliminateÐ d Ðany€suggestion€"that€trespassing€in€a€computer€used€by€the€Federal€Government,€even€if€notÐ Pì Ðexclusively,€may€be€benign."€€S.€Rep.€No€357,€104th€Cong.,€2d€Sess.€9€(1996).Ð <Ø Ðà  àViolations€of€section€1030(a)(3)€are€typically€charged€as€misdemeanors€and€€areÐ ž : Ðpunishable€by€a€fine€and€up€to€one€year€in€prison,€18€U.S.C.€ðð€1030(c)(2)(A),€unless€theÐ Š & Ðindividual€has€previously€been€convicted€of€a€section€1030€offense,€in€which€case€the€crime€is€aÐ v  Ðfelony€punishable€up€to€a€maximum€of€ten€years€in€prison,€18€U.S.C.€ðð€1030(c)(2)(c).€€SectionÐ b þ Ð1030(a)(3)€applies€to€many€of€the€same€cases€in€which€section€1030(a)(2)€could€be€charged.€Ð N ê ÐBecause€section€1030(a)(2)€is€a€felony€if€certain€aggravating€facts€are€present,€cases€are€rarelyÐ :Ö  Ðprosecuted€under€section€1030(a)(3).Ð  &  ÐÖ€ˆ‡ì‡ÖÓ €Óà@éé ìàò òÔ% €? ÔÔ  Ô6.18.1030D.€€COMPUTER€FRAUD€[ACCESSING€A€COMPUTER€TO€DEFRAUD]€ˆÐ d Ðà@ìà(18€U.S.C.€ðð€1030(a)(4))Ô }! Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€accessing€a€computer€to€defraud,€as€charged€in€[Count€òò€€€óó]€of€the€indictment,Ð ( Ä Ðhas€[four]€[five]€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€knowingly€accessed€a€protected€computer€[without€authorization]òò2óóÐ ì ˆ Ð[exceeding€authorized€access];òò3óóÐ N ê  Ðà  àòòTwoóó,€the€defendant€did€so€with€intent€to€defraud;òò4óóÐ °L  Ðà  àòòThreeóó,€the€defendant,€by€accessing€the€protected€computer€[without€authorization]Ð ®  Ð[exceeding€authorized€access],€furthered€the€intended€fraud;€[and]Ð t  Ðà  àòòFouróó,€the€defendant€thereby€obtained€any€thing€of€value€[;€and][.]Ð Ör  Ðà  à[òòFiveóó,€the€[object€of€the€defendantððs€fraud]€[thing€of€value€the€defendant€obtained]Ð 8Ô  Ðconsisted€of€more€than€just€the€use€of€the€computer[.]€[or]€[the€use€of€the€computer€was€the€onlyÐ š6 Ð[object€of€the€defendantððs€€fraud]€[thing€of€value€the€defendant€obtained]€and€the€total€value€ofÐ ü˜ Ðsuch€use€exceeded€$5,000€during€any€one„year€period].]òò5óóÐ ^ú Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ À\ Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ "¾ Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ „  Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ æ‚! Ðfraud€instructions).]òò6óóÐ Hä# Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ª F% ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ  "¨' Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð n# ) ÐU.S.C.€ðð€1030(b),€the€language€of€the€instruction€should€be€modified€accordingly.€Ð Z$ö* Ðà  à2.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ ¼%X, Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð ¨&D - ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð ”'0!. Ðà  à3.€€Although€Congress€did€not€squarely€address€the€issue€in€the€legislative€history€ofÐ ö(’"0 Ðsection€1030,€the€Committee€is€of€the€opinion€that€the€term€ð ðknÔ_ÔowinglyÔ_Ôðð€modifies€the€termÐ â)~#1 Ðð ðaccessedðð€as€well€as€the€phrases€ð ðwithout€authorizationðð€or€ð ðexceeding€authorization.ðð€€In€otherÐ Î*j$2 Ðwords,€the€Government€must€prove€both€that€the€defendant€knew€he€or€she€was€accessing€aÐ º+V%3 Ðcomputer€and€that€he€or€she€knew€that€the€access€was€without€authorization€or€exceedingÐ d Ðauthorization€(in€addition€to€proving€that€the€defendant€also€acted€with€intent€to€defraud).€€òòSeeÐ Pì ÐFlores„Figueroa€v.€United€Statesóó,€__€U.S.€__,€129€S.€Ct.€1886,€1891€(2009)€(citing€òòUnited€StatesÐ <Ø Ðv.€X„Citement€Video,€Inc.óó,€513€U.S.€64,€79€(1994)€(Stevens,€J.,€concurring),€and€noting€that€courtsÐ ( Ä Ðordinarily€interpret€the€word€ð ðknowinglyðð€in€a€criminal€statute€as€applying€to€all€subsequentlyÐ  ° Ðlisted€elements,€not€just€the€verbs).€€òòCompare€óóCommittee€Comments€to€Instruction€6.18.1030BÐ  œ Ð(discussing€the€1986€amendments€to€subsection€1030(a)(2)€in€which€Congress€changed€theÐ ì ˆ Ðscienter€requirement€from€"knowingly"€to€"intentionally"€to€clarify€that€it€intended€to€criminalizeÐ Ø t Ðthose€who€clearly€intended€to€enter€computer€files€without€proper€authorization€rather€than€thoseÐ Ä ` Ðwho€inadvertently€stumbled€upon€those€files).Ð °L  Ðà  à4.€€ð ðThe€ððintent€to€defraudðð€phrase€is€not€defined€by€section€1030€or€in€its€legislativeÐ ®  Ðhistory,€and€neither€the€Supreme€Court€nor€the€Eighth€Circuit€has€defined€the€phrase€in€theÐ þš  Ðcontext€of€section€1030.€€The€Senate€Committee€did€note€that€"[t]he€scienter€requirement€for€thisÐ ê†  Ðsubsection,€ððknowingly€and€with€intent€to€defraud,'€is€the€same€as€the€standard€used€for€18€U.S.C.Ð Ör  Ððð1029€relating€to€credit€card€fraud."€€S.€Rep.€99-432,€S.€Rep.€No.€432,€99th€Cong.,€2nd€Sess.Ð Â^  Ð1986,€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,€òòavailable€atóó€1986€WL€31918.€€In€the€section€1029€context,€theÐ ®J ÐEighth€Circuit€appears€to€interpret€"intent€to€defraud"€very€broadly.€€òòSee,€e.g.,United€States€v.Ð š6 ÐÔ_ÔKowalÔ_Ôóó,€527€F.3d€741,€748€(8òòthóó€Cir.€2008)€(stating€that€to€"[Ô_Ôd]efraudÔ_Ô€is€to€deprive€of€some€right,Ð †" Ðinterest€or€property€by€deceit").€€Further,€in€òòÔ_ÔShurgardÔ_Ô€Storage€Centers,€Inc.€v.€Safeguard€SelfÐ r ÐStorage,€Incóó.,€119€F.€Supp.€2d€1121,€1126€(W.D.€Wash.€2000),€the€court€broadly€held€that€theÐ ^ú Ðterm€ð ðfraudðð€as€used€in€subsection€1030(a)(4)€means€ð ðwrongdoingðð€and€does€not€require€proof€ofÐ Jæ Ðthe€common€law€elements€of€fraud.€€For€the€definition€of€Intent€to€Defraud€used€in€mail€fraudÐ 6Ò Ðcases,€òòseeóó€Instruction€6.18.1341,€òòinfraóó.Ð "¾ Ðà  à5.€€Section€1030(a)(4)€contains€an€express€ð ðcomputer€useðð€statutory€exception.€€Thus,Ð „  Ðconduct€that€would€otherwise€violate€the€statute€is€not€a€crime€if€ð ðthe€object€of€the€fraud€and€theÐ p  Ðthing€obtained€consists€only€of€the€use€of€the€computer€and€the€value€of€such€use€is€not€more€thanÐ \ø Ð$5,000€in€any€1„year€period.ðð€€18€U.S.C.€ðð€1030(a)(4).€€It€is€not€clear€whether€Congress€meant€forÐ Hä Ðthe€computer€use€exception€to€clarify€the€elements€of€the€offense€or€to€define€an€affirmativeÐ 4 Ð Ðdefense,€and€the€Eighth€Circuit€has€not€addressed€the€issue.€€The€Committee€recommends€that,€ifÐ  !¼ Ðthere€is€an€issue€about€whether€the€statutory€exception€applies€in€a€case,€optional€element€five,Ð  "¨ Ðmodified€to€conform€to€the€particulars€of€the€case,€should€be€submitted€to€the€jury.€€Element€fiveÐ ø"”  Ðis€stated€in€the€alternative€because€if€the€Government€proves€òòeitheróó€that€the€object€of€the€fraudÐ ä#€! Ðwas€more€than€the€use€of€the€computer€or€that€the€value€of€such€use€was€more€than€$5,000€in€anyÐ Ð$l" Ð1„year€period,€the€statutory€exception€will€not€apply.Ð ¼%X# Ðà  à6.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ 'º % Ðgiven€in€most€cases€where€applicable.šÐ  (¦!& Ðà@55!ìàò òCommittee€Commentsó óˆÐ l)#( Ðà  àFor€a€violation€of€subsection€1030(a)(4),€there€must€be€a€sufficient€tie€in€between€the€useÐ Î*j$* Ðof€a€computer€and€the€fraud:€€ð ðThe€Committee€does€not€believe€that€a€scheme€or€artifice€toÐ º+V%+ Ðdefraud€should€fall€under€the€ambit€of€subsection€(a)(4)€merely€because€the€offender€signed€ontoÐ d Ða€computer€at€some€point€near€to€the€commission€or€execution€of€the€fraud.€€While€such€aÐ Pì Ðtenuous€link€might€be€covered€under€current€law€where€the€instrumentality€used€is€the€mails€orÐ <Ø Ðthe€wires,€the€Committee€does€not€consider€that€link€sufficient€with€respect€to€computers.€€To€beÐ ( Ä Ðprosecuted€under€this€subsection,€the€use€of€the€computer€must€be€more€directly€linked€to€theÐ  ° Ðintended€fraud.€€That€is,€it€must€be€used€by€an€offender€without€authorization€or€in€excess€of€hisÐ  œ Ðauthorization€to€obtain€property€of€another,€which€property€furthers€the€intended€fraud.ðð€€S.€Rep.Ð ì ˆ Ð99-432,€S.€Rep.€No.€432,€99th€Cong.,€2nd€Sess.€1986,€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,€òòavailable€atÐ Ø t Ðóó1986€WL€31918.€€Ð Ä ` Ðà  àFor€an€example€of€conduct€that€a€defendant€agreed€was€in€violation€of€subsectionÐ &  Ð1030(a)(4),€òòsee€United€States€v.€Sykesóó,€4€F.3d€697,€698€(8òòthóó€Cir.€1993)€(defendant€pled€guilty€toÐ ®  Ðmaking€unauthorized€use€of€an€automatic€teller€machine€and€personal€identification€number).€Ð þš  Ðà  àWith€regard€to€the€statutory€exception€set€forth€in€section€1030(a)(4),€the€SenateÐ `ü  ÐCommittee€explained€that,€ð ð[Ô_Ôw]hileÔ_Ô€every€trespass€in€a€computer€should€not€be€converted€into€aÐ Lè  Ðfelony€scheme€to€defraud,€a€blanket€exception€for€ððcomputer€useðð€is€too€broad.€€Hackers,€forÐ 8Ô  Ðexample,€have€broken€into€Ô_ÔCrayÔ_Ô€supercomputers€for€the€purpose€of€running€password€crackingÐ $À Ðprograms,€sometimes€amassing€computer€time€worth€far€more€than€$5,000.€€In€light€of€the€largeÐ ¬ Ðexpense€to€the€victim€caused€by€some€of€these€trespassing€incidents,€the€amendment€would€limitÐ ü˜ Ðthe€ððcomputer€useðð€exception€to€cases€where€the€stolen€computer€use€involved€less€than€$5,000Ð è„ Ðduring€any€one-year€period.ðð€€S.€Rep.€99-432,€S.€Rep.€No.€432,€99th€Cong.,€2nd€Sess.€1986,€1986Ð Ôp ÐÔ_ÔU.S.C.C.A.N.Ô_Ô€2479,€òòavailable€atóó€1986€WL€31918.€Ð  À\ ÐÖ€‰ˆìˆÖÓ €Óà@õõ ìàò òÔ% €A ÔÔ  Ô6.18.1030E.€€COMPUTER€FRAUD€[TRANSMISSION€OF€PROGRAM€TO€CAUSEˆÐ d Ðà@  ìàDAMAGE€TO€A€COMPUTER]€(18€U.S.C.€ðð€1030(a)(5)(A))Ô biJ Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€transmission€of€a€program€to€cause€damage€to€a€computer,€as€charged€inÐ ( Ä Ð[Count€òò€€€óó]€of€the€indictment,€has€two€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€knowingly€caused€the€transmission€of€a€[program]€[information]Ð ì ˆ Ð[code]€[command]€to€a€protected€computer,òò2óó€andÐ N ê  Ðòòà  àTwo,óó€the€defendant,€as€a€result€of€such€conduct,€intentionally€caused€damage€to€aÐ °L  Ðprotected€computer€without€authorization.òò3óó€€Ð ®  Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ t  Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ Ör  Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ 8Ô  Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ š6 Ðfraud€instructions).]òò4óóÐ ü˜ Ðà  àIf€you€find€these€two€elements€unanimously€and€beyond€a€reasonable€doubt,€then€youÐ ^ú Ðmust€find€the€defendant€guilty€of€this€crime€[under€Count€__].òò5óó€€Record€your€determination€on€theÐ À\ ÐVerdict€Form.šÐ "¾ Ðà  à[If€you€find€these€two€elements€unanimously€beyond€a€reasonable€doubt,€you€must€alsoÐ „  Ðunanimously€decide€whether€as€a€result€of€such€conduct,€the€defendantÐ æ‚! ÐÓ€ †<    (‚*x3…ÓÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^ÁQ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€loss€to€one€or€more€personsòò6óó€during€any€one„year€period€of€an€aggregateÐ Hä# Ðvalue€of€$5,000.00€or€more][;]݃†Á^ÁQ úQ ݌Ъ F%` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^ S ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€loss€resulting€from€a€related€course€of€conduct€affecting€one€or€more€otherÐ  "¨' Ðprotected€computers€of€an€aggregate€value€of€$5,000.00€or€more][;]݃†Á^ S DS ÝŒÐn# )` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^wT ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€the€[potential]€[modification]€[impairment]€of€the€medical€[examination]Ð Ð$l+ Ð[diagnosis]€[treatment]€[care]€of€one€or€more€individuals]݃†Á^wT °T ÝŒÐ2&Î-` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^ØU ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€physical€injury€to€any€person][;]݃†Á^ØU V ݌Д'0!/` (#` (# Ðâ âŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^ÍV ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€a€threat€to€public€health€or€safety][;]݃†Á^ÍV W ÝŒÐö(’"1` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^¾W ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€damage€affecting€a€computer€used€[by]€[for]€a€governmental€entityÐ d Ð(describe€entity€at€issue),òò7óó€in€furtherance€of€[the€administration€of€justice]Ð Æb Ð[national€defense]€[national€security]][;]݃†Á^¾W ÷W ÝŒÐ( Ä` (#` (# Ðâ âŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^{Y ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[caused€damage€affecting€ten€or€more€protected€computers€during€any€one„yearÐ Š & Ðperiodòòóó]][;]€[or]݃†Á^{Y ´Y ÝŒÐì ˆ` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^´Z ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[[attempted€to€cause]€[knowingly]€[recklessly]€[caused]€[serious€bodily€injury]Ð N ê  Ð[death]€from€such€conduct].òò8óó€€€Record€your€determination€on€the€Verdict€Form.]šÝƒ†Á^´Z íZ ݌аL ` (#` (# ÐŒÝ  Ýà  à(Instruction€3.09,€òòsupraóó,€which€describes€the€Governmentððs€burden€of€proof,€has€alreadyÐ ®  Ðbeen€incorporated€in€this€instruction€and€should€not€be€repeated.)Ð t  ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ör  Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð 8Ô  ÐU.S.C.€ðð€1030(b),€the€instruction€should€be€modified€accordingly.€Ð $À Ðà  à2.€€Although€Congress€did€not€squarely€address€the€issue€in€the€legislative€history€ofÐ †" Ðsection€1030,€the€Committee€is€of€the€opinion€that€the€term€ð ðknowinglyðð€modifies€the€phraseÐ r Ðð ðcaused€the€transmissionðð€as€well€as€the€phrase€ð ðprotected€computer.ðð€€In€other€words,€theÐ ^ú ÐGovernment€must€prove€both€that€the€defendant€knew€he€or€she€was€causing€the€transmission€ofÐ Jæ Ða€program,€code,€command,€etc.,€and€that€he€or€she€knew€the€transmission€was€to€a€protectedÐ 6Ò Ðcomputer.€€òòSee€Flores„Figueroa€v.€United€Statesóó,€__€U.S.€__,€129€S.€Ct.€1886,€1891€(2009)Ð "¾ Ð(citing€òòUnited€States€v.€X„Citement€Video,€Inc.óó,€513€U.S.€64,€79€(1994)€(Stevens,€J.,€concurring),Ð ª Ðand€noting€that€courts€ordinarily€interpret€the€word€ð ðknowinglyðð€in€a€criminal€statute€as€applyingÐ ú– Ðto€all€subsequently€listed€elements,€not€just€the€verbs).€Ð æ‚ Ðà  à3.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ Hä! Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð 4 Ð" ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð  !¼# Ðà  à4.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ ‚"% Ðgiven€in€most€cases€where€applicable.Ð n# & Ðà  à5.€€This€instruction€is€styled€in€the€form€of€a€lesser€included€ofÔ_ÔfenseÔ_Ô€instruction,€withÐ Ð$l( Ðconviction€on€these€two€elements€alone€constituting€a€misdemeanor,€unless€the€defendant€has€aÐ ¼%X) Ðconviction€of€a€prior€offense€under€Section€1030.€€òòSeeóó€18€U.S.C.€ðð1030(c)(2)(A).€€€The€EighthÐ ¨&D * ÐCircuit€holds€that€a€lesser€included€offense€instruction€should€be€given€if€either€the€defense€or€theÐ ”'0!+ Ðgovernment€requests€it€and€where€various€factors€are€present.€€òòSeeóó€Instruction€3.10;€òòsee€alsoÐ €(", ÐUnited€States€v.€Pumpkin€Seedóó,€572€F.3d€552,€562€(8th€Cir.€2009).€€Thus,€if€neither€party€requestsÐ l)#- Ðthis€lesser€included€offense€instruction,€or€if€the€Court€concludes€that€it€is€otherwise€inappropriateÐ X*ô#. Ðunder€its€factor€test,€the€instruction€should€be€revised€by€including€the€pertinent€aggravating€factsÐ D+à$/ Ðas€required€elements.€€The€special€verdict€form€will€also€be€unnecessary€in€such€a€case.Ð 0,Ì%0 Ðà  à6.€€If€a€definition€of€ð ðpersonðð€is€desired,€òòseeóó€18€U.S.C.€ðð€1030(e)(12).Ð d Ðà  à7.€€If€a€definition€of€€ð ðgovernmental€entityðð€is€desired,€òòseeóó€18€U.S.C.€ðð€1030(e)(9).Ð Æb Ðà  à8.€€Any€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€aÐ ( Ä Ðcrime€must€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonableÐ  ° Ðdoubt.€€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000).€€Typically,€the€indictment€will€not€includeÐ  œ Ðthese€aggravating€facts€if€the€Government€has€charged€a€first„time€offender€of€section€1030€solelyÐ ì ˆ Ðwith€a€misdemeanor,€òòseeóó€18€U.S.C.€ðð€1030(c)(4)(G),€or€if€it€has€charged€a€felony€offense€thatÐ Ø t Ðallegedly€occurred€after€a€conviction€for€another€offense€under€Section€1030.€€òòSeeóó€18€U.S.C.Ð Ä `  ÐÔ_Ôð§ ðÔ_Ô1030(c)(4)(C).€€However,€if€any€of€the€additional€aggravating€facts€set€forth€in€the€statute€haveÐ °L  Ðbeen€charged€in€the€indictment,€these€facts€should€be€submitted€to€the€jury€either€as€a€formalÐ œ8  Ðelement€and/€or€by€special€interrogatory.€€18€U.S.C.€ððÔ_Ôð§ ðÔ_Ô€1030(c)(4)(B),€(E),€and€(F);€òòseeóóÐ ˆ$  Ð6.18.1030C(a)€for€a€verdict€form€with€special€interrogatories.€€In€the€Committeeððs€view,€a€verdictÐ t  Ðform€with€special€interrogatories€is€the€preferred€method€for€presenting€these€aggravating€factorsÐ `ü  Ðto€the€jury€because€it€is€less€likely€to€result€in€confusion€and€because€it€creates€a€clear€record€ofÐ Lè  Ðthe€basis€for€the€juryððs€verdict.Ð 8Ô  Ðà@55!ìàò òCommittee€Commentsó óˆÐ š6 Ðà  àSubsection€1030(a)(5)(A)€does€not€require€the€Government€to€prove€the€defendantÐ ü˜ Ðaccessed€the€protected€computer.€€Some€examples€of€conduct€that€would€violate€this€subsectionÐ è„ Ðinclude€the€intentional€release€of€certain€viruses,€worms€and€ð ðÔ_ÔtrojanÔ_Ô€horses,ðð€as€well€as€otherÐ Ôp Ðforms€of€attacks€on€computer€data.€€òòSee€United€States€v.€Trotteróó,€478€F.3d€918,€919€(8òòthóó€Cir.Ð À\ Ð2007);€òòsee€also€International€Airport€Centers,€Ô_ÔL.L.C.Ô_Ô€v.€Citrinóó,€440€F.3d€418,€420€(7òòthóó€Cir.€2006).Ð ¬H Ðà  àFor€a€discussion€on€the€kind€of€proof€deemed€sufficient€to€establish€the€$5,000€aggregateÐ ª Ðloss€amount,€òòsee€United€States€v.€Ô_ÔMillotÔ_Ôóó,€433€F.3d€1057,€1061€(8òòthóó€Cir.€2006).Ð  ú– КÖ€Š‰ì‰ÖÓ €Óà@DDìàò òÔ% €C ÔÔ  Ô6.18.1030E(a).€€SPECIAL€VERDICT€FORM€(INTERROGATORIES€ˆÐ d Ðà@  ìàTO€FOLLOW€FINDING€OF€GUILT)€(18€U.S.C.€ðð€1030(a)(5)(A))Ô vo6t Ôó óˆÐ Pì ÐÌÓ€Óà  àWe,€the€jury,€find€Defendant€(name)€__________________€Ð ( Ä Ðà  àà ` àà ¸ àà  àà h àà À à(guilty/not€guilty)Ð Š & Ðof€computer€fraud€by€transmission€of€a€[program]€[information][code]€[command]€to€a€protectedÐ ì ˆ Ðcomputer€[as€charged€in€Count€_____€of€the€indictment]€[under€Instruction€No.€_____].Ð N ê  Ðà  àIf€you€find€the€defendant€"guilty,"€you€must€answer€the€following€Ô_Ôquestion[sÔ_Ô]€and€youÐ °L  Ðmust€unanimously€agree€on€the€Ô_Ôanswer[sÔ_Ô]:€Ð ®  Ðà  àAs€a€result€of€such€conduct,€Ð t  Ðà  àà ` à[a.______€Did€the€defendant€cause€loss€to€one€or€more€persons€during€any€one„Ð Ör  Ðyear€period€of€an€aggregate€value€of€$5,000.00€or€more?Ð 8Ô  Ðà@ ìàYes€____€€€No€____€]ˆÐ š6 Ðà  àà ` à[b.€______Did€the€defendant€cause€loss€resulting€from€a€related€course€of€conductÐ ü˜ Ðaffecting€one€or€more€other€protected€computers€of€an€aggregate€value€of€$5,000.00€or€more?Ð ^ú Ðà@ ìàYes€____€€€No€____€]ˆÐ À\ Ðà  àà ` à[c.€______Did€the€defendant€cause€the€[potential]€[modification][impairment]€ofÐ "¾ Ðthe€medical€[examination][diagnosis][treatment][care]€of€one€or€more€individuals?Ð „  Ðà@ ìàYes€____€€€No€____€]ˆÐ æ‚! Ðà  àà ` à[d.€______Did€the€defendant€cause€physical€injury€to€any€person?Ð Hä# Ðà@ ìàYes€____€€€No€____€]ˆÐ ª F% Ðà  àà ` à[e.€______Did€the€defendant€cause€a€threat€to€public€health€or€safety?Ð  "¨' Ðà@ ìàYes€____€€€No€____€]ˆÐ n# ) Ðà  àà ` à[f.€______€Did€the€defendant€cause€damage€affecting€a€computer€used€[by][for]€aÐ Ð$l+ Ðgovernment€entity€(describe€entity€at€issue),€in€furtherance€of€[the€administration€ofÐ 2&Î- Ðjustice][national€defense][national€security]?Ð ”'0!/ Ðâ âà@ ìàYes€____€€€No€____€]ˆÐ ö(’"1 ÐÔ& ˆ Ôâ âà  àà ` à[g.€______€Did€the€defendant€cause€damage€affecting€ten€or€more€protectedÐ d Ðcomputers€during€any€one„year€period?Ð Æb Ðà@ ìàYes€____€€€No€____€]ˆÐ ( Ä ÐÔ'ˆd~ Ôà  àà ` à[h.€______€Did€the€defendant€[attempt€to€cause]€[knowingly][recklessly]€[cause]Ð Š & Ð[serious€bodily€injury]€[death]€from€such€conduct?Ð ì ˆ Ðà@ ìàYes€____€€€No€____€]ˆÐ N ê  ÐÌÓ€Óà  àà ` àà ¸ àà  àà h àà À à____________________________________Ð ®  Ðà  àà ` àà ¸ àà  àà h àà À àForepersonÐ þš  ÐÌ____________________Ð Ör  Ð(Date)Ð  Â^  ÐÖ€‹ŠìŠÖà@ªª ìàò òÔ% €F ÔÔ  Ô6.18.1030F.€€COMPUTER€FRAUD€[CAUSING€DAMAGE€TO€A€COMPUTER]ˆÐ d Ðà@##ìà(18€U.S.C.€ðð€1030(a)(5)(B)€and€(C))Ô vo Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€causing€damage€to€a€computer€or€information,€as€charged€in€[Count€òò€€€óó]€ofÐ ( Ä Ðthe€indictment,€has€two€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€intentionally€accessed€a€protected€computer€without€authorization,Ð ì ˆ Ðandòò2,€3óóÐ N ê  Ðòòà  àTwo,óó€the€defendant,€as€a€result€of€such€conduct,€[recklessly€caused€damage]€[causedÐ °L  Ðdamage€and€loss].òò4óóÐ ®  Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ t  Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ Ör  Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ 8Ô  Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ š6 Ðfraud€instructions).]òò5óóÐ ü˜ Ðà  àIf€you€find€these€two€elements€unanimously€and€beyond€a€reasonable€doubt,€then€youÐ ^ú Ðmust€find€the€defendant€guilty€of€this€crime€[under€Count€__].òò6óó€€Record€your€determination€on€theÐ À\ ÐVerdict€Form€which€will€be€submitted€to€you€with€these€instructions.šÐ "¾ Ðà  à[If€you€find€these€two€elements€unanimously€beyond€a€reasonable€doubt,€you€must€alsoÐ „  Ðunanimously€decide€whether€ûÿÿÿdûthe€üÿÿÿdüdefendant,€as€a€result€of€such€conduct,€causedÐ æ‚! ÐÓ€ †<    (‚*xx†<    ÓÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^"‰ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[loss€to€one€or€more€persons€òò7óó€òòóóduring€any€one„year€period€of€an€aggregate€value€ofÐ Hä# Ð$5,000.00€or€more][;]݃†Á^"‰ [‰ ݌Ъ F%` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^lŠ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[loss€resulting€from€a€related€course€of€conduct€affecting€one€or€more€otherÐ  "¨' Ðprotected€computers€of€an€aggregate€value€of€$5,000.00€or€more][;]݃†Á^lŠ ¥Š ÝŒÐn# )` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^Ñ‹ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[the€[potential]€[modification]€[impairment]€of€the€medical€[examination]Ð Ð$l+ Ð[diagnosis]€[treatment]€[care]€of€one€or€more€individuals]݃†Á^Ñ‹ Œ ÝŒÐ2&Î-` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^+ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[physical€injury€to€any€person][;]݃†Á^+ d ݌Д'0!/` (#` (# Ðâ âŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^Ž ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[a€threat€to€public€health€or€safety][;]݃†Á^Ž RŽ ÝŒÐö(’"1` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[damage€affecting€a€computer€used€[by]€[for]€a€governmental€entity€(describeÐ d Ðentity€at€issue),òò8óó€in€furtherance€of€[the€administration€of€justice]€[national€defense]Ð Æb Ð[national€security]][;]€[or]݃†Á^ < ÝŒÐ( Ä` (#` (# Ðâ âŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^¾ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[damage€affecting€ten€or€more€protected€computers€during€any€one„year€period].òò9óó€Ð Š & ÐRecord€your€determination€on€the€Verdict€Form.]šÝƒ†Á^¾ ÷ ÝŒÐì ˆ` (#` (# ÐŒÝ  Ýšà  à(Instruction€3.09,€òòsupraóó,€which€describes€the€Governmentððs€burden€of€proof,€has€alreadyÐ N ê  Ðbeen€incorporated€in€this€instruction€and€should€not€be€repeated.)Ð °L  ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®  Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð t  ÐU.S.C.€ðð€1030(b),€the€instruction€should€be€modified€accordingly.€Ð `ü  Ðà  à2.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ Â^  Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð ®J ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð š6 Ðà  à3.€€The€Committee€is€of€the€opinion€that€the€term€ð ðintentionallyðð€modifies€bothÐ ü˜ Ðð ðaccessedðð€and€ð ðwithout€authorization.ðð€€òòSeeóó€S.€Rep.€No.€99„432,€at€6€(1986),€reprinted€in€1986Ð è„ ÐÔ_ÔU.S.C.C.A.N.Ô_Ô€2479,€2484€(discussing€the€1986€amendments€to€€subsection€1030(a)(2)€in€whichÐ Ôp ÐCongress€changed€the€scienter€requirement€from€"knowingly"€to€"intentionally"€to€clarify€thatÐ À\ Ðsubsection€1030(a)(2)€was€designed€to€criminalize€those€who€clearly€intended€to€enter€computerÐ ¬H Ðfiles€without€proper€authorization€rather€than€those€who€inadvertently€stumbled€upon€those€files,Ð ˜4 Ðand€observing€that€ð ðððintentionalðð€means€more€than€that€one€voluntarily€engaged€in€conduct€orÐ „  Ðcaused€a€result.€€Such€conduct€or€the€causing€of€the€result€must€have€been€the€person's€consciousÐ p  Ðobjectiveðð).Ð \ø Ðà  à4.€€Element€two€should€be€modified€in€accordance€with€whether€the€Government€hasÐ ¾Z! Ðcharged€a€violation€of€18€U.S.C.€ðð€1030(a)(5)(B)€(recklessly€causing€damage)€or€18€U.S.C.Ð ª F" Ððð1030(a)(5)(C)€(negligently€or€accidentally€causing€damage€and€loss).Ð –!2# Ðà  à5.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ ø"”% Ðgiven€in€most€cases€where€applicable.šÐ ä#€& Ðà  à6.€€This€instruction€is€styled€in€the€form€of€a€lesser€included€offense€instruction,€withÐ F%â( Ðconviction€on€these€two€elements€alone€constituting€a€misdemeanor,€unless€the€defendant€has€aÐ 2&Î) Ðconviction€of€a€prior€offense€under€Section€1030.€€òòSeeóó€18€U.S.C.€ðð1030(c)(2)(A).€€€The€EighthÐ 'º * ÐCircuit€holds€that€a€lesser€included€offense€instruction€should€be€given€if€either€the€defense€or€theÐ  (¦!+ Ðgovernment€requests€it€and€where€various€factors€are€present.€€òòSeeóó€Instruction€3.10;€òòsee€alsoÐ ö(’", ÐUnited€States€v.€Pumpkin€Seedóó,€572€F.3d€552,€562€(8th€Cir.€2009).€€Thus,€if€neither€party€requestsÐ â)~#- Ðâ âthis€lesser€included€offense€instruction,€or€if€the€Court€concludes€that€it€is€otherwise€inappropriateÐ Î*j$. Ðunder€its€factor€test,€the€instruction€should€be€revised€by€including€the€pertinent€aggravating€factsÐ d Ðas€required€elements.€€The€special€verdict€form€will€also€be€unnecessary€in€such€a€case.Ð Pì Ðâ âà  à7.€€If€a€definition€of€ð ðpersonðð€is€desired,€òòsee€óó18€U.S.C.€ðð€1030(e)(12).Ð ²N Ðà  à8.€€If€a€definition€of€€ð ðgovernmental€entityðð€is€desired,€òòseeóó€18€U.S.C.€ðð€1030(e)(9).Ð  ° Ðà  à9.€€ûÿÿÿdûAny€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€aÐ v  Ðcrime€must€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonableÐ b þ Ðdoubt.€€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000).€€Typically,€the€indictment€will€not€includeÐ N ê  Ðthese€aggravating€facts€if€üÿÿÿdüthe€Government€has€charged€a€first„time€offender€of€section€1030€solelyÐ :Ö  Ðwith€a€misdemeanor,€òòseeóó€18€U.S.C.€ðð€1030(c)(4)(G),€or€if€it€has€charged€a€felony€offense€thatÐ &  Ðallegedly€occurred€after€a€conviction€for€another€offense€under€section€1030.€€òòSeeóó€18€U.S.C.Ð ®  ÐÔ_Ôð§ ðÔ_Ô1030(c)(4)(C)š.€€If€any€of€the€additional€aggravating€facts€set€forth€in€element€three€have€beenÐ þš  Ðcharged€in€the€indictment,€these€facts€should€be€submitted€to€the€jury€either€as€a€formal€elementÐ ê†  Ðand/or€by€special€interrogatory.€€18€U.S.C.€ððÔ_Ôð§ ðÔ_Ô1030(c)(4)(A);€òòseeóó€6.18.1030F(a)€for€a€verdictÐ Ör  Ðform€with€special€interrogatories.€€In€the€Committeeððs€view,€a€verdict€form€with€specialÐ Â^  Ðinterrogatories€is€the€preferred€method€for€presenting€these€aggravating€factors€to€the€juryÐ ®J Ðbecause€it€is€less€likely€to€result€in€confusion€and€because€it€creates€a€clear€record€of€the€basis€forÐ š6 Ðthe€juryððs€verdict.€€Ð †" Ðà@55!ìàò òCommittee€Commentsó óˆÐ è„ Ðà  àFor€a€discussion€on€the€kind€of€proof€deemed€sufficient€to€establish€the€$5,000€aggregateÐ Jæ Ðloss€amount,€òòsee€United€States€v.€Ô_ÔMillotÔ_Ôóó,€433€F.3d€1057,€1061€(8òòthóó€Cir.€2006).€€Ð  6Ò КÖ€Œ‹ì‹ÖÓ €Óà@KKìàò òÔ% €H ÔÔ  Ô6.18.1030F(a).€€SPECIAL€VERDICT€FORM€(INTERROGATORIES€ˆÐ d Ðà@ØØ ìàTO€FOLLOW€FINDING€OF€GUILT)€(18€U.S.C.€ðð€1030(a)(5)(B)€and€(C)Ô €©¨ Ôó óˆÐ Pì ÐÌÓ€Óà  àWe,€the€jury,€find€Defendant€(name)€__________________€Ð ( Ä Ðà  àà ` àà ¸ àà  àà h àà À à(guilty/not€guilty)Ð Š & Ðof€computer€fraud€by€causing€damage€to€a€computer€[as€charged€in€Count€_____€of€theÐ ì ˆ Ðindictment]€[under€Instruction€No.€_____€].Ð N ê  Ðà  àIf€you€find€the€defendant€"guilty,"€you€must€answer€the€following€Ô_Ôquestion[sÔ_Ô]€and€youÐ °L  Ðmust€unanimously€agree€on€the€Ô_Ôanswer[sÔ_Ô]:šÐ ®  Ðà  àAs€a€result€of€such€conduct,€Ð t  Ðà  àà ` à[a.€______€Did€the€defendant€cause€loss€to€one€or€more€persons€during€any€one„Ð Ör  Ðyear€period€of€an€aggregate€value€of€$5,000.00€or€more?Ð 8Ô  Ðà@ ìàYes€____€€€No€____€]ˆÐ š6 Ðà  àà ` à[b.€______€Did€the€defendant€cause€loss€resulting€from€a€related€course€of€conductÐ ü˜ Ðaffecting€one€or€more€other€protected€computers€of€an€aggregate€value€of€$5,000.00€or€more?Ð ^ú Ðà@ ìàYes€____€€€No€____€]ˆÐ À\ Ðà  àà ` à[c.€______€Did€the€defendant€cause€the€[potential]€[modification]€[impairment]€ofÐ "¾ Ðthe€medical€[examination]€[diagnosis]€[treatment]€[care]€of€one€or€more€individuals?Ð „  Ðà@ ìàYes€____€€€No€____€]ˆÐ æ‚! Ðà  àà ` à[d.€______€Did€the€defendant€cause€physical€injury€to€any€person?Ð Hä# Ðà@ ìàYes€____€€€No€____€]ˆÐ ª F% Ðà  àà ` à[e.€______€Did€the€defendant€cause€a€threat€to€public€health€or€safety?Ð  "¨' Ðà@ ìàYes€____€€€No€____€]ˆÐ n# ) Ðà  àà ` à[f.€______€Did€the€defendant€cause€damage€affecting€a€computer€used€[by]€[for]€aÐ Ð$l+ Ðgovernment€entity€(describe€entity€at€issue),òòóó€in€furtherance€of€[the€administration€of€justice]Ð 2&Î- Ð[national€defense]€[national€security]?Ð ”'0!/ Ðâ âà@ ìàYes€____€€€No€____€]ˆÐ ö(’"1 ÐÔ&  Ôâ âà  àà ` à[g.€______€Did€the€defendant€cause€damage€affecting€ten€or€more€protectedÐ d Ðcomputers€during€any€one„year€period?Ð Æb Ðà@ ìàYes€____€€€No€____€]ˆÐ ( Ä ÐÓ€ÓÔ'dZ² ÔÌÌà  àà ` àà ¸ àà  àà h àà À à____________________________________Ð b þ Ðà  àà ` àà ¸ àà  àà h àà À àForepersonÐ N ê  ÐÌ____________________Ð &  Ð(Date)Ó€\³ ÓÐ ®  ÐÐ  t  ÐÖ€ŒìŒÖÓ€Óà@ÃÃìàò òÔ% €J ÔÔ  Ô6.18.1030G.€€COMPUTER€FRAUD€[TRAFFICKING€IN€PASSWORDS]€ˆÐ d Ðà@ìà(18€U.S.C.€ðð€1030(a)(6))Ô  $µ Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€trafficking€in€passwords,€as€charged€in€[Count€òò€€€óó]€of€the€indictment,€hasÐ ( Ä Ðthree€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€knowinglyÐ ì ˆ ÐÓ€ †<    (‚*xx†<    ÓÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^l· ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[transferred€to€another€person€any€password€or€similar€information€through€whichÐ N ê  Ða€computer€may€be€accessed€without€authorizationòò2óó]݃†Á^l· ¥· ݌аL ` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^˸ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[obtained€control€of€any€password€or€similar€information€through€which€aÐ ®  Ðcomputer€may€be€accessed€without€authorization,€with€the€intent€to€transfer€it€toÐ t  Ðanother€person]òò3óó;€Ýƒ†Á^˸ ¹ ÝŒÐÖr ` (#` (# ÐŒÝ  Ýà  àòòTwoóó,€the€defendant€acted€with€the€intent€to€defraudòò4óó;€andÐ 8Ô  Ðà  àòòThreeóó,€[the€defendantððs€act[s]€affected€[interstate]€[foreign]€commerce][or]€[the€computerÐ š6 Ðwas€used€[by]€[for]€the€United€States€government].Ð ü˜ Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ ^ú Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ À\ Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ "¾ Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ „  Ðfraud€instructions).]òò5óóÐ æ‚! Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð Hä# ÐÓ €ÓÓ€Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ª F% Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð  "¨' ÐU.S.C.€ðð€1030(b),€the€instruction€should€be€modified€accordingly.€Ð ø"”( Ðà  à2.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ Z$ö* Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð F%â+ ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð 2&Î, Ðà  à3.€€Element€one€incorporates€the€definition€of€ð ðtrafficðð€found€in€18€U.S.C.€ðð€1030(a)(6)Ð ”'0!. Ðthrough€its€cross€reference€to€18€U.S.C.€ðð€1029(e)(5).€€In€addition€to€using€the€term€ð ðtransfer,ðð€theÐ €("/ Ðdefinition€of€traffic€from€section€1029(e)(5)€includes€the€phrase€ð ðdispose€of.ðð€€To€avoid€potentialÐ l)#0 Ðâ âconfusion,€the€Committee€has€eliminated€the€ð ðdispose€ofðð€phrase€in€element€one.Ð X*ô#1 Ðà  à4.€€ð ðThe€ð ðintent€to€defraudðð€phrase€is€not€defined€by€section€1030€or€in€its€legislativeÐ d Ðâ âhistory,€and€neither€the€Supreme€Court€nor€the€Eighth€Circuit€has€defined€the€phrase€in€theÐ Pì Ðcontext€of€section€1030.€€The€Senate€Committee€has€noted€with€respect€to€a€similar€phrase€inÐ <Ø Ðsubsection€1030(a)(4)€that€"[t]he€scienter€requirement€for€this€subsection,€ððknowingly€and€withÐ ( Ä Ðintent€to€defraud,'€is€the€same€as€the€standard€used€for€18€U.S.C.€ðð1029€relating€to€credit€cardÐ  ° Ðfraud."€€S.€Rep.€99-432,€S.€Rep.€No.€432,€99th€Cong.,€2nd€Sess.€1986,€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,Ð  œ Ðòòavailable€atóó€1986€WL€31918.€€In€the€section€1029€context,€the€Eighth€Circuit€appears€to€interpretÐ ì ˆ Ð"intent€to€defraud"€very€broadly.€€òòSee,€e.g.,United€States€v.€Ô_ÔKowalÔ_Ôóó,€527€F.3d€741,€748€(8òòthóó€Cir.Ð Ø t Ð2008)€(stating€that€to€"[Ô_Ôd]efraudÔ_Ô€is€to€deprive€of€some€right,€interest€or€property€by€deceit").€Ð Ä ` ÐFurther,€in€òòÔ_ÔShurgardÔ_Ô€Storage€Centers,€Inc.€v.€Safeguard€Self€Storage,€Incóó.,€119€F.€Supp.€2d€1121,Ð °L  Ð1126€(W.D.€Wash.€2000),€the€court€broadly€held€that€the€term€ð ðfraudðð€as€used€in€subsectionÐ œ8  Ð1030(a)(4)€means€ð ðwrongdoingðð€and€does€not€require€proof€of€the€common€law€elements€ofÐ ˆ$  Ðfraud.€€For€the€definition€of€Intent€to€Defraud€used€in€mail€fraud€cases,€òòseeóó€Instruction€6.18.1341,Ð t  Ðòòinfra.€óóÐ `ü  Ðà  à5.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ Â^  Ðgiven€in€most€cases€where€applicable.Ð ®J Ðà@55!ìàò òCommittee€Commentsó óˆÐ ¬ Ðà  àThe€Senate€Committee€stated€that€the€term€ð ðpasswordðð€ð ðdoes€not€mean€a€single€word€thatÐ r Ðenables€one€to€access€a€computer.€€The€Committee€recognizes€that€a€ððpasswordðð€may€actually€beÐ ^ú Ðcomprised€of€a€set€of€instructions€or€directions€for€gaining€access€to€a€computer€and€intends€thatÐ Jæ Ðthe€word€ððpasswordðð€be€construed€broadly€enough€to€encompass€both€single€words€and€longerÐ 6Ò Ðmore€detailed€explanations€on€how€to€access€othersðð€computers.ðð€€S.€Rep.€No.€99„432€at€13Ð "¾ Ð(1986),€òòreprinted€inóó€1986€Ô_ÔU.S.C.C.A.N.Ô_Ô€2479,€2491.Ð  ª ÐÖ€ŽìÖÓ €Óà@ööìàò òÔ% €K ÔÔ  Ô6.18.1030H.€€COMPUTER€FRAUD€[THREATENING€TO€DAMAGE€AˆÐ d Ðà@PP ìàPROTECTED€COMPUTER€OR€INFORMATION]€(18€U.S.C.€ðð€1030(a)(7))Ô nt²Í Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€threatening€to€damage€a€protected€computer,€as€charged€in€[Count€òò€€€óó]€of€theÐ ( Ä Ðindictment,€has€three€essential€elements,€which€are:òò1óóÐ Š & Ðà  àòòOneóó,€the€defendant€transmitted€any€communication€in€[interstate]€[foreign]€commerce;Ð ì ˆ Ðà  àòòTwo,óó€the€defendant€transmitted€the€communication€with€the€intent€to€extort€any€[money]Ð N ê  Ð[thing€of€value]€from€any€person;òò2óó€andÐ °L  Ðà  àòòThreeóó,€the€communication€contained€anyÐ ®  ÐÓ€ †<    (‚*xx†<    ÓÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^oÑ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[threat€to€cause€damage€to€a€protected€computer][;]݃†Á^oÑ ¨Ñ ÝŒÐt ` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^dÒ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[threat€to€obtain€information€from€a€protected€computer€[without€authorization]òò3óóÐ Ör  Ð[exceeding€authorized€access]][;]݃†Á^dÒ Ò ÝŒÐ8Ô ` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^²Ó ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[threat€to€impair€the€confidentiality€of€information€obtained€from€a€protectedÐ š6 Ðcomputer€[without€authorization]€[exceeding€authorized€access]][;]€[or]݃†Á^²Ó ëÓ ÝŒÐü˜` (#` (# ÐŒÝ  ÝÝ"‚†Á^"ÝÝ  Ýà  àÝ‚†Á^Õ ÝÔ2‚*ÔððÔ3  Ôà0 ` àÝ  Ý[[demand]€[€request]€for€[money]€[thing€of€value]€in€relation€to€damage€to€aÐ ^ú Ðprotected€computer,€and€the€defendant€caused€the€damage€to€facilitate€theÐ À\ Ðextortion€of€the€[money]€[thing€of€value]].݃†Á^Õ WÕ ÝŒÐ"¾` (#` (# ÐŒÝ  Ýà  à[The€phrase€ð ðintent€to€extortðð€means€an€intent€to€obtain€the€property€of€another€with€his€orÐ „  Ðher€consent€by€the€wrongful€use€of€actual€or€threatened€force,€violence€or€fear€or€under€color€ofÐ æ‚! Ðofficial€right.]òò4óó€Ð Hä# Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ ª F% Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ  "¨' Ð6.18.1030I,€unless€the€indictment€charges€multiple€computer€fraud€violations€and€there€will€be€noÐ n# ) Ðconfusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€computerÐ Ð$l+ Ðfraud€instructions).]òò5óóÐ 2&Î- Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ”'0!/ ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ö(’"1 Ðà  à1.€€If€an€attempt€to€commit€an€offense€under€this€subsection€has€been€charged,€òòseeóó€18Ð X*ô#3 ÐU.S.C.€ðð€1030(b),€the€instruction€should€be€modified€accordingly.€Ð D+à$4 Ðà  à2.€€If€a€definition€of€ð ðpersonðð€is€desired,€òòseeóó€18€U.S.C.€ðð€1030(e)(12).Ð d Ðà  à3.€€"Without€authorization"€is€not€defined€in€section€1030€but€is€commonly€understood€toÐ Æb Ðrefer€to€persons€who€have€no€permission€or€authority€to€do€a€thing€whatsoever.€€òòÔ_ÔConduxÔ_Ô€Intern.,Ð ²N ÐInc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4€(D.€Minn.€Dec.€15,€2008)€(citations€omitted).Ð ž : Ðà  à4.€€The€Eighth€Circuit€has€not€defined€ð ðintent€to€extortðð€within€the€context€of€sectionÐ  œ Ð1030,€but€its€use€seems€similar€to€that€of€18€U.S.C.€ðð€875(d)€(interstate€transmission€ofÐ ì ˆ Ðextortionate€communication).€€Courts€in€the€section€875(d)€context€have€relied€on€the€definitionÐ Ø t Ðof€ð ðextortionðð€found€in€the€Hobbs€Act€at€18€U.S.C.€ðð€1951(b)(2).€€òòSee€United€States€v.€Cohenóó,Ð Ä `  Ð738€F.2d€287,€289€(8òòthóó€Cir.€1984)€(in€case€charged€under€18€U.S.C.€ðð€875(d),€court€borrowed€theÐ °L  Ðdefinition€of€ð ðextortionðð€found€in€the€Hobbs€Act,€defining€ð ðintent€to€extortðð€as€meaning€ð ðanÐ œ8  Ðintent€to€get€the€property€of€another€with€his€consent,€induced€by€wrongful€use€of€actual€orÐ ˆ$  Ðthreatened€force,€violence€or€fearðð).€€Thus,€the€definition€of€ð ðintent€to€extortðð€adopted€here€forÐ t  Ðsection€1030(a)(7)€is€based€largely€on€the€definition€of€extortion€that€is€found€in€InstructionÐ `ü  Ð6.18.1951,€òòinfraóó.€Ð Lè  Ðà  à5.€€The€supplemental€definitions€contained€in€Instruction€6.18.1030I,€òòinfraóó,€should€beÐ ®J Ðgiven€in€most€cases€where€applicable.Ð š6 Ðà@55!ìàò òCommittee€Commentsó óˆÐ ü˜ Ðà  àTitle€18€U.S.C.€ðð€1030(a)(7)€is€intended€to€cover€ð ðcomputer„age€blackmailðð€involving€anyÐ ^ú Ðð ðinterstate€or€international€transmissions€of€threats€against€computers,€computer€networks,€andÐ Jæ Ðtheir€data€and€programs€whether€the€threat€is€received€by€mail,€a€telephone€call,€electronic€mail,Ð 6Ò Ðor€through€a€computerized€messaging€service.ðð€€S.€Rep.€No.€104„357,€at€12,€1996€WL€492169,€atÐ "¾ Ð*29€(1996).Ð  ª ÐÓ €ÓÖ€ŽìŽÖà@vvìàò òÔ% €N ÔÔ  Ô6.18.1030I.€€COMPUTER€FRAUD€„€SUPPLEMENTAL€INSTRUCTIONSÔ ntyå Ôòò1óóó óˆÐ d ÐÌÓ€Óà@ªª$ìàò ò(1)€Computeró óˆÐ <Ø Ðà  à[The€term€ð ðcomputer,ðð€as€used€in€[this]€[Instruction[s]€_______€,€means€an€electronic,Ð ž : Ðmagnetic,€optical,€electrochemical,€or€other€high€speed€data€processing€device€performingÐ  œ Ðlogical,€arithmetic,€or€storage€functions,€and€includes€any€data€storage€facility€or€communicationsÐ b þ Ðfacility€directly€related€to€or€operating€in€conjunction€with€such€device,€but€such€term€does€notÐ Ä `  Ðinclude€an€automated€typewriter€or€typesetter,€a€portable€hand„held€calculator,€or€other€similarÐ &  Ðdevice.]òò2óóÐ ˆ$  Ðà@ùùìàò ò(2)€Protected€Computeró óˆÐ ê†  Ðà  à[The€phrase€ð ðprotected€computer,ðð€as€used€in€[this]€[Instruction[s]€_______€,€means:€€[aÐ Lè  Ðcomputer€exclusively€for€the€use€of€[a€financial€institution]€[the€United€States€Government]];€[aÐ ®J Ðcomputer€used€[by]€[for]€a€financial€institution]€[the€United€States€Government]€and€the€conductÐ ¬ Ðconstituting€the€offense€affects€that€use€[by]€[for]€[the€financial€institution]€[the€United€StatesÐ r ÐGovernment]];€or€[a€computer€which€is€[used€in]€[affecting]€[interstate]€[foreign]€[commerce]òò3óóÐ Ôp Ð[communication],€including€a€computer€located€outside€the€United€States€that€is€used€in€a€mannerÐ 6Ò Ðthat€affects€[interstate]€[foreign]€[commerce]€[communication]€of€the€United€States].]òò4óóÐ ˜4 Ðà@yyìàò ò(3)€Exceeding€Authorized€Accessó óˆÐ ú–  Ðà  à[The€phrase€"exceeding€authorized€access,"€as€used€in€[this]€[Instruction[s]€_______€,Ð \ø" Ðmeans€to€access€a€computer€with€authorization€and€to€use€such€access€to€obtain€or€alterÐ ¾Z$ Ðinformation€in€the€computer€that€the€person€accessing€the€information€is€not€entitled€to€obtain€orÐ  !¼& Ðalter.]òò5óóÐ ‚"( Ðà@óóìàò ò(4)€Financial€Institutionó óˆÐ ä#€* Ðà  à[The€phrase€ð ðfinancial€institution,ðð€as€used€in€[this]€[Instruction[s]€_______€,€means:€€[anÐ F%â, Ðinstitution€with€deposits€insured€by€Federal€Deposit€Insurance€Corporation];€[the€Federal€ReserveÐ ¨&D . Ðor€a€member€of€the€Federal€Reserve,€including€any€Federal€Reserve€Bank];€or€[a€credit€unionÐ  (¦!0 Ðâ âwith€accounts€insured€by€the€National€Credit€Union€Administration].]òò6óóÐ l)#2 ÐÔ& ˆ Ôâ âà@€€ ìàò ò(5)€Financial€Recordó óˆÐ d Ðà  à[The€phrase€ð ðfinancial€record,ðð€as€used€in€[this]€[Instruction[s]€_______€,€meansÐ Æb Ðinformation€derived€from€any€record€held€by€[a€financial€institution]€[an€issuer€of€a€credit€card]€[aÐ ( Ä ÐÔ'ˆdð Ôconsumer€reporting€agency]€pertaining€to€a€customerððs€relationship€with€that€entity.]òò7óóÐ Š & Ðà@%ìàò ò(6)€Damageó óˆÐ ì ˆ Ðà  à[The€term€ð ðdamage,ðð€as€used€in€[this]€[Instruction[s]€_______€,€means€any€impairment€toÐ N ê  Ðthe€integrity€or€availability€of€data,€a€program,€a€system,€or€information.]òò8óóÐ °L  Ðà@œœ&ìàò ò(7)€Lossó óˆÐ ®  Ðà  à[The€term€ð ðloss,ðð€as€used€in€[this]€[Instruction[s]€_______€,€means€any€reasonable€cost€ofÐ t  Ðresponding€to€an€offense,€conducting€a€damage€assessment,€and€restoring€of€data,€a€program,Ð Ör  Ðsystem,€or€information€to€its€condition€prior€to€the€offense€and€any€revenue€lost,€cost€incurred,€orÐ 8Ô  Ðother€damages€incurred€because€of€interruption€of€service.]òò9óóÐ š6 ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ü˜ Ðà  à1.€€The€Committee€recommends€the€court€explain€the€terms€and€phrases€set€forth€in€thisÐ ^ú Ðinstruction€which€are€applicable€to€the€section€1030€count[s]€in€the€indictment.€€They€should,€ofÐ Jæ Ðcourse,€be€tailored€to€the€facts€of€the€particular€case.€€Ð 6Ò Ðà  à2.€€18€U.S.C.€ðð€1030(e)(1).Ð ˜4 Ðà  à3.€€Although€Congress€has€not€defined€interstate€or€foreign€commerce€in€section€1030€orÐ ú–  Ðin€its€legislative€history,€the€Eighth€Circuit€has€held,€within€the€context€of€section€1030,€thatÐ æ‚! Ðcomputers€connected€to€the€Internet€are€instrumentalities€and€channels€of€interstate€commerce,Ð Òn" Ðand€ð ð[Ô_Ôn]oÔ_Ô€additional€interstate€nexus€is€required€when€instrumentalities€or€channels€of€interstateÐ ¾Z# Ðcommerce€are€regulated.ðð€òò€See€United€States€v.€Trotteróó,€478€F.3d€918,€921€(8òòthóó€Cir.€2007)Ð ª F$ Ð(internal€citations€omitted).€€If€a€definition€of€Interstate€and€Foreign€Commerce€is€desired,€òòseeóóÐ –!2% ÐInstruction€6.18.1956J(2),€òòinfraóó.Ð ‚"& Ðà  à4.€€18€U.S.C.€ðð€1030(e)(2).Ð ä#€( Ðà  à5.€€18€U.S.C.€ðð€1030(e)(6).€€The€Eighth€Circuit€ð ðhas€not€addressed€the€issue€of€whetherÐ F%â* Ðone€who€accesses€a€computer€with€apparent€authorization,€and€then€arguably€uses€the€informationÐ 2&Î+ Ðfor€an€improper€purpose,€has€violatedðð€section€1030€by€ð ðexceeding€authorized€access.ðð€Ð 'º , ÐòòAmerican€Family€Mut.€Ins.€Co.€v.€Hollanderóó,€2009€WL€535990€at€*€10„11€(N.D.€Iowa€Mar.€3,Ð  (¦!- Ð2009).€€Courts€have€come€down€on€both€sides€of€this€issue.€€òòSee€Ô_ÔLVRCÔ_Ô€Holdings€LLC€v.€Ô_ÔBrekkaÔ_Ô,óóÐ ö(’". Ð581€F.3d€1127€(9òòthóó€Cir.€2009)€(court€adopted€a€plain€language€approach€to€section€1030€and€heldÐ â)~#/ Ðthat€the€defendant,€who€accessed€his€employerððs€computers€while€still€employed€and€emailedÐ Î*j$0 Ðdocuments€to€himself€and€his€wife€for€their€own€competing€consulting€business,€had€not€accessedÐ º+V%1 Ða€computer€without€authorization€nor€had€he€exceeded€authorized€access€because€he€was€entitledÐ d Ðto€access€such€documents);€òòÔ_ÔConduxÔ_Ô€Intern.,€Inc.€v.€Ô_ÔHaugumÔ_Ôóó,€2008€WL€5244818€at€*4„6€(D.Ð Pì ÐMinn.€2008)€(after€discussing€the€split€among€authorities,€court€held€that€ð ð[t]he€legislative€historyÐ <Ø Ðof€[section€1030]€supportsðð€the€narrower€ð ðinterpretation,€which€focuses€on€the€propriety€of€theÐ ( Ä Ðaccess€of€information€rather€than€on€the€propriety€of€the€use€of€informationðð);€òòbut€seeÐ  ° ÐInternational€Airport€Centers,€LLC€v.€Citrinóó,€440€F.3d€418,€419„20€(7òòthóó€Cir.€2006)€(court€heldÐ  œ Ðemployee€lost€his€authorization€to€access€employerððs€computer€when€he€violated€his€duty€ofÐ ì ˆ Ðloyalty€by€starting€up€a€competing€business€and€deleting€his€employerððs€valuable€data€from€hisÐ Ø t Ðwork€laptop€before€quitting€his€employment)òò;€Ô_ÔEFÔ_Ô€Cultural€Travel€BV€v.€Ô_ÔExploricaÔ_Ô,€Incóó.,€274€F.3dÐ Ä ` Ð577,€583-84€(1st€Cir.€2001)€(court€held€a€former€employee€had€likely€violated€section€1030€byÐ °L  Ðexceeding€authorized€access€when€he€used€confidential€information€he€had€lawfully€obtained€asÐ œ8  Ðan€employee€to€prepare€a€program€that€allowed€him€to€compete€against€his€former€employer).Ð ˆ$  Ðà  à6.€€The€statute€provides€several€additional€definitions€of€financial€institution€which€mayÐ ê†  Ðapply€in€a€particular€case.€€òòSeeóó€18€U.S.C.€ðð€1030(e)(4).€€Ð Ör  Ðà  à7.€€18€U.S.C.€ðð€1030(e)(5).Ð 8Ô  Ðà  à8.€€18€U.S.C.€ðð€1030(e)(8).€€ð ðDamageðð€can€include€deletion€of€data.€€òòSee€Ô_ÔLascoÔ_Ô€Foods,Ð š6 ÐInc.€v.€Hall€and€Shaw€Sales,€Marketing€&€Consulting,€LLCóó,€600€F.€Supp.€2d€1045,€1052€(E.D.Ð †" ÐMo.€2009).Ð r Ðà  à9.€€18€U.S.C.€ðð€1030(e)(11).€€The€cost€of€the€forensic€analysis€and€other€remedialÐ Ôp Ðmeasures€associated€with€retrieving€and€analyzing€a€defendant's€computers€can€constitute€"loss"Ð À\ Ðunder€section€1030.€€òòSee€Ô_ÔLascoÔ_Ô€Foods,€Inc.€v.€Hall€and€Shaw€Sales,€Marketing€&€Consulting,Ð ¬H ÐLLCóó,€600€F.€Supp.€2d€1045,€1052€(E.D.€Mo.€2009).€€Although€it€is€a€question€of€fact€for€the€juryÐ ˜4 Ðwhether€an€alleged€loss€is€reasonable,€loss€can€include€not€just€the€cost€of€outside€experts,€butÐ „  Ðalso€an€estimate€of€the€cost€of€salaried€employees,€calculated€by€adding€up€the€total€number€ofÐ p  Ðhours€spent€by€salaried€employees€responding€to€the€intrusion€and€fixing€the€problem€andÐ \ø Ðmultiplying€those€hours€by€the€imputed€hourly€rates€for€those€employees.€€òòUnited€States€v.€Ô_ÔMillotÔ_Ôóó,Ð Hä Ð433€F.3d€1057,€1061€(8òòthóó€Cir.€2006).€€Moreover,€section€1030€"does€not€restrict€consideration€ofÐ 4 Ð Ðlosses€to€only€the€person€who€owns€the€computer€system."€€òòId.óóÐ   !¼ ÐÓ €ÓÖ€ìÖà@CC ìàò òÔ% €P ÔÔ  Ô6.18.1071.€€CONCEALING€A€PERSON€FROM€ARREST€(18€U.S.C.€ðð€1071)Ô Ý ‚ Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€concealing€a€person€from€arrest€as€charged€in€[Count€___€of]€the€indictment,Ð <Ø Ðhas€four€essential€elements,€which€are:Ð ž : Ðà  àòòOneóó,€a€federal€warrant€had€been€issued€for€the€arrest€of€(name€of€the€person€named€in€theÐ  œ Ðarrest€warrant)€[for€the€crime€of€(specify€offense)]€[after€conviction€of€(specify€offense)];Ð b þ Ðà  àòòTwoóó,€the€defendant€knew€the€warrant€had€been€issued;€Ð Ä `  Ðà  àòòThreeóó,€with€that€knowledge,€the€defendant€harbored€or€concealed€(name€of€the€personÐ &  Ðnamed€in€the€arrest€warrant);€andÐ ˆ$  Ðà  àòòFouróó,€€the€defendant€intended€to€prevent€the€discovery€or€arrest€of€(name€of€the€personÐ ê†  Ðnamed€in€the€arrest€warrant).Ð Lè  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ®J ÐÓ €ÓÓ€Óà@55!ìàò òCommittee€Commentsó óˆÐ ¬ Ðà  àA€similar€instruction€was€cited€with€approval€by€the€Eighth€Circuit€in€òòUnited€States€v.Ð r ÐHayesóó,€518€F.3d€989€(8òòthóó€Cir.€2008).€€It€remains€an€open€question€whether€merely€lying€about€aÐ ^ú Ðfugitiveððs€whereabouts€is€sufficient€to€support€a€conviction€for€this€offense.€€òòId.óóÐ  Jæ ÐÔ‚<ì5ßÔÔ<ìÔÖ€“ìÖà@nn ìàò òÔ% €R ÔÔ  Ô6.18.1111.€€INTRODUCTORY€COMMENTS€TO€HOMICIDE€INSTRUCTIONSÔ ic0Ôó óˆÐ dx ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ ÆÚ  Ðò òFederal€Jurisdiction€under€18€U.S.C.€ðð€7ó óÐ ( <  ÐÔ'°Æ£Ôà  àFederal€jurisdiction€may€be€exclusive€or€concurrent.€€Certain€statutes,€such€as€18€U.S.C.Ð Š ž Ððð1114,€base€federal€jurisdiction€on€the€identity€of€the€victim.€€Other€statutes,€such€as€18€U.S.C.Ð v Š  Ððð1111,€base€federal€jurisdiction€on€where€the€crime€occurs.€€These€latter€statutes,€the€federalÐ b v  Ðenclave€laws,€permit€federal€courts€to€serve€as€a€forum€for€the€prosecution€of€certain€crimes€whenÐ N b  Ðthey€occur€within€the€ð ðspecial€maritime€and€territorial€jurisdiction€of€the€United€States,ðð€18Ð :N  ÐU.S.C.€ðð€7.Ð &:  Ðà  àThe€phrase€ð ðwithin€the€exclusive€jurisdiction€of€the€United€Statesðð€applies€to€crimesÐ ˆœ Ðcommitted€within€the€premises,€grounds,€forts,€arsenals,€navy„yards,€and€other€places€within€theÐ tˆ Ðboundaries€of€a€state€or€within€a€territory€over€which€the€Federal€Government€has€jurisdiction.€€òòInÐ `t Ðre€Gon„shay„eeóó,€130€U.S.€343,€351€(1889).€€Currently,€18€U.S.C.€ðð€7€describes€those€same€placesÐ L` Ðmore€expansively€and€affixes€to€them€the€phrase€ð ðspecial€maritime€and€territorial€jurisdiction€ofÐ 8L Ðthe€United€States.ðð€€The€statute€defines€this€as€including,€among€other€things,€the€high€seas,€anyÐ $8 Ðother€waters€within€the€admiralty€and€maritime€jurisdiction€of€the€United€States€and€withoutÐ $ Ðjurisdiction€of€any€particular€state,€any€American€vessel€on€the€waters€of€any€of€the€Great€LakesÐ ü Ðor€on€any€of€the€waters€connecting€the€Great€Lakes,€and€any€American€aircraft€while€in€flightÐ èü Ðover€the€high€seas,€or€over€any€other€waters€within€the€admiralty€and€maritime€jurisdiction€of€theÐ Ôè ÐUnited€States.€€Although€not€enumerated€in€section€7,€federal€jurisdiction€extends€to€crimesÐ ÀÔ Ðcommitted€in€Indian€country€under€18€U.S.C.€ðð€1152,€and€exclusive€federal€jurisdiction€isÐ ¬À  Ðgranted€over€certain€enumerated€offenses,€including€murder€and€manslaughter,€committed€by€anÐ ˜¬! ÐIndian€within€Indian€country€(18€U.S.C.€ðð€1153).€Ð „˜" Ðà  àFederal€jurisdiction€under€18€U.S.C.€ðððð€1111€and€1112€ultimately€depends€on€the€locationÐ æú$ Ðof€the€offense.€€The€location€is€determined€by€where€the€injury€was€inflicted€or€other€meansÐ Òæ% Ðemployed€which€caused€the€death,€without€regard€to€where€the€death€actually€occurred.€€18Ð ¾Ò& ÐU.S.C.€ðð€3236;€òòUnited€States€v.€Parkeróó,€622€F.2d€298,€302€(8th€Cir.€1980).€€If€injuries€areÐ ª ¾' Ðinflicted€both€outside€and€inside€the€federal€boundary,€the€Eighth€Circuit€adopts€a€proximateÐ –!ª( Ðcause€analysis€and€requires€the€government€to€prove€beyond€a€reasonable€doubt€that€the€victimÐ ‚"– ) Ðdied€as€a€proximate€result€of€the€injuries€inflicted€within€the€federal€boundary.€€òòId.óóÐ n#‚!* Ðà  àIt€is€unclear€in€light€of€òòUnited€States€v.€Gaudinóó,€515€U.S.€506€(1995),€whether€the€elementÐ Ð$ä", Ðof€federal€jurisdiction€is€a€question€of€law€to€be€determined€by€the€court€or€a€question€of€fact€toÐ ¼%Ð#- Ðbe€determined€by€the€jury.€€However,€the€Eighth€Circuit€in€òòUnited€States€v.€Standsóó,€105€F.3dÐ ¨&¼$. Ð1565,€1575€(8òòthóó€Cir.€1997),€held€that€the€location€of€the€crime€is€a€factual€issue€for€the€jury,€but€itÐ ”'¨%/ Ðis€for€the€court,€not€the€jury,€to€determine€whether€that€land€is€in€Indian€country€and€thus€withinÐ €(”&0 Ðâ âfederal€jurisdiction.Ð l)€'1 ÐÔ& ° Ôâ âò òInjection€of€Defensesó óÐ d Ðà  àòòSeeóó€Instruction€9.05.Ð Æb ÐÔ'°dØ!Ôà  àIn€the€Eighth€Circuit,€it€is€well€established€that€a€defendant€is€entitled€to€an€instruction€onÐ ( Ä Ðhis€theory€of€the€case€if€there€is€evidence€to€support€it€and€a€proper€request€has€been€made.€Ð  ° ÐòòUnited€States€v.€Long€Crowóó,€37€F.3d€1319,€1323€(8th€Cir.€1994)€(quoting€òòUnited€States€v.€Brownóó,Ð  œ Ð540€F.2d€364,€380€(8th€Cir.€1976)).€€The€evidence€need€not€be€overwhelming,€and€a€defendant€isÐ ì ˆ Ðentitled€to€an€instruction€on€a€theory€of€defense€even€though€the€evidentiary€basis€for€that€theoryÐ Ø t Ðis€"weak,€inconsistent,€or€of€doubtful€credibility."€òò€United€States€v.€Scoutóó,€112€F.3d€955,€960€(8thÐ Ä `  ÐCir.€1997)€(citing€òòCloss€v.€Leapleyóó,€18€F.3d€574,€580€(8th€Cir.€1994));€òòbut€see€Long€Crowóó,€37Ð °L  ÐF.3d€at€1323€(the€defendant€must€establish€the€insanity€defense€"by€clear€and€convincingÐ œ8  Ðevidence").€€Nonetheless,€a€defendant€still€has€the€burden€of€producing€some€evidence€to€supportÐ ˆ$  Ðhis€theory.€€òòSee€Hall€v.€United€Statesóó,€46€F.3d€855€(8th€Cir.€1995)€(there€must€be€evidence€uponÐ t  Ðwhich€a€jury€could€rationally€sustain€the€defense).Ð `ü  Ðò òSelf„Defenseó óÐ Â^  Ðà  àòòSeeóó€Instructions€3.09,€òòsupraóó,€and€9.04,€òòinfra.óóÐ $À Ðà  àWhen€evidence€is€introduced€which€supports€a€claim€of€self„defense,€the€governmentÐ †" Ðmust€prove€the€absence€of€self„defense€beyond€a€reasonable€doubt.€€òòSee€United€States€v.€Scoutóó,Ð r Ð112€F.3d€at€960€(citing€òòUnited€States€v.€Alvarezóó,€755€F.2d€830,€842€n.12€(11th€Cir.€1985)).€€InÐ ^ú Ðother€words,€the€absence€of€self„defense€is€not€an€element€of€the€crime;€rather,€it€is€an€affirmativeÐ Jæ Ðdefense€on€which€the€defendant€bears€the€burden€of€production.€€òòóóOnce€the€defendant€has€met€thisÐ 6Ò Ðburden,€the€government€must€satisfy€the€burden€of€persuasion€and€negate€self„defense.€€òòIdóó.Ð "¾ Ðà  àWhen€self„defense€is€raised,€òòóóinstructions€should€be€modified€to€include€an€additionalÐ „  Ðelement,€that€òòð ðóóthe€defendant€did€not€kill€(name€of€victim)€in€self„defense.ðð€€An€explanation€ofÐ p  Ðself„defense€should€also€be€included.Ð \ø Ðò òHeat€of€Passionó óÐ ¾Z Ðà  àòòSeeóó€Instruction€9.05,€òòinfraóó.Ð  !¼! Ðà  àThe€prosecution€must€prove€beyond€a€reasonable€doubt€the€absence€of€heat€of€passionÐ ‚"# Ðwhen€the€issue€is€properly€raised€in€a€homicide€case.€€òòMullaney€v.€Wilburóó,€421€U.S.€684,€697„98Ð n# $ Ð(1975).€€Ð Z$ö% Ðò òLesser„Included€Offenseó óÐ ¼%X' Ðà  àð ðThe€defendant€may€be€found€guilty€of€an€offense€necessarily€included€in€the€offenseÐ 'º ) Ðcharged€.€.€.€.ðð€€Fed.€R.€Crim.€P.€31(c).€€òòSeeóó€Instruction€3.10,€òòsupraóó.Ð  (¦!* Ðà  àThe€Eighth€Circuit€has€formulated€a€five„point€test€to€determine€when€a€lesser„includedÐ l)#, Ðoffense€instruction€should€be€given.€€òòUnited€States€v.€Parkeróó,€32€F.3d€395,€400„01€(8th€Cir.€1994)Ð X*ô#- Ð(citingòò€United€States€v.€Thompsonóó,€492€F.2d€359,€362€(8th€Cir.€1974)):Ð D+à$. Ðà8  àA€defendant€is€entitled€to€an€instruction€on€a€lesser„included€offense€if:€€(1)€aÐ d Ðproper€request€is€made;€(2)€the€elements€of€the€lesser€offense€are€identical€to€partÐ Pì Ðof€the€elements€of€the€greater€offense;€(3)€there€is€some€evidence€which€wouldÐ <Ø Ðjustify€conviction€of€the€lesser€offense;€(4)€the€proof€on€the€element€or€elementsÐ ( Ä Ðdifferentiating€the€two€crimes€is€sufficiently€in€dispute€so€that€the€jury€mayÐ  ° Ðconsistently€find€the€defendant€innocent€of€the€greater€and€guilty€of€the€lesser„Ð  œ Ðincluded€offense;€and€(5)€there€is€mutuality,€òòi.e.,óó€a€charge€may€be€demanded€byÐ ì ˆ Ðeither€the€prosecution€or€the€defense.ÐØ tÐ Ð  ÐòòSee€also€United€States€v.€Eagle€Hawkóó,€815€F.2d€1213,€1215€(8th€Cir.€1987),€and€òòUnited€States€v.Ð :Ö  ÐNeissóó,€684€F.2d€570,€571€(8th€Cir.€1982).Ð  &  ÐÖ€•“ì‘ÖÓ €Óà@'' ìàò òÔ% €S ÔÔ  Ô6.18.1111A.€€MURDER,€FIRST€DEGREE,€WITHIN€SPECIAL€MARITIME€AND€ˆÐ d Ðà@ ìàTERRITORIAL€JURISDICTION€OF€THE€UNITED€STATES€(18€U.S.C.€ðð€1111)Ô ic 4Ô€òò1óóó óˆÐ Pì ÐÌÓffÓà  àThe€crime€of€murder€in€the€first€degree€[,€as€charged€in€[Count€__]€of€the€indictment,]€hasÐ ( Ä Ðfour€elements,€which€are:Ð r  Ðà  àòòOneóó,€the€defendant€unlawfully€killedòò2€3óó€(name€of€victim);Ð ¼ X Ðà  àòòTwoóó,€the€defendant€did€so€with€malice€aforethought€as€defined€in€instruction€________;òò4óóÐ  ¢ Ðà  àòòThreeóó,the€killing€was€premeditatedòò5óó€as€defined€in€instruction€_______;òò6óó€andÐ Pì Ðà  àòòFouróó,€the€killing€occurred€at€(describe€location€where€killing€is€alleged€to€have€occurredÐ š6  Ðupon€which€jurisdiction€is€based).òò7óóÐ ä€  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð .Ê  ÐÓ €ÓÓffÓÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ x  Ðà  à1.€€Numerous€statutes€refer€to€section€1111.€€This€instruction€may€be€modified€for€theseÐ Úv  Ðsituations.Ð Æb ÐÔ'œxˆ8Ôà  à2.€€The€statute€states€that€the€defendant€must€"unlawfully"€kill.€€The€issue€of€whether€theÐ (Ä Ðdefendant€unlawfully€killed€is€injected€in€a€number€of€ways,€as€for€instance€when€the€defendantÐ ° Ðraises€the€defense€of€self„defense€or€defense€of€others.€€Those€defenses€are€addressed€by€addingÐ œ Ðthe€appropriate€language€based€on€instruction€3.09€to€this€instruction,€rather€than€by€addingÐ ìˆ Ðanother€element€to€this€instruction.€€The€burden€of€proof€remains€on€the€government€to€disproveÐ Øt Ðself„defense€once€the€defense€is€raised.Ð Ä` Ðà  à3.€€"Caused€the€death€of"€may€be€used€instead€of€"killed."Ð & Ðà  à4.€€If€the€defense€of€heat€of€passion€is€raised,€the€instruction€should€be€modified€to€addÐ ˆ$ Ð"and€not€in€the€heat€of€passion€as€submitted€in€instruction€___."€€The€Supreme€Court€has€heldÐ t Ðthat€the€prosecution€must€"prove€beyond€a€reasonable€doubt€the€absence€of€the€heat€of€passion€onÐ ` ü Ðsudden€provocation€when€the€issue€is€properly€presented€in€a€homicide€case."€€òòMullaney€v.Ð L!è ÐWilburóó,€421€U.S.€684,€697„98,€704€(1975).€Ð 8"Ô Ðà  à5.€€This€element€may€be€modified€to€state€"the€defendant€€premeditated€upon€the€death€ofÐ š#6 Ð(name€of€victim)."€€Ð †$"  Ðà  à6.€€When€any€other€form€of€first€degree€murder€is€at€issue€(òòi.e.óó,€a€murder€"perpetrated€byÐ è%„" Ðpoison,€lying€in€wait€.€.€.€or€committed€in€the€perpetration€of,€or€attempt€to€perpetrate,€any€arson,Ð Ô&p # Ðescape,€murder,€kidnapping,€treason,€espionage,€sabotage,€aggravated€sexual€abuse€or€sexualÐ À'\!$ Ðabuse,€burglary,€or€robbery..."),€the€instruction€relative€to€premeditation€should€be€appropriatelyÐ ¬(H"% Ðmodified.€€(For€example,€in€a€case€where€the€killing€occurred€during€a€robbery,€the€third€elementÐ ˜)4#& Ðshould€be€stricken,€and€a€new€element€should€be€added€requiring€"the€killing€of€[victim]€wasÐ „* $' Ðcommitted€during€the€perpetration€of€a€robbery."€€This€element€should€be€followed€by€languageÐ p+ %( Ðwhich€defines€accurately€the€necessary€elements€of€the€offense€in€question,€in€this€example,Ð d Ðrobbery.)Ð Pì Ðà  à7.€€It€is€the€Committee's€opinion€that€the€issue€of€where€the€killing€occurred€is€a€questionÐ ²N Ðof€fact€to€be€determined€by€the€jury€but€the€issue€of€federal€jurisdiction€is€a€question€of€law€to€beÐ ž : Ðdetermined€by€the€court.€€òòSee€United€States€v.€Gaudinóó,€515€U.S.€506€(1995).€€òòSee€also€UnitedÐ Š & ÐStates€v.€Standsóó,€105€F.3d€1565,€1575€(8th€Cir.€1997)€(the€location€of€the€crime€is€a€factual€issueÐ v  Ðfor€the€jury,€but€it€is€for€the€court,€not€the€jury,€to€determine€whether€that€land€is€in€Indian€countryÐ b þ Ðand€thus€within€federal€jurisdiction).€€If,€however,€the€court€should€desire€to€submit€the€issue€ofÐ N ê Ðfederal€jurisdiction€to€the€jury,€a€fifth€element€may€be€added,€as€follows:Ð :Ö  Ðà8  àà ` à[òòFiveóó,€(describe€alleged€location)€is€within€the€(describe€basis€under€whichÐ œ8  Ðthe€location€is€within€the€special€maritime€or€territorial€jurisdiction€of€the€UnitedÐ ˆ$  ÐStates,€e.g.,€the€boundaries€of€the€Sioux€Indian€reservation).]Ðt Ð Ð  ÐIf€this€is€done,€the€first€sentence€should€be€modified€to€state€that€the€crime€has€five€elements.Ð Ör  Ðà  àòòSeeóó€18€U.S.C.€ðð€7€for€the€definition€of€"special€maritime€and€territorial€jurisdiction€of€theÐ 8Ô  ÐUnited€States,"€and€18€U.S.C.€ðððð€1152€and€1153€for€federal€jurisdiction€over€Indian€country€andÐ $À ÐIndians.€€The€Committee€recommends€adding€the€appropriate€definition€with€the€statutory€phrase.€Ð ¬ ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ r Ðà  àòòSeeóó€18€U.S.C.€ðð€1111€and€Introductory€Comments.€€òòSee€generally,€Beardslee€v.€UnitedÐ Ôp ÐStatesóó,€387€F.2d€280€(8th€Cir.€1967).€€Aside€from€the€forms€of€first€degree€murder€which€areÐ À\ ÐÔ'&rSIÔ"perpetrated€by€poison,€lying€in€wait,"€etc.,€the€necessary€feature€of€first€degree€murder€whichÐ ¬H Ðdistinguishes€it€from€second€degree€murder€is€the€element€of€"premeditation."€€òòBeardslee€v.Ð ˜4 ÐUnited€Statesóó.€€This€factor€is€covered€by€the€third€element€above.€€In€òòUnited€States€v.€Downsóó,€56Ð „  ÐF.3d€973€(8th€Cir.€1995),€the€Eighth€Circuit€describes€the€three€nonexclusive€categories€ofÐ p  Ðevidence€which€are€reviewed€in€determining€sufficiency€of€evidence€of€premeditation:Ð \ø Ðà8  à(1)€facts€about€how€and€what€the€defendant€did€prior€to€the€actual€killing€whichÐ ¾Z Ðshow€he€was€engaged€in€activity€directed€toward€the€killing,€that€is,€òòplanningÐ ª F  Ðactivityóó;€(2)€facts€about€the€defendantððs€prior€relationship€and€conduct€with€theÐ –!2! Ðvictim€from€which€òòmotiveóó€may€be€inferred;€and€(3)€facts€about€the€òònature€of€theÐ ‚"" Ðkillingóó€from€which€it€may€be€inferred€that€the€manner€of€killing€was€so€particularÐ n# # Ðand€exacting€that€the€defendant€must€have€intentionally€killed€according€to€aÐ Z$ö$ Ðpreconceived€design.ÐF%â%Ð Ð  ÐòòDownsóó,€56€F.3d€at€975.€€Intention€and€premeditation€may€be€established€by€circumstantialÐ ¨&D ' Ðevidence.€€òòUnited€States€v.€Blue€Thunderóó,€604€F.2d€550€(8th€Cir.€1979);€òòUnited€States€v.€BlackÐ ”'0!( ÐElkóó,€579€F.2d€49,€51€(8th€Cir.€1978);€òòcf.óó,€òòUnited€States€v.€Thompsonóó,€492€F.2d€359,€362€(8th€Cir.Ð €(") Ð1974)€(insufficient€circumstantial€evidence€of€intent).Ð l)#* Ðà  àIn€òòBall€v.€United€Statesóó,€140€U.S.€118,€133€(1891),€the€Supreme€Court€recognized€theÐ Î*j$, Ðapplicability€of€the€common€lawððs€year„and„a„day€rule€to€federal€prosecutions€for€murder.€€TheÐ º+V%- ÐEighth€Circuit,€in€òòdictaóó,€has€recognized€that€the€government€must€allege€and€prove€that€deathÐ d Ðoccurred€within€a€year€and€a€day€of€the€infliction€of€injury,€òòMerrill€v.€United€Statesóó,€599€F.2dÐ Pì Ð240,€241„42€(8th€Cir.€1979).€€Unless€there€is€an€issue€in€the€case€as€to€whether€death€occurredÐ <Ø Ðmore€than€a€year€and€a€day€beyond€infliction€of€the€fatal€injury,€the€Committee€does€not€believe€itÐ ( Ä Ðis€necessary€to€instruct€on€the€issue.Ð  ° Ðà  àSecond€degree€murder€can€be€a€lesser„included€offense€under€a€charge€of€first€degreeÐ v  Ðmurder.€€òòSeeóó€Introductory€Comments,€òòsupraóó.Ð  b þ ÐÖ€—•ì’ÖÓ €Óà@  ìàò òÔ% €T ÔÔ  Ô6.18.1111A„1.€€"MALICE€AFORETHOUGHT"€DEFINEDÔ ickUÔó óˆÐ d ÐÌÓ€Óà  àAs€used€in€these€instructions,€"malice€aforethought"€means€an€intent,€at€the€time€of€aÐ <Ø Ðkilling,€willfully€to€take€the€life€of€a€human€being,€or€an€intent€willfully€to€act€in€callous€andÐ ž : Ðwanton€disregard€of€the€consequences€to€human€life;€but€"malice€aforethought"€does€notÐ  œ Ðnecessarily€imply€any€ill€will,€spite€or€hatred€towards€the€individual€killed.òò1óó€òò2óóÐ b þ Ðà  àIn€determining€whether€[the€victim]€was€unlawfully€killed€with€malice€aforethought,€youÐ Ä `  Ðshould€consider€all€the€evidence€concerning€the€facts€and€circumstances€preceding,€surroundingÐ &  Ðand€following€the€killing€which€tend€to€shed€light€upon€the€question€of€intent.Ð ˆ$  ÐÓ€ÓÓ €ÓÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ê†  Ðà  à1.€€This€instruction€should€be€modified€in€the€case€of€felony€murder€or€murder€for€hire.€Ð Lè  ÐAs€here€stated,€the€instruction€is€designed€for€situations€where€a€defendant€is€accused€as€theÐ 8Ô  Ðprincipal.Ð $À ÐÔ'ˆê#YÔà  à2.€€If€the€court€wishes€to€further€define€malice€and€ð ðcallous€and€wanton€disregard,ðð€theÐ †" ÐEighth€Circuit€has€stated:€€ð ðMalice€may€be€established€by€evidence€of€conduct€which€is€recklessÐ r Ðand€wanton,€and€a€gross€deviation€from€a€reasonable€standard€of€care,€of€such€a€nature€that€a€juryÐ ^ú Ðis€warranted€in€inferring€that€the€defendant€was€aware€of€a€serious€risk€of€death€or€serious€bodilyÐ Jæ Ðharm.ðð€€òòUnited€States€v.€Johnsonóó,€879€F.2d€331,€334€(8òòthóó€Cir.€1989)€(quoting€òòUnited€States€v.Ð 6Ò ÐBlack€Elkóó,€579€F.2d€49,€51€(8òòthóó€Cir.€1978)).Ð  "¾ ÐÖ€™—ì“ÖÓ €Óà@Ê Ê ìàò òÔ% €U ÔÔ  Ô6.18.1111A„2.€€"PREMEDITATION"€DEFINEDÔ €b†]Ôó óˆÐ d ÐÌÓ€Óà  àA€killing€is€premeditated€when€it€is€intentional€and€the€result€of€planning€or€deliberation.€Ð <Ø ÐThe€amount€of€time€needed€for€premeditation€of€a€killing€depends€on€the€person€and€theÐ ž : Ðcircumstances.€€It€must€be€long€enough€for€the€defendant,€after€forming€the€intent€to€kill,€to€beÐ  œ Ðfully€conscious€of€his€intent,€and€to€have€thought€about€the€killing.€Ð b þ Ðà  à[For€there€to€be€premeditation€the€defendant€must€think€about€the€taking€of€a€human€lifeÐ Ä `  Ðbefore€acting.€€The€amount€of€time€required€for€premeditation€cannot€be€arbitrarily€fixed.€€TheÐ &  Ðtime€required€varies€as€the€minds€and€temperaments€of€people€differ€and€according€to€theÐ ˆ$  Ðsurrounding€circumstances€in€which€they€may€be€placed.€€Any€interval€of€time€between€formingÐ ê†  Ðthe€intent€to€kill,€and€acting€on€that€intent,€which€is€long€enough€for€the€defendant€to€be€fullyÐ Lè  Ðconscious€and€mindful€of€what€[he]€[she]€intended€and€willfully€set€about€to€do,€is€sufficient€toÐ ®J Ðjustify€the€finding€of€premeditation.]òò1óóÐ ¬ ÐÓ€ÓÓ €ÓÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€The€instruction€may€be€submitted€with€the€bracketed€paragraph€included€if€the€courtÐ Ôp Ðwishes€to€provide€further€description€to€the€jury€of€premeditation.Ô':rÑbÔÐ  À\ ÐÖ€›™ì”ÖÓ €Óà@d d ìàò òÔ% €V ÔÔ  Ô6.18.1111A„3.€€HEAT€OF€PASSION€OR€SUDDEN€QUARREL€ˆÐ d Ðà@Y Y ìàCAUSED€BY€ADEQUATE€PROVOCATION,€DEFINEDÔ €bEdÔó óˆÐ Pì ÐÌÓ€Óà  àThe€defendant€acted€upon€heat€of€passion€[or€sudden€quarrel]òò1óó€caused€by€adequateÐ ( Ä Ðprovocation,€if:Ð Š & Ðà  àòòOneóó,€the€defendant€was€provoked€in€a€way€that€would€cause€a€reasonable€person€to€loseÐ ì ˆ Ð[his]€[her]€self„control;òò2óóÐ N ê  Ðà  àòòTwoóó,€a€reasonable€person€subject€to€the€same€provocation€would€not€have€regained€self„Ð °L  Ðcontrol€in€the€time€between€the€provocation€and€the€killing;€andÐ ®  Ðà  àòòThreeóó,€the€defendant€did€not€regain€[his]€[her]€self„control€in€the€time€between€theÐ t  Ðprovocation€and€the€killing.Ð Ör  Ðà  àHeat€of€passion€[or€sudden€quarrel]€may€result€from€anger,€rage,€resentment,€terror€orÐ 8Ô  Ðfear.€€The€question€is€whether€the€defendant,€while€in€such€an€emotional€state,€lost€self„controlÐ š6 Ðand€acted€on€impulse€and€without€reflection.€Ð ü˜ Ðà  àProvocation,€in€order€to€be€adequate€under€the€law,€must€be€such€as€would€naturallyÐ ^ú Ðinduce€a€reasonable€person€in€the€passion€of€the€moment€to€temporarily€lose€self„control€and€killÐ À\ Ðon€impulse€and€without€reflection.€€[A€blow€or€other€personal€violence€may€constitute€adequateÐ "¾ Ðprovocation,€but€trivial€or€slight€provocation,€entirely€disproportionate€to€the€violence€of€theÐ „  Ðretaliation,€is€not€adequate€provocation.]òò3óó€Ð æ‚! Ðà  àIt€must€be€such€provocation€as€would€arouse€a€reasonable€person.€€[If€the€provocationÐ Hä# Ðaroused€the€defendant€because€he€was€voluntarily€intoxicated,€and€would€not€have€aroused€aÐ ª F% Ðsober€person,€it€does€not€reduce€the€offense€to€manslaughter.]òò4óóÐ  "¨' ÐÓ€ÓÔ& & ÔÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ n# ) Ðà  à1.€€The€Committee€recommends€that€ð ðsudden€quarrelðð€not€be€included€in€the€verdictÐ Ð$l+ Ðdirector,€as€heat€of€passion€now€appears€to€subsume€ð ðsudden€quarrel.ðð€€òòSeeóó€Notes€on€Use€toÐ ¼%X, ÐInstruction€Ô'&n#ulÔ6.18.1112A,€òòinfraóó.€€òòSeeóó€òòUnited€States€v.€Martinezóó,€988€F.2d€685,€690„96€(7òòthóó€Cir.Ð ¨&D - Ð1993),€for€an€extensive€description€of€the€history€of€the€defense€of€"sudden€quarrel"€or€ð ðmutualÐ ”'0!. Ðcombat,ðð€in€which€the€Court€concludes€that€the€term€may€be€"an€anachronism€with€no€meaningÐ €("/ Ðnot€adequately€served€by€a€proper€definition€of€heat€of€passion."€€òòSee€alsoóó€òòUnited€States€v.Ð l)#0 ÐMcRaeóó,€593€F.2d€700,€705€(5òòthóó€Cir.€1979)€("it€is€surely€not€the€quarrel€that€signifies€but€the€heatÐ X*ô#1 Ðâ âof€passion€that€it€occasions").€€Cases€in€the€Eighth€Circuit,€however,€typically€state€that€voluntaryÐ D+à$2 Ðmanslaughter€requires€evidence€of€a€killing€upon€sudden€quarrel€or€heat€of€passion.€€òòSee,€e.g.,óóÐ d ÐòòUnited€States€v.€Eagle€Elkóó,€658€F.2d€644,€648€(8th€Cir.€1981).Ð Pì Ðâ âà  àIf€ð ðsudden€quarrelðð€is€included,€the€Committee€recommends€it€be€defined.€€òòSee€UnitedÐ ²N ÐStates€v.€Martinezóó,€988€F.2d€at€696,€quoting€2€LaFave€and€Scott,€òòSubstantive€Criminal€LawóóÐ ž : Ððð7.10(b)(2)€at€256€(1986),€in€which€"mutual€combat"€is€defined€as€meaning€that€the€partiesÐ Š & Ð"willingly€engage€in€mutual€combat,€and€during€the€fight€one€kills€the€other€as€the€result€of€anÐ v  Ðintention€to€do€so€formed€during€the€struggle."€€Ð b þ Ðà  à2.€€There€is€case€law€holding€the€provocation€must€be€sudden.€€òòSee€United€States€v.Ð Ä `  ÐBordeauxóó,€980€F.2d€534,€537€(8òòthóó€Cir.€1992)€(ð ðA€defendantððs€anger€with€the€victim,€however,€isÐ °L  Ðnot€sufficient€to€establish€heat€of€passion€without€an€element€of€òòsuddenóó€provocation.€€Evidence€ofÐ œ8  Ððða€string€of€prior€arguments€and€a€continuing€dispute,ðð€without€any€indication€of€some€sort€ofÐ ˆ$  Ðinstant€incitement€.€.€.€,ðð€is€not€sufficient.)€Ð t  Ðà  à3.€€Courts€typically€add,€"Mere€words€alone,€no€matter€how€abusive€or€insulting,€are€notÐ Ör  Ðadequate€provocation."€€This€is€the€common€law€rule.€€However,€there€is€a€trend€in€the€case€law€Ð Â^  Ðthat€words€alone€will€sometimes€suffice€if€the€words€are€informational€(conveying€information€ofÐ ®J Ða€fact€which€constitutes€reasonable€provocation€when€that€fact€is€observed)€rather€than€merelyÐ š6 Ðinsulting€or€abusive€words.€€LaFave€&€Scott,€òòSubstantive€Criminal€Lawóó€(1986),€ðð7.10(6).€€òòButÐ †" Ðseeóó€Robinson,€òòCriminal€Law€Defensesóó€(1984),€Vol.€I,€ðð€102(b)€(the€one€exception€to€the€commonÐ r Ðlaw€rule€appears€to€be€the€confession€of€adultery).Ð ^ú Ðà  à4.€€While€the€issue€is€not€clearly€resolved€in€the€Eighth€Circuit,€the€CommitteeÐ À\ Ðrecommends€this€language€be€used€only€if€there€is€evidence€the€defendant€was€voluntarilyÐ ¬H Ðintoxicated.€€òòSee€United€States€v.€F.D.L.óó,€836€F.2d€1113,€1116„18€(8òòthóó€Cir.€1988).€€WhereÐ ˜4 Ðadequate€provocation€or€heat€of€passion€is€raised€as€a€defense€and€the€defendant€wishes€to€offerÐ „  Ðevidence€of€his€intoxication,€the€trend€seems€to€be€that€the€provocation€must€be€that€which€willÐ p  Ðarouse€a€reasonable€òòsoberóó€person.€€òòSeeóó€LaFave€&€Scott,€òòSubstantive€Criminal€Lawóó,€ðð€4.10.Ð \ø Ðà  àWhen€voluntary€intoxication€is€raised€as€an€insanity€defense,€it€will€be€disallowed€byÐ ¾Z Ðstatute€and€case€law.€€18€U.S.C.€ðð€17€and€the€legislative€history€(S.€Rep.€225,€98òòthóó€Cong.,€1òòstóó€Sess.Ð ª F Ð222€at€229€(1983)€(ð ðthe€voluntary€use€of€alcohol€or€drugs,€even€if€they€render€the€defendantÐ –!2  Ðunable€to€appreciate€the€nature€and€quality€of€his€acts,€does€not€constitute€insanity....ðð);€òòUnitedÐ ‚"! ÐStates€v.€F.D.L.óó,€836€F.2d€at€1116.€€It€is€the€general€rule,€however,€that€voluntary€intoxicationÐ n# " Ðmay€negate€specific€intent€but€not€general€intent.€€òòUnited€States€v.€Johnstonóó,€543€F.2d€55€(8òòthóó€Cir.Ð Z$ö# Ð1976).€€òòSee€Montana€v.€Egelhoffóó,€518€U.S.€37€(1996);€òòUnited€States€v.€Johnsonóó,€879€F.2d€331,Ð F%â$ Ðn.1€(8òòthóó€Cir.€1989).Ð  2&Î% ÐÖ€›ì•ÖÓ €Óà@¢¢ ìàò òÔ% €W ÔÔ  Ô6.18.1111B.€€MURDER,€SECOND€DEGREE,€WITHIN€SPECIAL€MARITIME€ˆÐ d Ðà@,,ìàAND€TERRITORIAL€JURISDICTION€OF€THE€UNITED€STATES€(18€U.S.C.€ðð€1111)Ô €bÈÔ€òò1óóó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€murder€in€the€second€degree€[,€as€charged€in€[Count€___€of]€the€indictment,]Ð ( Ä Ðhas€[three]€[four]€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€unlawfully€killedòò2,€3óó€(name€of€victim);Ð ì ˆ Ðà  àòòTwoóó,€the€defendant€did€so€with€malice€aforethought€as€defined€in€instruction€________;òò4óóÐ N ê  Ð[and]Ð °L  Ðà  àòòThreeóó,€the€killing€occurred€within€(describe€location€where€killing€is€alleged€to€haveÐ ®  Ðoccurred€upon€which€jurisdiction€is€based)€[.;€andÐ t  Ðà  àòòFouróó,€(describe€alleged€location)€is€within€the€(describe€basis€under€which€the€location€isÐ Ör  Ðwithin€the€special€maritime€or€territorial€jurisdiction€of€the€United€States,€òòe.g.óó,€the€boundaries€ofÐ 8Ô  Ðthe€Sioux€Indian€reservation.]òò5,€6óóÐ š6 Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.€Ð ü˜ ÐòòSee€alsoóó€Instruction€3.10,€òòsupraóó.)Ð ^ú ÐÓ€ÓÓ €ÓÔ& œ Ôà@ÇÇ$ìàò òNotes€on€UseˆÐ À\ Ðó óà  à1.€€Numerous€statutes€incorporate€section€1111€as€an€element.€€This€instruction€may€beÐ "¾ Ðmodified€to€apply€to€these€offenses.Ð ª ÐÔ'œÀv…Ôà  à2.€€The€statute€states€that€the€defendant€must€"unlawfully"€kill.€€The€issue€of€whether€theÐ p   Ðdefendant€unlawfully€killed€is€injected€when€the€defendant€raises€the€defense€of€self„defense€orÐ \ø! Ðdefense€of€others.€€Those€defenses€are€addressed€by€adding€the€appropriate€language€based€onÐ Hä" ÐInstruction€3.09€to€this€instruction,€rather€than€by€adding€another€element€to€this€instruction.Ð 4 Ð# Ðà  àThe€burden€of€proof€remains€on€the€government€to€disprove€self„defense€once€the€defenseÐ –!2% Ðis€raised.Ð ‚"& Ðà  à3.€€"Caused€the€death€of"€may€be€used€instead€of€"killed."Ð ä#€( Ðà  à4.€€If€the€defense€of€heat€of€passion€is€raised,€the€instruction€should€be€modified€to€addÐ F%â* Ð"and€not€in€the€heat€of€passion€as€submitted€in€instruction€___."€€The€Supreme€Court€has€heldÐ 2&Î+ Ðthat€the€prosecution€must€"prove€beyond€a€reasonable€doubt€the€absence€of€the€heat€of€passion€onÐ 'º , Ðsudden€provocation€when€the€issue€is€properly€presented€in€a€homicide€case."€€òòMullaney€v.Ð  (¦!- ÐWilburóó,€421€U.S.€684,€697„98,€704€(1975).Ð ö(’". Ðà  à5.€€òòSeeóó€Introductory€Comments€and€18€U.S.C.€ðð€7€for€the€definition€of€"special€maritimeÐ X*ô#0 Ðand€territorial€jurisdiction€of€the€United€States,"€and€18€U.S.C.€ðððð€1152€and€1153€for€federalÐ D+à$1 Ðjurisdiction€over€Indian€country€and€Indians.€Ð 0,Ì%2 Ðà  à6.€€It€is€unclear€whether€the€element€of€federal€jurisdiction€is€a€question€of€law€to€beÐ d Ðdetermined€by€the€court€or€a€question€of€fact€to€be€determined€by€the€jury.€€òòSee€United€States€v.Ð Pì ÐGaudinóó,€515€U.S.€506€(1995).€€òòBut€see€United€States€v.€Standsóó,€105€F.3d€1565,€1575€(8thòòóó€Cir.Ð <Ø Ð1997)€(the€location€of€the€crime€is€a€factual€issue€for€the€jury,€but€it€is€for€the€court,€not€the€jury,Ð ( Ä Ðto€determine€whether€that€land€is€in€Indian€country€and€thus€within€federal€jurisdiction).Ð  ° ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ v  Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1111A,€and€Introductory€Comments,€òòsupra.óó€Ð Ø t ÐÔ'°v ÷ŽÔà  àSection€1111(a),€Title€18,€United€States€Code,€provides€that€premeditated,€unlawfulÐ :Ö  Ðkilling€is€murder€in€the€first€degree,€and€further€provides€that€killing€a€human€being€in€theÐ &  Ðperpetration€of€specified€felonies€is€murder€in€the€first€degree.€€"Any€other€murder€is€murder€inÐ ®  Ðthe€second€degree."€€òòId.óó€€"To€convict€of€second€degree€murder,€the€jury€must€find€that€theÐ þš  Ðdefendant€killed€the€victim€with€'malice€aforethought.'"€€òòUnited€States€v.€Bordeauxóó,€980€F.2d€534,Ð ê†  Ð536€(8th€Cir.€1992).€€Second€degree€murder€can€be€a€lesser„included€offense€under€a€charge€ofÐ Ör  Ðfirst€degree€murder.€€òòSeeóó€Introductory€Comments,€òòsupraóó.Ð  Â^  ÐÖ€Ÿì–ÖÓ €Óà@   ìàò òÔ% €X ÔÔ  Ô6.18.1112A.€€VOLUNTARY€MANSLAUGHTER,€WITHIN€SPECIAL€MARITIMEˆÐ d Ðà@ccìàAND€TERRITORIAL€JURISDICTION€OF€THE€UNITED€STATES€(18€U.S.C.€ðð€1112)Ô €ð8“Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€voluntary€manslaughter€[,€as€charged€in€[Count€___€of]€the€indictment,]€hasÐ ( Ä Ðthree€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€voluntarily,€intentionally,€and€unlawfully€killed€(name€of€victim);òò1,€2óóÐ ì ˆ Ðà  àòòTwoóó,€the€defendant€acted€[in€the€heat€of€passion]€[upon€sudden€quarrel]òò3óó€caused€byÐ N ê  Ðadequate€provocation,€as€defined€in€instruction€_____;€[and]Ð °L  Ðà  àòòThreeóó,€the€killing€occurred€within€(describe€location€where€killing€is€alleged€to€haveÐ ®  Ðoccurred€upon€which€jurisdiction€is€based)€[.;€andÐ t  Ðà  àòòFouróó,€(describe€alleged€location)€is€within€the€(describe€basis€under€which€the€location€isÐ Ör  Ðwithin€the€special€maritime€or€territorial€jurisdiction€of€the€United€States,€òòe.g.óó,€the€boundaries€ofÐ 8Ô  Ðthe€Sioux€Indian€reservation).]òò4óóÐ š6 Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ü˜ ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ^ú Ðà  à1.€€If€there€is€evidence€of€justification€or€excuse,€the€following€language€should€beÐ À\ Ðincluded€after€the€final€element:€€Ð ¬H Ðà8  à"A€killing€is€'unlawful'€within€the€meaning€of€this€instruction€if€it€was€[neither]Ð ª Ð[not]€[justifiable]€[nor]€[excusable]."€Ðú–Ð Ð  Ðà  à2.€€"Caused€the€death€of"€may€be€used€instead€of€"killed."Ð \ø! Ðà  à3.€€The€Committee€recommends€that€"sudden€quarrel"€not€be€included,€as€heat€of€passionÐ ¾Z# Ðnow€appears€to€include€"sudden€quarrel."€€òòSeeóó€òòUnited€States€v.€Martinezóó,€988€F.2d€685,€690-96Ð ª F$ Ð(7th€Cir.€1993),€for€an€extensive€description€of€the€history€of€the€defense€of€"sudden€quarrel,"€inÐ –!2% Ðwhich€the€court€concludes€that€the€term€"sudden€quarrel"€may€be€"an€anachronism€with€noÐ ‚"& Ðmeaning€not€adequately€served€by€a€proper€definition€of€heat€of€passion."€€òòSee€alsoóó€òòUnited€StatesÐ n# ' Ðv.€McRaeóó,€593€F.2d€700,€705€(5th€Cir.€1979)€("it€is€surely€not€the€quarrel€that€signifies€but€theÐ Z$ö( Ðheat€of€passion€that€it€occasions").€€Cases€in€the€Eighth€Circuit,€however,€typically€state€thatÐ F%â) Ðvoluntary€manslaughter€requires€evidence€of€a€killing€upon€sudden€quarrel€or€heat€of€passion.€Ð 2&Î* ÐòòSee,€e.g.,óó€òòUnited€States€v.€Eagle€Elkóó,€658€F.2d€644,€648€(8th€Cir.€1981).Ð 'º + Ðà  à4.€€It€is€unclear€whether€the€element€of€federal€jurisdiction€is€a€question€of€law€to€beÐ €("- Ðdetermined€by€the€court€or€fact€to€be€determined€by€the€jury.€€After€òòUnited€States€v.€Gaudinóó,€515Ð l)#. ÐU.S.€506€(1995),€the€Committee€believes€courts€will€hold€that€federal€jurisdiction€is€an€elementÐ X*ô#/ Ðof€section€1112€and€will€require€that€the€issue€be€submitted€to€the€jury.€€òòBut€seeóó€òòUnited€States€v.Ð D+à$0 ÐStandsóó,€105€F.3d€1565,€1575€(8th€Cir.€1997)€(the€location€of€the€crime€is€a€factual€issue€for€theÐ 0,Ì%1 Ðjury,€but€it€is€for€the€court,€not€the€jury,€to€determine€whether€that€land€is€in€Indian€country€and,Ð d Ðthus,€within€federal€jurisdiction).€€If,€however,€the€court€should€desire€to€submit€the€element€ofÐ Pì Ðfederal€jurisdiction€to€the€jury,€the€following€could€be€added€as€element€five:Ð <Ø Ðà8  àà ` àòò[Fiveóó,€(describe€alleged€location)€is€within€the€[describe€basis€under€whichÐ ž : Ðthe€location€is€within€the€special€maritime€or€territorial€jurisdiction€of€the€UnitedÐ Š & ÐStates,€òòe.g.óó,€the€boundaries€of€the€Sioux€Indian€reservation.]Ðv Ð Ð  Ðà  àòòSeeóó€18€U.S.C.€ðð€7€for€the€definition€of€"special€maritime€and€territorial€jurisdiction€of€theÐ Ø t ÐUnited€States,"€and€18€U.S.C.€ðððð€1152€and€1153€for€federal€jurisdiction€over€Indian€country€andÐ Ä `  ÐIndians.€€The€Committee€recommends€adding€the€appropriate€definition€with€the€statutory€phrase.Ð °L  Ðà@55!ìàò òCommittee€Commentsó óˆÐ ®  Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1111A,€òòsupraóó,€and€Introductory€Comments.Ð t  Ðà  àVoluntary€manslaughter€is€the€unlawful€killing€without€malice,€upon€a€sudden€quarrel€orÐ Ör  Ðheat€of€passion.€€18€U.S.C.€ðð€1112.€€The€element€of€malice€aforethought€distinguishes€betweenÐ Â^  Ðmurder€and€manslaughter.€€òòUnited€States€v.€Weiseóó,€89€F.3d€502,€505€(8th€Cir.€1996);€òòUnitedÐ ®J ÐStates€v.€Bordeauxóó,€980€F.2d€534,€536€(8th€Cir.€1992).€€The€offense€of€voluntary€manslaughterÐ š6 Ðrequires€evidence€of€a€killing€upon€sudden€quarrel€or€heat€of€passion,€which€eliminates€theÐ †" Ðmental€element€of€malice€required€for€murder,€òòUnited€States€v.€Bordeauxóó,€980€F.2d€at€537€(citingÐ r ÐòòUnited€States€v.€Elkóó,€658€F.2d€644,€648€(8th€Cir.€1981)).€Ð ^ú Ðà  àVoluntary€manslaughter€can€be€a€lesser-included€offense€under€a€charge€of€first€degree€orÐ À\ Ðsecond€degree€murder,€and€involuntary€manslaughter€can€be€a€lesser-included€offense€under€aÐ ¬H Ðcharge€of€voluntary€manslaughter.€€òòSeeóó€Introductory€Comments,€òòsupraóó.€Ð ˜4 Ðò òJUSTIFICATION€OR€EXCUSEó óÐ ú– Ðà  àIf€there€is€evidence€of€justification€or€excuse,€the€jury€should€be€instructed€that€anÐ \ø Ð"unlawful€killing"€is€one€that€is€not€justifiable€or€excusable.€€Justification€or€excuse€may€includeÐ Hä Ðself-defense,€defense€of€others,€the€right€to€prevent€at€least€certain€felonies,€coercion€or€necessity,Ð 4 Ð  Ðmental€disorder,€and€other€factual€situations€sufficient€to€remove€the€matter€from€the€criminalÐ  !¼! Ðarena.€Ð  "¨" Ðà  àThe€elements€of€a€necessity/justification€defense€generally€are€discussed€in€òòUnited€StatesÐ n# $ Ðv.€Ô_ÔAndradeÔ_Ô„Rodriguez,€óó531€F.3d€721,€723€(8òòthóó€Cir.€2008)€(quoting€òòUnited€States€v.€Ô_ÔLukerÔ_Ôóó,€395Ð Z$ö% ÐF.3d€830,€832„33€(8òòthóó€Cir.€2005)):Ð F%â& Ðà8  à(1)€that€defendant€was€under€an€unlawful€and€present,€imminent,€and€impendingÐ ¨&D ( Ðthreat€of€such€a€nature€as€to€induce€a€well„grounded€apprehension€of€death€orÐ ”'0!) Ðserious€bodily€injury,€(2)€that€defendant€had€not€recklessly€or€negligently€placedÐ €("* Ðhimself€in€a€situation€in€which€it€was€probable€that€he€would€be€forced€to€chooseÐ l)#+ Ðthe€criminal€conduct,€(3)€that€defendant€had€no€reasonable,€legal€alternative€toÐ X*ô#, Ðviolating€the€law,€a€chance€both€to€refuse€to€do€the€criminal€act€and€also€to€avoidÐ D+à$- Ðthe€threatened€harm,€and€(4)€that€a€direct€causal€relationship€may€be€reasonablyÐ 0,Ì%. Ðanticipated€between€the€criminal€action€taken€and€the€avoidance€of€the€threatenedÐ d Ðharm.ÐPìÐ Ð  Ðà  àWhere€the€justification€or€excuse€is€not€"perfect,"€òòi.e.óó,€it€does€not€meet€all€the€elements€forÐ ²N Ðthe€defense,€some€cases€and€state€criminal€codes€have€concluded€that€the€"imperfect"€defenseÐ ž : Ðmay€warrant€the€killing€being€manslaughter€rather€than€murder.€€Other€cases€decline€to€acceptÐ Š & Ðthis€approach€and€instead€treat€the€issue€as€part€of€adequate€provocation.€Ð v  Ðò òSELF-DEFENSEó óÐ Ø t Ðà  àòòSeeóó€Instruction€9.04,€òòinfraóó.Ð :Ö  Ðà  àWhen€a€defendant€presents€evidence€in€support€of€a€claim€of€self-defense,€theÐ œ8  ÐGovernment€must€prove€the€absence€of€self-defense€beyond€a€reasonable€doubt.€€òòSee€UnitedÐ ˆ$  ÐStates€v.€Scoutóó,€112€F.3d€955,€960€(8òòthóó€Cir.€1997)€(citing€òòUnited€States€v.€Alvarezóó,€755€F.2d€830,Ð t  Ð842€n.12€(11th€Cir.€1985)).€€In€other€words,€the€absence€of€self-defense€is€not€an€element€of€theÐ `ü  Ðcrime;€rather,€it€is€an€affirmative€defense€on€which€the€defendant€bears€the€burden€of€production.€Ð Lè  ÐòòAlvarezóó,€755€F.2d€at€714€n.1.€€Once€the€defendant€has€met€this€burden,€the€Government€mustÐ 8Ô  Ðsatisfy€the€burden€of€persuasion€and€negate€self-defense.€€òòId.óóÐ $À Ðà  àFailure€to€provide€a€separate€instruction€explaining€that€the€Government€bears€the€burdenÐ †" Ðof€proof€on€self-defense€can€constitute€reversible€error.€€òòSee,€e.g.,€United€States€v.€Corriganóó,€548Ð r ÐF.2d€879,€883-84€(10th€Cir.€1977).Ð ^ú Ðà  àThe€Committee€recommends€adding€a€fifth€element€to€this€instruction€when€self-defenseÐ À\ Ðis€an€issue.€€òòSeeóó€Note€2,€òòsupraóó.Ð  ¬H ÐÖ€ Ÿì—ÖÓ €Óà@‡‡ ìàò òÔ% €Y ÔÔ  Ô6.18.1112B.€€INVOLUNTARY€MANSLAUGHTER,€WITHIN€SPECIAL€MARITIME€ˆÐ d Ðà@ccìàAND€TERRITORIAL€JURISDICTION€OF€THE€UNITED€STATES€(18€U.S.C.€ðð€1112)Ô àò-¹Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€involuntary€manslaughter[,€as€charged€in€[Count€___€of]€the€indictment,]Ð ( Ä Ðhas€[four]€[five]€elements,€which€are:Ð Š & Ðà  àòòOneóó,€________€(name€of€victim)€is€dead;Ð ì ˆ Ðà  àÔ_ÔTwo,tÔ_Ô,€he€defendant€caused€the€death€of€the€victim,€as€charged;€Ð N ê  Ðà  àòò[Threeóó,€the€death€of€the€victim€occurred€as€a€result€of€an€act€done€by€the€defendant€duringÐ °L  Ðthe€commission€of€[an€unlawful€actòò1óó€not€amounting€to€a€felony]€[a€lawful€act,€done€either€in€anÐ ®  Ðunlawful€manner€or€with€wanton€or€reckless€disregard€for€human€life,€which€might€produceÐ t  Ðdeath]€(describe€act,€e.g.,€was€driving€in€excess€of€the€speed€limit);]€orÐ Ör  Ðà  àòò[Threeóó,€[the€defendant€knew€that€his€conduct€was€a€threat€to€the€lives€of€others][it€wasÐ 8Ô  Ðreasonably€foreseeable€that€the€defendantððs€conduct€might€be€a€threat€to€the€lives€of€others];]Ð š6 Ð[and]Ð ü˜ Ðà  àòòFouróó,€the€killing€occurred€within€(describe€location€where€killing€is€alleged€to€haveÐ ^ú Ðoccurred€upon€which€jurisdiction€is€based).òò2óóÐ À\ Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ "¾ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€UseˆÐ „  Ðà  àó ó1.€€If€there€is€evidence€of€justification€or€excuse,€the€following€language€should€beÐ æ‚! Ðincluded€after€the€final€element:€€Ð Òn" ÐÔ'œ„ð¿Ôà0  à"A€killing€is€'unlawful'€within€the€meaning€of€this€instruction€if€it€was€[neither]€[not]Ð 4 Ð$ Ð[justifiable]€[nor]€[excusable]."€ò òÐ !¼%(#(# Ðó óòòSeeóó€Committee€Comments€to€Instruction€6.18.1112A€regarding€justification€and€excuse.Ð ‚"' Ðà  à2.€€It€is€unclear€whether€the€element€of€federal€jurisdiction€is€a€question€of€law€to€beÐ ä#€) Ðdetermined€by€the€court€or€fact€to€be€determined€by€the€jury.€€After€òòUnited€States€v.€Gaudinóó,€515Ð Ð$l* ÐU.S.€506€(1995),€the€Committee€believes€courts€will€hold€that€federal€jurisdiction€is€an€elementÐ ¼%X+ Ðof€ðð€1112€and€will€require€that€the€issue€be€submitted€to€the€jury.€€òòBut€see€United€States€v.€Standsóó,Ð ¨&D , Ð105€F.3d€1565,€1575€(8th€Cir.€1997)€(the€location€of€the€crime€is€a€factual€issue€for€the€jury,€but€itÐ ”'0!- Ðis€for€the€court,€not€the€jury,€to€determine€whether€that€land€is€in€Indian€country€and€thus€withinÐ €(". Ðfederal€jurisdiction).€€If,€however,€the€court€should€desire€to€submit€the€element€of€federalÐ l)#/ Ðâ âjurisdiction€to€the€jury,€the€following€could€be€added€as€element€five:Ð X*ô#0 Ðà0  àòò[Fiveóó,€(describe€alleged€location)€is€within€the€(describe€basis€under€which€the€location€isÐ d Ðâ âwithin€the€special€maritime€or€territorial€jurisdiction€of€the€United€States,€òòe.g.óó,€theÐ Pì Ðboundaries€of€the€Sioux€Indian€reservation).]Ð<Ø(#(# Ðà  àòòSeeóó€18€U.S.C.€ðð€7€for€the€definition€of€"special€maritime€and€territorial€jurisdiction€of€theÐ ž : ÐUnited€States,"€and€18€U.S.C.€ðððð€1152€and€1153€for€federal€jurisdiction€over€Indian€country€andÐ Š & ÐIndians.€€The€Committee€recommends€adding€the€appropriate€definition€with€the€statutory€phrase.Ð v  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ø t Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1112A,€and€Introductory€Comments.Ð :Ö  ÐÔ'°Ø ŸÈÔà  àInvoluntary€manslaughter€can€be€a€lesser„included€offense€of€voluntary€manslaughterÐ œ8  Ðunder€18U.S.C.€ðð€1112.€€òòSeeóó€Introductory€Comments,€òòsupra.€€United€States€v.€One€Staróó,€979Ð ˆ$  ÐF.2d€1319€(8th€Cir.€1992)òòóó.Ð t  Ðà  àUnder€18€U.S.C.€ðð€1112,€there€are€two€types€of€involuntary€manslaughter.€€InvoluntaryÐ Ör  Ðmanslaughter€can€either€occur€in€the€commission€of€(1)€an€unlawful€act€or€(2)€a€lawful€act€in€anÐ Â^  Ðunlawful€manner€or€without€due€caution.€€òòUnited€States€v.€McMillanóó,€820€F.2d€251,€257€(8th€Cir.Ð ®J Ð1987).Ð š6 Ðà  àIn€determining€what€constitutes€an€"unlawful€act"€under€18€U.S.C.€ðð€1112,€theÐ ü˜ ÐAssimilative€Crimes€Act,€18€U.S.C.€ðð€13,€permits€resort€to€state€law€when€the€acts€of€theÐ è„ Ðdefendant€are€not€punishable€under€any€enactment€of€Congress.€€òòSee€United€States€v.€Butleróó,€541Ð Ôp ÐF.2d€730,€735„36€(8th€Cir.€1976);€òòsee€also€United€States€v.€Bald€Eagleóó,€849€F.2d€361€n.2€(8thÐ À\ ÐCir.€1988).Ð ¬H Ðà  à"The€requisite€mental€state€for€involuntary€manslaughter€is€'gross'€or€'criminal'€negligence,Ð ª Ða€far€more€serious€level€of€culpability€than€that€of€ordinary€tort€negligence,€but€still€short€of€theÐ ú– Ðextreme€recklessness,€or€malice€required€for€murder."€€òòUnited€States€v.€One€Staróó,€979€F.2d€1319,Ð æ‚ Ð1321€(8th€Cir.€1992).€€"It€is€well€settled€that€involuntary€manslaughter€is€a€lesser„included€offenseÐ Òn Ðof€murder."€€òòIbid.óóÐ ¾Z Ðà  àActual€knowledge€of€a€threat€to€the€lives€of€others,€or€knowledge€of€circumstances€thatÐ  !¼! Ðwould€allow€the€defendant€to€foresee€the€life„threatening€nature€of€his€conduct,€is€a€separateÐ  "¨" Ðelement€of€the€crime€which€must€be€established€in€addition€to€gross€negligence.€€òòUnited€States€v.Ð ø"”# ÐOpstaóó,€659€F.2d€848,€849€(8th€Cir.€1981)€(citing€òòUnited€States€v.€Schmidtóó,€626€F.2d€616,€617€(8thÐ ä#€$ ÐCir.€1980)).Ð Ð$l% Ðà  àThere€is€authority€for€the€proposition€that€self„defense€is€inconsistent€with€a€charge€ofÐ 2&Î' Ðinvoluntary€manslaughter,€so€that€it€would€be€error€to€submit€on€the€lesser„included€offense€ofÐ 'º ( Ðinvoluntary€manslaughter€when€the€defendant€asserts€self„defense.€€Such€an€instruction€wouldÐ  (¦!) Ðabrogate€the€complete€nature€of€self„defense€as€a€defense.€€òòUnited€States€v.€Iron€Shieldóó,€697€F.2dÐ ö(’"* Ð845€(8th€Cir.€1983)€(citing€òòUnited€States€v.€Smithóó,€521€F.2d€374,€377€(10th€Cir.€1975)).Ð  â)~#+ ÐÖ€¢ ì˜ÖÓ €Óà@33ìàò òÔ% €Z ÔÔ  Ô6.18.1114A.€€MURDER,€FIRST€DEGREE,€FEDERAL€VICTIM€(18€U.S.C.€ðð€1114)Ô ÆÔÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€murder€in€the€first€degree€[,€as€charged€in€[Count€___€of]€the€indictment,]Ð <Ø Ðhas€fouròòóó€elements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€unlawfully€killedòò1€2óó€(name€of€victim);Ð  œ Ðò òà  àó óòòTwoóó,€the€defendant€did€so€with€malice€aforethought€and€not€in€the€heat€of€passion;òò3óóÐ b þ Ðà  àòòThreeóó,€the€killing€was€premeditatedòò4óó€as€defined€in€instruction€______;òò5óó€andÐ Ä `  Ðà  àòòFouróó,€(name€of€victim)€was€killed€[while€engaged€in€his/her€official€duties]€[on€accountÐ &  Ðof€the€performance€of€his/her€official€duties]€as€an€[officer]€[employee]€of€the€United€States.Ð ˆ$  Ðà  àThe€defendant€does€not€have€to€know€that€(the€victim)€was€a€federal€officer.Ð ê†  Ðà  à(Insert€paragraph€describing€governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ Lè  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€The€statute€states€that€the€defendant€must€"unlawfully"€kill.€€The€issue€of€whether€theÐ ¬ Ðdefendant€unlawfully€killed€is€injected€in€a€number€of€ways,€as€for€instance€when€the€defendantÐ ü˜ ÐÔ'&®‚ÙÔraises€the€defense€of€self„defense€or€defense€of€others.€€Those€defenses€are€addressed€by€addingÐ è„ Ðthe€appropriate€language€based€on€Instruction€3.09€to€this€instruction,€rather€than€by€addingÐ Ôp Ðanother€element€to€this€instruction.€€The€burden€of€proof€remains€on€the€government€to€disproveÐ À\ Ðself„defense€once€the€defense€is€raised.Ð ¬H Ðà  à2.€€"Caused€the€death€of"€may€be€used€instead€of€"killed."Ð ª Ðà  à3.€€If€the€defense€of€heat€of€passion€is€raised,€the€instruction€should€be€modified€to€addÐ p  Ð"and€not€in€the€heat€of€passion€as€submitted€in€instruction€___."€€The€Supreme€Court€has€heldÐ \ø  Ðthat€the€prosecution€must€"prove€beyond€a€reasonable€doubt€the€absence€of€the€heat€of€passion€onÐ Hä! Ðsudden€provocation€when€the€issue€is€properly€presented€in€a€homicide€case."€€òòMullaney€v.Ð 4 Ð" ÐWilburóó,€421€U.S.€684,€697„98,€704€(1975).€Ð  !¼# Ðà  à4.€€This€element€may€be€modified€to€state€"the€defendant€€premeditated€upon€the€death€ofÐ ‚"% Ð(name€of€victim)."€€Ð n# & Ðà  à5.€€When€any€other€form€of€first€degree€murder€is€at€issue€(òòi.e.óó,€a€murder€"perpetrated€byÐ Ð$l( Ðpoison,€lying€in€wait€.€.€.€or€committed€in€the€perpetration€of,€or€attempt€to€perpetrate,€any€arson,Ð ¼%X) Ðescape,€murder,€kidnaping,€treason,€espionage,€sabotage,€aggravated€sexual€abuse€or€sexualÐ ¨&D * Ðabuse,€burglary,€or€robbery.€.€.€."),€the€instruction€relative€to€premeditation€should€beÐ ”'0!+ Ðappropriately€modified.€€(For€example,€in€a€case€where€the€killing€occurred€during€a€robbery,€theÐ €(", Ðthird€element€should€be€stricken,€and€a€new€element€should€be€added€requiring€"the€killing€ofÐ l)#- Ð[victim]€was€committed€during€the€perpetration€of€a€robbery."€€This€element€should€be€followedÐ X*ô#. Ðby€language€which€defines€accurately€the€necessary€elements€of€the€offense€in€question,€in€thisÐ D+à$/ Ðexample,€robbery.)Ð 0,Ì%0 ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€18€U.S.C.€ðððð€1111,€1114;€Introductory€Comments;€and€Instructions€6.18.1111A,Ð Æb Ð6.18.1112A,€òòsupraóó.€Ð ²N ÐÔ'œdCãÔà  àòòSeeóó€Committee€Comments,€Instructions€6.18.1111A€and€6.18.1112A,€òòsupraóó.Ð  ° Ðò òOFFICIAL€DUTYó óÐ v  Ðà  àThe€test€for€determining€whether€a€federal€officer€or€employee€is€engaged€in€theÐ Ø t  Ðperformance€of€an€official€duty€is€whether€the€officer€or€employee€was€acting€within€the€scope€ofÐ Ä `  Ðemployment€or€engaging€in€a€"personal€frolic."€€òòUnited€States€v.€Streetóó,€66€F.3d€969,€978€(8òòthóó€Cir.Ð °L  Ð1995).€€The€scope€of€what€the€agent€is€employed€to€do€is€not€defined€by€whether€the€officer€orÐ œ8  Ðemployee€was€abiding€by€the€controlling€laws€and€regulations€at€the€time€of€the€incident.€€òòId.óó€Ð ˆ$  ÐMoreover,€the€scope€of€employment€is€not€defined€by€the€job€description.€€òòId.óó€€Instead,€in€theÐ t  ÐEighth€Circuit,€the€scope€of€employment€is€interpreted€broadly€by€looking€to€whether€the€officerÐ `ü  Ðor€employee's€actions€fall€within€the€agency's€overall€mission.€€òòId.óó€€The€statute€was€intended€byÐ Lè  ÐCongress€to€protect€federal€officers€and€facilitating€the€accomplishment€of€federal€lawÐ 8Ô  Ðenforcement€functions.€€òòId.óó€at€974.Ð $À Ðò òFEDERAL€OFFICERó óÐ †" Ðà  àA€defendant€need€not€be€aware€that€the€victim€is€a€federal€officer.€€òòUnited€States€v.€Feolaóó,Ð è„ Ð420€U.S.€671,€684€(1975).Ð Ôp Ðà  àA€state,€local€or€tribal€officer€may€also€be€a€federal€officer€due€to€cross„deputization€by€aÐ 6Ò Ðfederal€agency.€€If€deputized€officers€are€pursuing€duties€in€furtherance€of€their€federalÐ "¾ Ðdeputization,€they€are€federal€officers€for€purposes€of€18€U.S.C.€ðððð€111€and€1114.€€òòUnited€StatesÐ ª Ðv.€Schraderóó,€10€F.3d€1345,€1350„51€(8th€Cir.€1993).€€(For€example,€section€1114€provides€thatÐ ú– Ðany€officer€or€employee€of€the€Indian€field€service€of€the€United€States€is€protected€under€theÐ æ‚ Ðstatute.€€The€Bureau€of€Indian€Affairs€is€part€of€the€Indian€field€service€of€the€United€States.€Ð Òn ÐTribal€police€officers€who€are€employed€by€a€tribe€under€a€contract€with€the€Bureau€of€IndianÐ ¾Z ÐAffairs€to€provide€aid€in€the€enforcement€or€carrying€out€in€Indian€country€of€a€law€of€either€theÐ ª F  ÐUnited€States€or€an€Indian€tribe€are€federal€officers€for€the€purpose€of€18€U.S.C.€ðð€111.€€òòUnitedÐ –!2! ÐStates€v.€Youngóó,€85€F.3d€334€(8òòthóó€Cir.€1996).)€€Whether€an€officer€is€a€federal€officer€is€a€issue€ofÐ ‚"" Ðlaw€for€the€court;€whether€the€person€is€in€fact€an€officer€and€whether€he€was€performing€federalÐ n# # Ðlaw€enforcement€functions€are€questions€for€the€jury.€€òòUnited€States€v.€Oakieóó,€12€F.3d€1436,Ð Z$ö$ Ð1439„40€(8òòthóó€Cir.€1993).Ð  F%â% ÐÖ€¥¢ì™ÖÓ €Óà@½½ìàò òÔ% €[ ÔÔ  Ô6.18.1114B.€€MURDER,€SECOND€DEGREE,€FEDERAL€VICTIM€(18€U.S.C.€ðð€1114)Ô r€NðÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€murder€in€the€second€degree€[,€as€charged€in€[Count€___€of]€the€indictment,]Ð <Ø Ðhas€threeòòóó€elements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€unlawfully€killedòò1€2óó€(name€of€victim);Ð  œ Ðà  àòòTwoóó,€the€defendant€did€so€with€malice€aforethought€as€defined€in€instruction€____;òò3óó€andÐ b þ Ðà  àòòThreeóó,€(name€of€victim)€was€killed€[while€engaged€in€his/her€official€duties]€[on€accountÐ Ä `  Ðof€the€performance€of€his/her€official€duties]€as€an€[officer]€[employee]€of€the€United€States.Ð &  Ðà  àThe€defendant€does€not€have€to€know€that€(the€victim)€was€a€federal€officer.Ð ˆ$  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ê†  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Lè  Ðà  à1.€€The€statute€states€that€the€defendant€must€"unlawfully"€kill.€€The€issue€of€whether€theÐ ®J Ðdefendant€unlawfully€killed€is€injected€in€a€number€of€ways,€as,€for€instance,€when€the€defendantÐ š6 ÐÔ'&LŽôÔraises€the€defense€of€self„defense€or€defense€of€others.€€Those€defenses€are€addressed€by€addingÐ †" Ðthe€appropriate€language€based€on€instruction€3.09€to€this€instruction,€rather€than€by€addingÐ r Ðanother€element€to€this€instruction.€€The€burden€of€proof€remains€on€the€government€to€disproveÐ ^ú Ðself„defense€once€the€defense€is€raised.Ð Jæ Ðà  à2.€€"Caused€the€death€of"€may€be€used€instead€of€"killed."Ð ¬H Ðà  à3.€€If€the€defense€of€heat€of€passion€is€raised,€the€instruction€should€be€modified€to€addÐ ª Ð"and€not€in€the€heat€of€passion€as€submitted€in€instruction€___."€€The€Supreme€Court€has€heldÐ ú– Ðthat€the€prosecution€must€"prove€beyond€a€reasonable€doubt€the€absence€of€the€heat€of€passion€onÐ æ‚ Ðsudden€provocation€when€the€issue€is€properly€presented€in€a€homicide€case."€€òòMullaney€v.Ð Òn  ÐWilburóó,€421€U.S.€684,€697„98,€704€(1975).€Ð ¾Z! ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ  !¼# Ðà  àòòSeeóó€18€U.S.C.€ðððð€1111,€1114;€Introductory€Comments;€and€Instructions€6.18.1111A,Ð ‚"% Ð6.18.1112A,€òòsupraóó.€Ð n# & ÐÔ'œ !áùÔà  àòòSeeóó€Committee€Comments,€Instructions€6.18.1111A,€6.18.1112A,€and€6.18.1114A,€òòsupraóó.Ð  Ð$l( ÐրȥìšÖÓ €Óà@  ìàò òÔ% €\ ÔÔ  Ô6.18.1114C.€€VOLUNTARY€MANSLAUGHTER,€FEDERAL€VICTIM€(18€U.S.C.€ðð€1114)Ô r€¶ûÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€voluntary€manslaughter€[,€as€charged€in€[Count€___€of]€the€indictment,]€hasÐ <Ø Ðthreeòòóó€elements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€voluntarily,€intentionally,€and€unlawfully€killed€(name€of€victim);òò2€3óó€Ð  œ Ðà  àòòTwoóó,€the€defendant€acted€upon€[in€the€heat€of€passion]€[sudden€quarrel]òò4óó€caused€byÐ b þ Ðadequate€provocation,€as€defined€in€instruction€____;€andÐ Ä `  Ðà  àòòThreeóó,€(name€of€victim)€was€killed€[while€engaged€in€his/her€official€duties]€[on€accountÐ &  Ðof€the€performance€of€his/her€official€duties]€as€an€[officer]€[employee]€of€the€United€States.Ð ˆ$  Ðà  àThe€defendant€does€not€have€to€know€that€(name€of€victim)€was€a€federal€officer.Ð ê†  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ Lè  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€If€there€is€evidence€of€justification€or€excuse,€the€following€language€should€beÐ ¬ Ðincluded€after€the€final€element:€€Ð ü˜ ÐÔ'œ®`Ôà0  à"A€killing€is€'unlawful'€within€the€meaning€of€this€instruction€if€it€was€[neither]€[not]Ð ^ú Ð[justifiable]€[nor]€[excusable]."€ÐJæ(#(# Ðà  à2.€€"Caused€the€death€of"€may€be€used€instead€of€"killed."Ð ¬H Ðà  à3.€€The€Committee€recommends€that€"sudden€quarrel"€not€be€included,€as€heat€of€passionÐ ª Ðnow€appears€to€include€"sudden€quarrel."€€òòSeeóó€òòUnited€States€v.€Martinezóó,€988€F.2d€685,€690„96òòóóÐ ú– Ð(7thòòóó€Cir.€1993),€for€an€extensive€description€of€the€history€of€the€defense€of€"sudden€quarrel,"€inÐ æ‚  Ðwhich€the€Court€concludes€that€the€term€"sudden€quarrel"€may€be€"an€anachronism€with€noÐ Òn! Ðmeaning€not€adequately€served€by€a€proper€definition€of€heat€of€passion."€€òòSee€alsoóó€òòUnited€StatesÐ ¾Z" Ðv.€McRaeóó,€593€F.2d€700,€705€(5òòthóó€Cir.€1979)€("it€is€surely€not€the€quarrel€that€signifies€but€the€heatÐ ª F# Ðof€passion€that€it€occasions").€€Cases€in€the€Eighth€Circuit,€however,€typically€state€that€voluntaryÐ –!2$ Ðmanslaughter€requires€evidence€of€a€killing€upon€sudden€quarrel€or€heat€of€passion.€€òòSee,€e.g.óó,Ð ‚"% ÐòòUnited€States€v.€Eagle€Elkóó,€658€F.2d€644,€648€(8òòthóó€Cir.€1981).Ð n# & ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ð$l( Ðà  àòòSeeóó€18€U.S.C.€ðððð€1111,€1114;€Introductory€Comments;€and€Instructions€6.18.1111A,Ð 2&Î* Ð6.18.1112A,€òòsupraóó.€Ð 'º + ÐÔ'œÐ$¸Ôà  àòòSeeóó€Committee€Comments,€Instructions€6.18.1111A,€6.18.1112A,€and€6.18.1114A,€òòsupraóó.Ð  €("- ÐÖ€ÊÈì›ÖÓ €Óà@››ìàò òÔ% €] ÔÔ  Ô6.18.1114D.€€INVOLUNTARY€MANSLAUGHTER,€FEDERAL€VICTIM€ˆÐ d Ðà@îî!ìà(18€U.S.C.€ðð€1114)Ô r€Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€involuntary€manslaughter€[,€as€charged€in€[Count€___€of]€the€indictment,]Ð ( Ä Ðhas€four€elements,€which€are:Ð Š & Ðà  àòòOneóó,€________€(name€of€victim)€is€dead;€Ð ì ˆ Ðà  àòòTwoóó,€the€defendant€caused€the€death€of€the€victim,€as€charged;Ð N ê  Ðà  àòò[Three,€óóthe€death€of€the€victim€occurred€as€a€result€of€an€act€done€by€the€defendant€duringÐ °L  Ðthe€commission€of€[an€unlawful€actòò1óó€not€amounting€to€a€felony]€[a€lawful€act,€done€either€in€anÐ ®  Ðunlawful€manner€or€with€wanton€or€reckless€disregard€for€human€life,€which€might€produceÐ t  Ðdeath]€(describe€act,€e.g.,€was€driving€in€excess€of€the€speed€limit);€or]Ð Ör  Ðà  àòò[Threeóó,€[the€defendant€knew€that€his€conduct€was€a€threat€to€the€lives€of€others][it€wasÐ 8Ô  Ðreasonably€foreseeable€that€the€defendantððs€conduct€might€be€a€threat€to€the€lives€of€others];]€andÐ š6 Ðà  àòòFouróó,€(name€of€victim)€[was€killed]€[died]€[while€engaged€in€his/her€official€duties]€[onÐ ü˜ Ðaccount€of€the€performance€of€his/her€official€duties]€as€an€[officer]€[employee]€of€the€UnitedÐ ^ú ÐStates.Ð À\ Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ "¾ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ „  Ðà  à1.€€If€there€is€evidence€of€justification€or€excuse,€the€following€language€should€beÐ æ‚! Ðincluded€after€the€final€element:€€Ð Òn" ÐÔ'œ„)Ôà0  à"A€killing€is€'unlawful'€within€the€meaning€of€this€instruction€if€it€was€[neither]€[not]Ð 4 Ð$ Ð[justifiable]€[nor]€[excusable]."€Ð !¼%(#(# ÐòòSeeóó€Committee€Comments€to€Instruction€6.18.1112A€regarding€justification€and€excuse.Ð ‚"' ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ä#€) Ðà  àòòSeeóó€18€U.S.C.€ðððð€1111,€1114;€Introductory€Comments;€and€Instructions€6.18.1111A,Ð F%â+ Ð6.18.1112A,€òòsupraóó.€Ð 2&Î, ÐÔ'œä#ZÔà  àòòSeeóó€Committee€Comments,€Instructions€6.18.1111A,€6.18.1112A,€and€6.18.1114A,€òòsupraóó.Ð  ”'0!. ÐÖ€ÌÊìœÖÓ €Óà@Î Î ìàò òÔ% €^ ÔÔ  Ô6.18.1201.€€KIDNAPING€(18€U.S.C.€ðð€1201(a)(1))Ô 11/Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€kidnaping,€as€charged€in€[Count____of]€the€indictment,€has€four€elements,Ð <Ø Ðwhich€are:Ð ž : Ðà  àòòOneóó,€the€defendant,€(insert€name),€unlawfullyòò1óó€[seized]€[confined]€[kept]€[detained]òò2óóÐ  œ Ð(insert€name€of€person€described€in€the€indictment)€without€[his]€[her]€consent;€Ð b þ Ðà  àòòTwoóó,€the€defendant€held€(insert€name€of€person€described€in€the€indictment)€for€[specifyÐ Ä `  Ðthe€defendantððs€intent,€such€as:€€ransom,€reward,€revenge,€or€sexual€gratification];òò3óóÐ &  Ðà  àòòThreeóó,€the€defendant€voluntarily€and€intentionally€transportedòò4,€5óó€(insert€name€of€personÐ ˆ$  Ðdescribed€in€the€indictment)€while€[he]€[she]€was€[seized]€[confined]€[kept]€[detained];€andÐ ê†  Ðà  àòòFouróó,€the€transportation€was€in€[interstate]€[foreign]òò6óó€commerce.Ð Lè  Ðà  àð ðInterstate€commerceðð€means€commerce€or€travel€between€one€state€and€another€state.€Ð ®J ÐThe€Government€must€prove€that€the€defendant€crossed€a€state€line€while€intentionallyÐ ¬ Ðtransporting€(insert€name€of€person€described€in€the€indictment).òò7óó€Ð r Ðà  àThe€Government€does€not€have€to€prove€that€the€defendant€knew€[he][she]€was€crossing€aÐ Ôp Ðstate€line.òò8,€9óóÐ 6Ò Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó).€Ð ˜4 ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ú–  Ðà  à1.€€If€requested,€the€term€ð ðunlawfullyðð€should€be€explained€to€the€jury.€€òòSee,€e.g.óó,Ð \ø" ÐInstruction€6.18.1111A,€òòsupraóó,€n.2,€and€Instructions€6.18.1112A€and€6.18.1112B,€òòsupraóó,€n.1.Ð Hä# Ðà  à2.€€If€the€allegation€is€that€the€defendant€inveigled,€decoyed,€abducted,€or€carried€away€theÐ ª F% Ðperson€named€in€the€indictment,€this€language€should€be€modified.€€òòSeeóó€18€U.S.C.€ðð€1201(a).Ð –!2& Ðà  à3.€€The€language€ð ðor€otherwiseðð€also€appears€in€subsection€(a)€of€the€federal€kidnapingÐ ø"”( Ðstatute€and€has€been€broadly€interpreted.€€òòSee,€e.g.óó,€òòUnited€States€v.€Standsóó,€105€F.3d€1565,€1576Ð ä#€) Ð(8th€Cir.€1997);€òòUnited€States€v.€Bordeauxóó,€84€F.3d€1544,€1548€(8th€Cir.€1996);€and€òòUnitedÐ Ð$l* ÐStates€v.€Eagle€Thunderóó,€893€F.2d€950,€953€(8th€Cir.€1990).Ð ¼%X+ Ðà  à4.€€The€kidnaping€statute€requires€that€the€victim€be€ð ðwillfullyðð€transported.€€TheÐ 'º - ÐCommittee€recommends€that€the€word€ð ðwillfullyðð€not€be€used€in€jury€instructions€in€most€cases,Ð  (¦!. Ðhowever,€because€it€can€be€replaced€with€the€words€ð ðvoluntarily€and€intentionallyðð€in€theÐ ö(’"/ Ðinstruction€with€no€further€definition€needed.€€òòSeeóó€Instruction€7.02,€òòinfraóó,€and€applicableÐ â)~#0 Ðâ âCommittee€Comments.Ð Î*j$1 Ðà  à5.€€If€the€defendant€does€not€transport€the€victim€but€causes€him€or€her€to€be€transported,Ð d Ðâ âelement€three€should€be€modified.€€òòSeeóó€18€U.S.C.€ðð€2.Ð Pì Ðà  à6.€€If€foreign€commerce€is€alleged€in€the€indictment,€that€phrase€should€be€defined.€€òòSee,Ð ²N Ðe.g.óó,€Instruction€6.18.1956J,€òòinfraóó.Ð ž : Ðà  à7.€€Subsection€(a)(1)€of€the€kidnaping€statute€bases€federal€jurisdiction€on€any€use€of,€orÐ  œ Ðtransportation€in,€interstate€or€foreign€commerce.€€The€statute€also€applies€where€an€offenderÐ ì ˆ Ðð ðuses€the€mail€or€any€means,€facility,€or€instrumentality€of€interstate€or€foreign€commerce€inÐ Ø t Ðcommitting€or€in€furtherance€of€the€commission€of€the€offense.ðð€€18€U.S.C.€ðð€1201(a)(1).€€It€isÐ Ä `  Ðnot€clear€how€broadly€the€courts€will€interpret€this€jurisdictional€language,€since€the€limits€are€notÐ °L  Ðyet€defined€by€case€law.Ð œ8  Ðà  à8.€€To€establish€federal€jurisdiction,€the€Government€must€show€that€the€victim€wasÐ þš  Ðwillfully€transported€in€interstate€or€foreign€commerce.€€However,€the€Government€is€notÐ ê†  Ðrequired€to€prove€that€the€defendant€knew€he€traversed€a€state€or€national€boundary.€€KnowledgeÐ Ör  Ðof€crossing€state€lines€is€not€an€essential€element€of€kidnaping€„€„€which€occurs€when€the€kidnaperÐ Â^  Ðð ðwillfully€transports€his€victim€and€in€doing€so€travels€in€interstate€commerce.ðð€€òòUnited€States€v.Ð ®J ÐWelchóó,€10€F.3d€573,€574€(8th€Cir.€1993).Ð š6 Ðà  à9.€€If€the€facts€referenced€in€18€U.S.C.€ðð€1201(g)€are€alleged€in€the€indictment€(òòi.e.óó,€theÐ ü˜ Ðvictim€is€under€eighteen€and€the€offender€is€over€eighteen€but€not€a€close€relative),€then€theÐ è„ Ðelements€section€of€this€instruction€should€be€modified€accordingly.Ð Ôp Ðà@55!ìàò òCommittee€Commentsó óˆÐ 6Ò Ðà  àTitle€18€U.S.C.€ðð€1201€does€not€cover€kidnaping€by€a€parent€of€his€or€her€own€minorÐ ˜4 Ðchild.€€The€term€ð ðparentðð€in€this€statutory€exemption€potentially€includes€ð ðanyone€who€stands€in€aÐ „  Ðposition€equivalent€of€that€of€a€parent.ðð€€òòMiller€v.€United€Statesóó,€123€F.2d€715,€717€(8th€Cir.Ð p  Ð1941),€òòÔ_ÔrevððdÔ_Ô€on€other€groundsóó,€317€U.S.€192€(1942);€òòUnited€States€v.€Brownóó,€330€F.3d€1073,Ð \ø Ð1079€(8th€Cir.€2003).Ð Hä Ðà  àThe€victimððs€lack€of€consent€is€necessary€to€establish€the€crime€of€kidnaping€because€it€isÐ ª F  Ðthe€ð ðinvoluntariness€of€seizure€and€detention€which€is€the€very€essenceðð€of€the€offense.€€òòÔ_ÔChatwinÔ_ÔÐ –!2! Ðv.€United€Statesóó,€326€U.S.€455,€464€(1946);€òòUnited€States€v.€McCabeóó,€812€F.2d€1060,€1061€(8thÐ ‚"" ÐCir.€1986).€€ð ðIf€the€victim€is€of€such€an€age€or€mental€state€as€to€be€incapable€of€having€aÐ n# # Ðrecognizable€will,€the€confinement€then€must€be€against€the€will€of€the€parents€or€legal€guardianÐ Z$ö$ Ðof€the€victim.ðð€€òòId.óó€(quoting€òòÔ_ÔChatwinÔ_Ôóó€at€460).€€With€regard€to€the€question€of€when€a€child€can€beÐ F%â% Ðdeemed€to€have€a€legally€recognizable€will,€the€Eighth€Circuit€stated€in€òòMcCabeóó€at€1062:€€ð ðWeÐ 2&Î& Ðthink€that€for€a€child€to€show€a€will€regarding€an€alleged€kidnaping,€the€child€must€at€leastÐ 'º ' Ðunderstand€the€concept€of€kidnaping€and€its€potential€relevance€to€his€or€her€situation.ðð€€AlcoholÐ  (¦!( Ðor€drug€intoxication€of€the€victim€may€be€relevant€to€the€issue€of€consent€and€may€„€„€if€the€issueÐ ö(’") Ðarises€„€„€require€additional€instructions.Ð â)~#* Ðà  àTo€establish€the€crime€of€kidnaping,€the€Government€must€show€that€the€victim€was€heldÐ D+à$, Ðfor€ransom€or€reward€or€otherwise.€€18€U.S.C.€ðð1201(a).€€Nonphysical€restraint,€such€as€by€fearÐ 0,Ì%- Ðor€deception,€is€sufficient€under€the€federal€kidnaping€statute.€€òòSee,€e.g.óó,€òòUnited€States€v.€Hoogóó,Ð d Ð504€F.2d€45,€50„51€(8th€Cir.€1975).Ð Pì Ðà  àSection€1201(b)€provides€that€failure€to€release€the€victim€within€twenty„four€hours€afterÐ ²N Ðthe€kidnaping€creates€a€rebuttable€presumption€of€transportation€in€interstate€or€foreignÐ ž : Ðcommerce.€€However,€one€circuit€has€held€this€presumption€unconstitutional.€€òòUnited€States€v.Ð Š & ÐMooreóó,€571€F.2d€76,€86€(2d€Cir.€1978).Ð  v  ÐÖ€ÍÌìÖÓ €Óà@u u ìàò òÔ% €_ ÔÔ  Ô6.18.1341.€€MAIL€FRAUD€(18€U.S.C.€ðð€1341)Ô 8.~3Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€[mail]€fraud,€as€charged€in€[Count€_____€of]€the€indictment,€has€[three]Ð <Ø Ð[four]€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€voluntarily€and€intentionally€[devised€or€made€up€a€scheme€to€defraudÐ  œ Ðanother€out€of€[money,€property€or€property€rights]€[the€intangible€right€to€honest€services]òò1óó]Ð b þ Ð[participated€in€a€scheme€to€defraud€with€knowledge€of€its€fraudulent€nature]€[devised€orÐ Ä `  Ðparticipated€in€a€scheme€to€obtain€[money,€property€or€property€rights]€[the€intangible€right€toÐ &  Ðhonest€services]€by€means€of€material€false€representations€or€promises]òò2óó€[which€scheme€isÐ ˆ$  Ðdescribed€as€follows:€€(describe€scheme€in€summary€form€or€in€manner€charged€in€theÐ ê†  Ðindictment)];òò3óó€Ð Lè  Ðà  àòòTwoóó,€the€defendant€did€so€with€the€intent€to€defraud;€[and]Ð ®J Ðà  àòòThreeóó,€the€defendant€used,€or€caused€to€be€used,€[the€mail]€[a€private€interstate€carrier]€[aÐ ¬ Ðcommercial€interstate€carrier]òò4óó€in€furtherance€of,€or€in€an€attempt€to€carry€out,€some€essential€stepÐ r Ðin€the€scheme;€[and]Ð Ôp Ðà  àòò[Fouróó,€the€scheme€was€in€connection€with€the€conduct€of€telemarketing.]Ð 6Ò Ðà@““)ìàòòoróóˆÐ ˜4 Ðà  à[òòFouróó,€the€scheme€was€in€connection€with€the€conduct€of€telemarketing€andÐ ú–  Ðà8  àà ` à(a)à ¸ àvictimized€ten€or€more€persons€over€the€age€of€55,€orÐ\ø"Ð Ð  Ðà8  àà ` à(b)à ¸ àtargeted€persons€over€the€age€of€55.]оZ$Ð Ð  Ðà@““)ìàòòoróóˆÐ  !¼& Ðà  à[òòFouróó,€that€the€scheme€affected€a€financial€institution.]òò5óóÐ ‚"( Ðà  àThe€phrase€"scheme€to€defraud"€includes€any€plan€or€course€of€action€intended€to€deceiveÐ ä#€* Ðor€cheat€another€out€of€[money,€property€or€property€rights]€[the€intangible€right€to€honestÐ F%â, Ðservices]€by€[employing€material€falsehoods]€[concealing€material€facts]€[omitting€materialÐ ¨&D . Ðfacts].€€It€also€means€the€obtaining€of€[money€or€property]€[the€intangible€right€to€honest€services]Ð  (¦!0 Ðfrom€another€by€means€of€material€false€representations€or€promises.€€A€scheme€to€defraud€needÐ l)#2 Ðnot€be€fraudulent€on€its€face€but€must€include€some€sort€of€fraudulent€misrepresentation€orÐ Î*j$4 Ðpromise€reasonably€calculated€to€deceive€a€reasonable€person.òò6óóÐ 0,Ì%6 Ðà  àA€statement€or€representation€is€"false"€when€it€is€untrue€when€made€or€effectivelyÐ d Ðconceals€or€omits€a€material€fact.òò7óó€€Ð Æb Ðà  àA€[fact]€[falsehood]€[representation]€[promise]€is€"material"€if€it€has€a€natural€tendency€toÐ ( Ä Ðinfluence,€or€is€capable€of€influencing,€the€decision€of€a€reasonable€person€in€deciding€whether€toÐ Š & Ðengage€or€not€to€engage€in€a€particular€transaction.òò8óó€€[However,€whether€a€[fact]€[falsehood]Ð ì ˆ Ð[representation]€[promise]€is€"material"€does€not€depend€on€whether€the€person€was€actuallyÐ N ê  Ðdeceived.]òò9óóÐ °L  Ðà  àTo€act€with€"intent€to€defraud"€means€to€act€knowingly€and€with€the€intent€to€deceiveÐ ®  Ðsomeone€for€the€purpose€of€causing€some€[financial€loss]€or€[loss€of€property€or€property€rights]Ð t  Ð[loss€of€an€intangible€right€to€honest€services]€to€another€or€bringing€about€some€financial€gain€toÐ Ör  Ðoneself€or€another€to€the€detriment€of€a€third€party.òò10óó€€[With€respect€to€false€statements,€theÐ 8Ô  Ðdefendant€must€have€known€the€statement€was€untrue€when€made€or€have€made€the€statementÐ š6 Ðwith€reckless€indifference€to€its€truth€or€falsity.]òò11óóÐ ü˜ Ðà  à[The€term€property€rights,€as€used€in€the€mail€fraud€statute,€includes€intangible€as€well€asÐ ^ú Ðtangible€property€rights.€€It€includes€any€property€right€which€has€a€value€ð!ð€not€necessarily€aÐ À\ Ðmonetary€value€ð!ð€to€the€owner€of€the€property€right.€€For€example,€a€scheme€to€deprive€aÐ "¾ Ðcompany€of€the€exclusive€use€of€confidential€business€information€obtained€by€the€employeesÐ „   Ðwould€be€a€scheme€to€deprive€the€company€of€intangible€property€rights.]òò12óóÐ æ‚" Ðà  àIt€is€not€necessary€that€the€use€of€[the€mail]€[an€interstate€carrier]€by€the€participantsÐ Hä$ Ðthemselves€be€contemplated€or€that€the€defendant€do€any€actual€[mailing]€[sending€of€material€byÐ ª F& Ðan€interstate€carrier]€or€specifically€intend€that€[the€mail]€[an€interstate€carrier]€be€used.€€It€isÐ  "¨( Ðsufficient€if€[the€mail]€[an€interstate€carrier]€was€in€fact€used€to€carry€out€the€scheme€and€the€useÐ n# * Ðof€[the€mail]€[an€interstate€carrier]€by€someone€was€reasonably€foreseeable.òò13óóÐ Ð$l, Ðà  à[Mailings]€[Deliveries€by€an€interstate€carrier]€which€are€designed€to€lull€vicÔ_ÔtimsÔ_Ô€into€aÐ 2&Î. Ðfalse€sense€of€security,€postpone€inquiries€or€complaints,€or€make€the€transaction€less€suspect€areÐ ”'0!0 Ð[mailings]€[deliveries]€in€furtherance€of€the€scheme.]òò14óóÐ ö(’"2 Ðà  à[Each€separate€use€of€[the€mail]€[an€interstate€carrier]€in€furtherance€of€the€scheme€toÐ X*ô#4 Ðdefraud€constitutes€a€separate€offense.]òò15óóÐ º+V%6 Ðà  à[The€[mail]€fraud€counts€of€the€indictment€charge€that€each€defendant,€along€with€theÐ d Ðother€defendants,€devised€or€participated€in€a€scheme.€€The€Government€need€not€prove,Ð Æb Ðhowever,€that€the€defendants€met€together€to€formulate€the€scheme€charged,€or€that€there€was€aÐ ( Ä Ðformal€agreement€among€them,€in€order€for€them€to€be€held€jointly€responsible€for€the€operationÐ Š & Ðof€the€scheme€and€the€use€of€[the€mail]€[an€interstate€carrier]€for€the€purpose€of€accomplishingÐ ì ˆ Ðthe€scheme.€€It€is€sufficient€if€only€one€person€conceives€the€scheme€and€the€others€knowingly,Ð N ê  Ðvoluntarily€and€intentionally€join€in€and€participate€in€some€way€in€the€operation€of€the€scheme€inÐ °L  Ðorder€for€such€others€to€be€held€jointly€responsible.]òò16óóÐ ®  Ðà  à[It€is€not€necessary€that€the€Government€prove€[all€of€the€details€alleged€in€the€indictmentÐ t  Ðconcerning€the€precise€nature€and€purpose€of€the€scheme]€[that€the€material€[mailed]€[sent€by€anÐ Ör  Ðinterstate€carrier]€was€itself€false€or€fraudulent]€[that€the€alleged€scheme€actually€succeeded€inÐ 8Ô  Ðdefrauding€anyone]€[that€the€use€of€[the€mail]€[an€interstate€carrier]€was€intended€as€the€specificÐ š6 Ðor€exclusive€means€of€accomplishing€the€alleged€fraud].]òò17óóÐ ü˜ Ðà  à[If€you€find€proof€beyond€a€reasonable€doubt€of€a€business€custom€(describe€custom,€e.g.,Ð ^ú Ðto€date€stamp€only€items€received€through€the€mail),€that€is€evidence€from€which€you€may,€butÐ À\ Ðare€not€required€to,€find€or€infer€that€[the€mail]€[an€interstate€carrier]€was€used€to€deliver€thoseÐ "¾ Ðitems.]òò18óóÐ „   ÐÓ €Óà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÐ æ‚" ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Hä$ Ðà  à1.€€Depriving€another€of€the€intangible€right€of€honest€services€is€covered€by€the€mailÐ ª F& Ðfraud€statute.€€18€U.S.C.€ðð€1346.€€Ô':HRÔIn€òòUnited€States€v.€Jainóó,€93€F.3d€436€(8th€Cir.€1996),€the€courtÐ –!2' Ðheld€that€in€a€private€sector€(as€opposed€to€public€corruption)€honest€services€mail€fraud,€theÐ ‚"( Ðgovernment€must€show€an€intent€to€harm€the€victim€before€mail€fraud€is€proven.€Ð n# ) Ðà  à2.€€The€proper€mail€fraud€theory€charged€in€the€indictment€should€be€selected€andÐ Ð$l+ Ðincluded€in€the€body€of€the€instruction.€€If€more€than€one€theory€is€part€of€the€evidence€in€theÐ ¼%X, Ðcase,€and€the€theories€constitute€a€separate€offense€or€an€element€of€the€offense,€such€alternativesÐ ¨&D - Ðcan€be€submitted€in€the€disjunctive€and€the€jury€instructed€that€all€jurors€must€agree€as€to€theÐ ”'0!. Ðparticular€theory.€€òòUnited€States€v.€Blumeyeróó,€114€F.3d€758€(8òòthóó€Cir.€1997).€€In€such€a€case,€theÐ €("/ Ðâ âjury€may€be€instructed€as€follows:Ð l)#0 Ðà8  àYou€need€not€find€that€all€of€the€theories€charged€in€Count€___€of€the€indictmentÐ d Ðare€Ôf  ÔÔg ÔÔf  ÔÔg ÔprovenÔf  ÔÔg Ô;€instead,€you€must€find€unanimously€and€beyond€a€reasonable€doubtÐ Pì Ðthat€at€least€one€of€the€theories€set€out€in€Count€__€of€the€indictment€is€Ôf  ÔÔg ÔÔf  ÔÔg ÔprovenÔf  ÔÔg Ô.Ð<ØÐ Ð  Ðâ âà  àIf€more€than€one€false€promise€or€statement€is€part€of€the€evidence€in€the€case,€and€theÐ ž : Ðpromises€or€statements€set€out€different€ways€of€committing€the€offense€but€do€not€constitute€aÐ Š & Ðseparate€offense€or€an€element€of€the€offense,€then€the€jury€may€be€instructed€that€all€the€jurorsÐ v  Ðneed€not€agree€as€to€the€particular€theory,€or€the€particular€false€promise€or€statement,€that€wasÐ b þ Ðmade.€€In€such€a€case,€Ôf  Ôthe€jury€may€be€instructed€as€follows:€Ð N ê Ðà8  àCount€___€of€the€indictment€accuses€the€defendant€of€committing€the€crime€of€___Ð °L  Ðin€more€than€one€possible€way.€€The€first€is€that€he€___.€€The€second€is€that€heÐ œ8  Ð___.€€The€government€does€not€have€to€prove€all€of€these€for€you€to€return€a€guiltyÐ ˆ$  Ðverdict€on€this€charge.€€Proof€beyond€a€reasonable€doubt€of€any€one€of€these€waysÐ t  Ðis€enough.€€In€order€to€return€a€guilty€verdict,€all€twelve€of€you€must€agree€that€atÐ `ü  Ðleast€one€of€these€has€been€proved;€however,€all€of€you€need€not€agree€that€theÐ Lè  Ðsame€one€has€been€proved.€€Ð8Ô Ð Ð  ÐòòÔf  ÔÔg ÔSeeóó€òòSchad€v.€Arizonaóó,€501€U.S.€624€(1991)€(plurality€opinion),€in€which€the€Supreme€CourtÐ š6 Ðrejected€the€approach€of€requiring€unanimity€when€the€means€used€to€commit€an€offense€simplyÐ †" Ðsatisfy€an€element€of€a€crime€and€do€not€themselves€constitute€a€separate€offense€or€an€element€ofÐ r Ðan€offense.€€In€these€circumstances,€unanimity€is€not€required.€€òòId.óó€at€630„33.€€On€the€other€hand,Ð ^ú Ðif€the€means€used€to€commit€an€offense€are€deemed€an€element€of€the€crime,€unanimity€isÐ Jæ Ðrequired.€€òòSee€alsoóó€òòRichardson€v.€United€Statesóó,€526€U.S.€813,€817€(1999)€(plurality€opinion),€inÐ 6Ò Ðwhich€the€Court€again€distinguished€the€elements€of€a€crime€from€the€means€used€to€commit€theÐ "¾ Ðelements€of€the€crime.€€If€a€fact€is€an€element,€ð ða€jury€in€a€federal€criminal€case€cannot€convictÐ ª Ðunless€it€unanimously€finds€that€the€Government€has€proved€[it].ðð€€òòIdóó.€€On€the€other€hand,€if€theÐ ú– Ðfact€is€defined€as€a€means€of€committing€the€crime,€ð ða€federal€jury€need€not€always€decideÐ æ‚ Ðunanimously€which€of€several€possible€sets€of€underlying€brute€facts€make€up€a€particularÐ Òn Ðelement,€say,€which€of€several€possible€means€the€defendant€used€òòto€commit€an€element€of€theÐ ¾Z Ðcrimeóó.ðð€€òòRichardsonóó,€526€U.S.€at€817€(citing€òòSchad€v.€Arizonaóó,€501€U.S.€624€(1991)).€Ð ª F Ðà  à3.€€In€a€simple€case€a€brief€description€of€the€fraud€should€be€given€in€the€first€element.€Ð  "¨  ÐAn€example€would€be:€Ð ø"”! Ðà8  àòòOneóó,€that€the€defendant€devised€a€scheme€to€defraud€the€brokerage€firm€of€SmithÐ Z$ö# Ð&€Jones€by€pledging€counterfeit€stock€certificates€as€collateral€on€margin€loansÐ F%â$ Ðgiven€to€the€defendant,€thus€causing€a€loss€to€Smith€&€Jones€of€5€million€dollars.€Ð2&Î%Ð Ð  ÐSome€schemes€will€be€too€complicated€to€lend€themselves€to€short€descriptions.€€In€thoseÐ ”'0!' Ðschemes€the€court€may€more€fully€summarize€the€scheme€or€refer€to€the€description€of€theÐ €("( Ðscheme€contained€in€the€indictment.€Ð l)#) Ðà  àIn€submitting€a€summary€of€the€scheme€to€the€jury,€the€court€should€be€aware€that€onÐ Î*j$+ Ðoccasion€some€allegations€and€misrepresentations€charged€in€the€indictment€are€not€proven.€Ð º+V%, ÐThese€may€be€deleted€from€the€summary;€however,€the€court€should€be€aware€that€if€manyÐ d Ðallegations€are€not€proven,€there€may€be€a€material€and€prejudicial€variance€between€what€isÐ Pì Ðalleged€in€the€indictment€and€what€is€proven€at€trial.€Ð <Ø Ðà  à4.€€After€September€13,€1994,€18€U.S.C.€ðð€1341€covers€schemes€carried€out€by€depositingÐ ž : Ðmatter€to€be€sent€or€delivered€by€any€private€or€commercial€interstate€carrier.Ð Š & Ðà  à5.€€A€Ôf  ÔÔg ÔÔf  ÔÔg ÔfourthÔf  ÔÔg Ô€element€is€required€when€the€indictment€alleges€any€facts€that€would€result€inÐ ì ˆ Ðenhanced€penalties€under€18€U.S.C.€ðððð1341,€2326.€€òòSeeóó€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466Ð Ø t Ð(2000).€€Consideration€should€also€be€given€to€the€use€of€a€special€verdict€form€(interrogatories€toÐ Ä `  Ðfollow€finding€of€guilt).€òòóóÐ °L  Ðà  à6.€€"Intent€to€defraud"€and€"scheme€to€defraud"€should€be€defined€in€the€instruction.€€ð ðAÐ ®  Ðscheme€to€defraud€need€not€be€fraudulent€on€its€face,€but€ððmust€involve€some€sort€of€fraudulentÐ þš  Ðmisrepresentations€or€omissions€reasonably€calculated€to€deceive€persons€of€ordinary€prudenceÐ ê†  Ðand€comprehension.ðððð€€òòUnited€States€v.€Goodmanóó,€984€F.2d€235,€237€(8th€Cir.€1993).Ð Ör  Ðà  à7.€€òòPreston€v.€United€Statesóó,€312€F.3d€959€(8òòthóó€Cir.€2002).Ð 8Ô  Ðà  à8.€€òòPreston€v.€United€Statesóó,€312€F.3d€959€(8òòthóó€Cir.€2002).Ð š6 Ðà  à9.€€òòSee€United€States€v.€Hendersonóó,€416€F.3d€686€(8òòthóó€Cir.€2005)€(material€under€42Ð ü˜ ÐU.S.C.€ðð€408(a)(3,€4);€òòUnited€States€v.€Mitchellóó,€388€F.3d€1139€(8òòthóó€Cir.€2004)€(18€U.S.C.€ðð€1001Ð è„ Ð(materiality)).Ð Ôp Ðà  à10.€€òòUnited€States€v.€Ervastióó,€201€F.3d€1029€(8òòthóó€Cir.€2000).€€False€statements€have€beenÐ 6Ò Ðdefined€as€those€which€were€known€to€be€untrue€at€the€time€they€were€made,€or€made€withÐ "¾ Ðreckless€indifference€as€to€their€truth€or€falsity,€and€made€with€the€intent€to€deceive.€€òòUnitedÐ ª ÐStates€v.€Marleyóó,€549€F.2d€561€(8th€Cir.€1977).€€Reckless€indifference€is€sufficient€in€these€cases,Ð ú– Ðand€a€deliberate€ignorance€instruction,€Model€Instruction€7.04,€should€not€be€necessary.€Ð æ‚ ÐòòMattingly€v.€United€Statesóó,€924€F.2d€785€(8th€Cir.€1991),€is€not€applicable€to€these€cases.Ð Òn Ðà0  à11.€€òòUnited€States€v.€Caspersonóó,€773€F.2d€216€(8òòthóó€Cir.€1985).Ð4 Ð (#(# Ðà  à12.€€18€U.S.C.€ðð€1346.€€In€òòCarpenter€v.€United€Statesóó,€484€U.S.€19€(1987),€the€SupremeÐ –!2" ÐCourt€adopted€a€very€broad€definition€of€property€rights€under€the€mail€and€wire€fraud€statutes.€Ð ‚"# ÐThe€Court€stated€that€the€statute€covered€intangible€as€well€as€tangible€property€rights€andÐ n# $ Ðincluded€the€òòWall€Street€Journalóó's€right€to€control€the€use€of€information€obtained€by€its€reportersÐ Z$ö% Ðin€the€course€of€their€duties.€€The€Court€held€that€the€right€of€the€òòJournalóó€to€decide€how€and€whenÐ F%â& Ðto€use€its€confidential€business€information€obtained€by€its€reporters€was€a€property€right€and€thatÐ 2&Î' Ða€scheme€to€deprive€the€òòJournalóó€of€this€confidential€business€information€was€a€scheme€withinÐ 'º ( Ðthe€scope€of€the€mail€fraud€statutes,€even€if€no€monetary€loss€to€the€òòJournalóó€was€caused€by€theÐ  (¦!) Ðscheme.€Ð ö(’"* Ðà  àIn€òòUnited€States€v.€Shyresóó,€898€F.2d€647,€652€(8th€Cir.€1990),€the€court€held€that€the€rightÐ X*ô#, Ðto€exercise€control€over€spending€is€a€property€right€protected€by€the€mail€fraud€statute€andÐ D+à$- Ðapproved€the€following€instruction:Ð 0,Ì%. Ðà8  àThe€term€"property€rights"€as€used€in€the€mail€fraud€statute€includes€intangible€asÐ d Ðwell€as€tangible€property.€€Intangible€property€rights€include€any€valuable€rightÐ Pì Ðconsidered€as€a€source€of€wealth,€and€include€the€right€to€exercise€control€overÐ <Ø Ðhow€one's€money€is€spent.Ð( ÄÐ Ð  ÐòòSee€also€United€States€v.€Granberryóó,€908€F.2d€278€(8th€Cir.€1990).Ð Š & Ðà  àHowever,€the€Supreme€Court€held€in€òòCleveland€v.€United€Statesóó,€531€U.S.€12€(2000),€thatÐ ì ˆ Ðstate€and€municipal€licenses€are€not€property€under€the€mail€fraud€statute.Ð Ø t Ðà  à13.€€òòSeeóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r{#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rf{#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r­{#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rü{#Ô:€Ð :Ö  ÐCriminal€ðð47.04€(5th€ed.€2000).€€òòSee€also€Pereira€v.€United€Statesóó,€347€U.S.€1,€8-9€(1954),Ð &  Ðwhich€holds€as€follows:€Ð ®  Ðà8  àThe€elements€of€the€offense€of€mail€fraud€under€18€U.S.C.€(Supp.€V)€ðð€1341€areÐ t  Ð(1)€a€scheme€to€defraud,€and€(2)€the€mailing€of€a€letter,€etc.,€for€the€purpose€ofÐ `ü  Ðexecuting€the€scheme.€€It€is€not€necessary€that€the€scheme€contemplate€the€use€ofÐ Lè  Ðthe€mails€as€an€essential€element.€€òòUnited€States€v.€Youngóó,€232€U.S.€155€(1914).€Ð 8Ô  ÐHere,€the€scheme€to€defraud€is€established,€and€the€mailing€of€the€check€by€theÐ $À Ðbank,€incident€to€an€essential€part€of€the€scheme,€is€established.€€There€remainsÐ ¬ Ðonly€the€question€whether€Pereira€"caused"€the€mailing.€€That€question€is€easilyÐ ü˜ Ðanswered.€€Where€one€does€an€act€with€knowledge€that€the€use€of€the€mails€willÐ è„ Ðfollow€in€the€ordinary€course€of€business,€or€where€such€use€can€reasonably€beÐ Ôp Ðforeseen,€even€though€not€actually€intended,€then€he€"causes"€the€mails€to€be€used.€Ð À\ ÐòòUnited€States€v.€Kenofskeyóó,€243€U.S.€440€(1917).€Ð¬HÐ Ð  Ðà  àThis€Circuit€has€defined€"reasonably€foreseeable"€in€a€variety€of€contexts.€€In€a€mail€fraudÐ ª Ðscheme€in€which€an€insurance€company€was€a€victim,€the€court€stated€as€follows:€Ð ú– Ðà8  àOne€who€engages€in€carrying€out€a€scheme€to€defraud€is€therefore€responsible€...Ð \ø Ðfor€a€use€made€of€the€mail€to€effect€a€necessary€or€facilitating€incident€thereofÐ Hä Ðwhere€such€use€is€from€the€nature€of€the€business€and€the€incident€one€of€suchÐ 4 Ð Ðordinary€course€as€to€constitute€a€matter€of€natural€expectability.€€A€use€of€theÐ  !¼  Ðmail€which€is€of€such€a€general€expectable€occurrence€is€entitled€to€be€found€to€beÐ  "¨! Ðreasonably€foreseeable.€€Thus,€we€observed€generally€...€as€to€the€ordinary€courseÐ ø"”" Ðof€such€an€insurance€business€as€is€here€involved:€Ðä#€#Ð Ð  Ðà0  àà8` (#(#àCertainly€in€dealing€with€insurance€agents€it€will€be€contemplated€that€theÐ F%â% Ðmails€will€have€to€be€employed€in€carrying€on€business€with€the€differentÐ 2&Î& Ðcompanies€for€whom€the€agent€does€business.€€Ð'º '` Ð ` Ð  ÐòòUnited€States€v.€Minkinóó,€504€F.2d€350,€353-54€(8th€Cir.€1974)€(citation€omitted).Ð €(") Ðâ âÔ& ì Ôà  àIn€òòUnited€States€v.€Boydóó,€606€F.2d€792,€794€(8th€Cir.€1979),€the€court€held:€Ô'ìâ)­†ÔÐ â)~#+ Ðà8  àConduct€is€within€the€mail€fraud€statute€when,€as€in€this€case,€the€use€of€the€mailsÐ d Ðfor€the€purpose€of€executing€the€flow€of€payoff€funds€is€a€reasonably€foreseeableÐ Pì Ðpossibility€in€furthering€the€transaction.Ð<ØÐ Ð  Ðâ âòòSee€also€United€States€v.€Rabbittóó,€583€F.2d€1014,€1022-23€(8th€Cir.€1978).€Ð ž : Ðà  àIn€òòUnited€States€v.€Brownóó,€540€F.2d€364,€376€(8th€Cir.€1976),€the€court€stated:€Ð  œ Ðà8  à[T]hus€...€Brown€was€on€notice€that€transfer€of€funds€from€Reliance€to€MansionÐ b þ ÐHouse€by€mail€rather€than€by€hand€delivery€was€a€reasonable€possibility.€€This€wasÐ N ê  Ðsufficient€evidence€from€which€the€jury€could€find€that€Brown€caused€the€use€ofÐ :Ö  Ðthe€mails€to€accomplish€the€ultimate€objective€of€the€scheme.Ð& РР Ðà  à14.€€òòUnited€States€v.€Sampsonóó,€371€U.S.€75€(1962);€òòUnited€States€v.€Brownóó,€540€F.2d€364,Ð ˆ$  Ð376€(8th€Cir.€1976);€òòUnited€States€v.€Tackettóó,€646€F.2d€1240,€1243€(8th€Cir.€1981).€Ð t  Ðà  àIn€òòSchmuck€v.€United€Statesóó,€489€U.S.€705,€713€(1989),€the€Court€held€that€all€mailingsÐ Ör  Ðthat€are€in€any€way€part€of€the€execution€of€the€scheme€will€supply€the€mailing€element€of€theÐ Â^  Ðoffense€even€if€the€mailing€later€may€turn€out€to€be€counterproductive€and€allow€the€discovery€ofÐ ®J Ðthe€scheme.€Ð š6 Ðà  à15.€€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r“#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÝ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r$Ž#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rsŽ#Ô:€Ð ü˜ ÐCriminal€ðð47.15€(5th€ed.€2000);€òòAtkinson€v.€United€Statesóó,€344€F.2d€97€(8th€Cir.€1965);€òòUnitedÐ è„ ÐStates€v.€Calvertóó,€523€F.2d€895,€903€n.6,€914€(8th€Cir.€1975).€Ð Ôp Ðà  à16.€€òòReistroffer€v.€United€Statesóó,€258€F.2d€379,€395€(8th€Cir.€1958);€òòUnited€States€v.Ð 6Ò ÐPorteróó,€441€F.2d€1204,€1211€(8th€Cir.€1971).€Ð "¾ Ðà  à17.€€òòSeeóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r²#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rü#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rC‘#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r’‘#Ô:€Ð „  ÐCriminal€ðð47.04€(5th€ed.€2000);€òòUnited€States€v.€Westóó,€549€F.2d€545,€552€(8th€Cir.€1977);€òòUnitedÐ p  ÐStates€v.€Grossóó,€416€F.2d€1205,€1210€(8th€Cir.€1969);€òòAtkinson€v.€United€Statesóó,€344€F.2d€97,€98Ð \ø Ð(8th€Cir.€1965);€òòUnited€States€v.€Calvertóó,€523€F.2d€895,€912€(8th€Cir.€1975)€(use€of€mail€need€notÐ Hä Ðbe€specifically€nor€exclusively€intended).€Ð 4 Ð  Ðà  à18.€€òòUnited€States€v.€Shyresóó,€898€F.2d€647,€658€(8th€Cir.€1990);€òòUnited€States€v.€Cadyóó,Ð –!2" Ð567€F.2d€771,€775€(8th€Cir.€1977);€òòUnited€States€v.€Minkinóó,€504€F.2d€350,€352-53€(8th€Cir.Ð ‚"# Ð1974);€òòUnited€States€v.€Joyceóó,€499€F.2d€9,€17€(7th€Cir.€1974);€òòBolen€v.€United€Statesóó,€303€F.2dÐ n# $ Ð870,€875€(9th€Cir.€1962).€€Likewise€mailing€can€be€inferred€from€the€presence€of€a€regularÐ Z$ö% Ðpostmark.€€òòUnited€States€v.€Noelkeóó,€1€Fed.€426€(C.C.N.Y.€1880).€€òòSee€alsoóó€Instruction€4.13,Ð F%â& Ðòòsupraóó,€on€specific€inferences.Ð 2&Î' ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ”'0!) ÐÔ'N”'P–Ôà  àThe€crime€of€mail€fraud€is€very€broad€in€scope.€€As€the€Eighth€Circuit€restated€in€òòUnitedÐ ö(’"+ ÐStates€v.€Bishopóó,€825€F.2d€1278,€1280€(8th€Cir.€1987):Ð â)~#, Ðà8  àThe€crime€of€mail€fraud€is€broad€in€scope;€...€the€fraudulent€aspect€of€the€schemeÐ D+à$. Ðto€"defraud"€is€measured€by€a€nontechnical€standard€....€€Law€puts€its€imprimaturÐ 0,Ì%/ Ðon€the€accepted€moral€standards€and€condemns€conduct€which€fails€to€match€theÐ d Ð"reflection€of€moral€uprightness,€of€fundamental€honesty,€fair€play€and€rightÐ Pì Ðdealing€in€the€general€business€life€of€the€members€of€society."€€This€is€indeedÐ <Ø Ðbroad.€€For€as€Judge€Holmes€once€observed,€"The€law€does€not€define€fraud;€itÐ ( Ä Ðneeds€no€definition.€€It€is€as€old€as€falsehood€and€as€versatile€as€human€ingenuity."Ð °Ð Ð  Ðòòóóà  àThe€definition€of€"scheme"€as€used€in€these€instructions€is€very€old€and€is€similar€to€oneÐ v  Ðof€the€first€definitions€used€in€this€circuit€in€òòUnited€States€v.€Dexteróó,€154€Fed.€890,€896€(N.D.€Ia.Ð b þ Ð1907).€€The€court€there€stated:€Ð N ê Ðà8  àA€scheme€may€be€said€to€be€a€design€or€plan€formed€to€accomplish€some€purpose.€Ð °L  ÐAn€artifice€may€be€said€to€be€an€ingenious€contrivance€or€device€of€some€kind€andÐ œ8  Ðwhen€use€in€a€bad€sense€of€the€word€corresponds€with€trick€or€fraud.€€Hence,€aÐ ˆ$  Ðscheme€or€artifice€to€defraud€within€the€meaning€of€this€statute€would€be€to€formÐ t  Ðsome€plan€or€devise€some€trick€to€perpetrate€a€fraud€upon€another.Ð`ü Ð Ð  Ðà  àThe€scheme€must€be€one€"reasonably€calculated€to€deceive€persons€of€ordinary€prudenceÐ Â^  Ðand€comprehension."€€òòUnited€States€v.€Goodmanóó,€984€F.2d€235,€237€(8th€Cir.€1993),€and€mustÐ ®J Ðemploy€material€falsehoods.€€òòNeder€v.€United€Statesóó,€527€U.S.€1€(1999).€€A€scheme€under€theÐ š6 Ðstatute€encompasses€false€representations€as€to€future€intentions€as€well€as€existing€facts.€Ð †" ÐòòDurland€v.€United€Statesóó,€161€U.S.€306€(1896).€€Indeed,€as€stated€above,€a€scheme€to€defraudÐ r Ðmay€be€actionable€even€though€no€actual€misrepresentations€are€made.€€òòSee€United€States€v.Ð ^ú ÐClausenóó,€792€F.2d€102,€104„05€(8th€Cir.€1986).€€A€scheme€to€defraud€may€also€involve€theÐ Jæ Ðconcealment€of€material€facts.€€òòUnited€States€v.€Bessesenóó,€433€F.2d€861,€863,€864€(8th€Cir.€1970).€Ð 6Ò Ðà  àBecause€of€the€diverse€types€of€mail€fraud€schemes€prosecuted,€it€is€difficult€to€tailor€aÐ ˜4 Ð"model"€instruction€that€does€not€refer€to€the€indictment€in€the€case.€€Because€of€the€broadÐ „  Ðapplication€of€the€mail€fraud€statute,€it€will€be€necessary€to€define€certain€terms€in€the€instrÔ_ÔuctionsÔ_ÔÐ p  Ðto€the€jury.€Ð \ø Ðà  àIn€òòClausenóó,€the€court€stated€that€the€mail€fraud€statute€prohibited€both€schemes€to€defraudÐ ¾Z Ðòòandóó€the€obtaining€of€money€and€property€by€means€of€false€pretenses.€€The€court€held€that€falseÐ ª F Ðpretenses€were€not€essential€in€order€to€prove€a€scheme€to€defraud.€€Thus,€it€is€proper€to€instructÐ –!2  Ðthe€jury€that€the€mail€fraud€statute€may€be€violated€either€by€devising€a€scheme€to€defraud€or€byÐ ‚"! Ðobtaining€money€or€property€by€means€of€false€or€fraudulent€pretenses,€representations€orÐ n# " Ðpromises.€Ð Z$ö# Ðà  àOne€who€participates€in€an€ongoing€mail€fraud€devised€by€others€is€guilty€of€the€crime€ofÐ ¼%X% Ðmail€fraud.€€òòUnited€States€v.€Wilsonóó,€506€F.2d€1252,€1258€(7th€Cir.€1974).€€Ð ¨&D & Ðà  àIntent€to€defraud€is€an€element€of€mail€fraud.€€òòDeMier€v.€United€Statesóó,€616€F.2d€366,€369Ð  (¦!( Ð(8th€Cir.€1980).€€Thus,€good€faith€can€be€a€theory€of€defense.€€òòUnited€States€v.€Arnoldóó,€543€F.2dÐ ö(’") Ð1224€(8th€Cir.€1976).€€A€defendant€is€entitled€to€an€instruction€on€a€good€faith€theory€of€defenseÐ â)~#* Ðand€one€should€be€given€if€there€is€evidence€to€support€the€theory,€òòUnited€States€v.€Caspersonóó,Ð Î*j$+ Ð773€F.2d€216,€222-24€(8th€Cir.€1985);€òòUnited€States€v.€Shereróó,€653€F.2d€334,€337€(8th€Cir.€1981),Ð º+V%, Ðbut€not€where€the€defendant€denies€the€conduct€which€is€charged€and€the€issue€is€one€ofÐ d Ðcredibility.€€òòUnited€States€v.€Kimmelóó,€777€F.2d€290,€292-93€(5th€Cir.€1985).€€òòSeeóó€Instruction€9.08,Ð Pì Ðòòinfraóó,€for€good€faith€instructions.€€òòSee€alsoóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rñ©#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r;ª#ÔÐ <Ø ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r–ª#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%råª#Ô:€€Criminal€ðð47.16€(5th€ed.€2000).Ð ( Ä Ðà  àThe€elements€of€wire€fraud€in€violation€of€18€U.S.C.€ðð€1343€are€identical€to€the€elementsÐ Š & Ðof€mail€fraud€with€one€exception;€the€defendant€must€cause€interstate€wire€facilities€to€be€usedÐ v  Ðinstead€of€the€mail.€€òòSee€generallyóó,€òòUnited€States€v.€Tackettóó,€646€F.2d€1240,€1242-43€(8th€Cir.Ð b þ Ð1981);€òòUnited€States€v.€Mendenhallóó,€597€F.2d€639,€641€(8th€Cir.€1979);€òòUnited€States€v.€Westóó,Ð N ê Ð549€F.2d€545,€549-53€(8th€Cir.€1977);€òòUnited€States€v.€Grossóó,€416€F.2d€1205,€1209-10€(8th€Cir.Ð :Ö  Ð1969).€€òòBut€see€United€States€v.€Bryantóó,€766€F.2d€370€(8th€Cir.€1985).€Ð &  Ðà  àEach€use€of€the€mail€or€the€wires€is€a€separate€offense€notwithstanding€the€fact€that€theÐ ˆ$  Ðdefendant€devised€only€one€scheme€to€defraud.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Massaóó,€740€F.2d€629,Ð t  Ð645-46€(8th€Cir.€1984);€òòUnited€States€v.€Calvertóó,€523€F.2d€895,€914€(8th€Cir.€1975).€Ð `ü  Ðà  àIf€a€conspiracy€to€commit€mail€fraud€is€charged,€one€should€be€aware€that€the€EighthÐ Â^  ÐCircuit€at€the€present€time€requires€proof€that€the€conspiracy€"contemplated€the€use€of€the€mails."€Ð ®J ÐòòUnited€States€v.€Donahueóó,€539€F.2d€1131,€1135,€1136€(8th€Cir.€1976).€€That€decision€reliedÐ š6 Ðheavily€on€the€case€of€òòBlue€v.€United€Statesóó,€138€F.2d€351€(6th€Cir.€1943).€€In€òòUnited€States€v.Ð †" ÐReedóó,€721€F.2d€1059€(6th€Cir.€1983),€the€Sixth€Circuit€rejected€òòBlueóó€in€its€entirety€and€held€thatÐ r Ðonly€a€reasonably€foreseeable€use€of€the€mail€need€be€proven€in€a€conspiracy€case.€€Of€the€circuitsÐ ^ú Ðwhich€have€decided€this€issue,€it€appears€that€only€the€Eighth€Circuit€requires€that€a€mail€fraudÐ Jæ Ðconspiracy€"contemplate€the€use€of€the€mails."€€òòUnited€States€v.€Craigóó,€573€F.2d€455€(7th€Cir.Ð 6Ò Ð1977).€Ð  "¾ ÐÓ €Óà@e e ìàò òÔ% €` ÔÔ  Ô6.18.1344.€€BANK€FRAUD€(18€U.S.C.€ðð€1344)Ô uc³Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€bank€fraud,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€three€elements,Ð <Ø Ðwhich€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€knowingly€[executed]€[attempted€to€execute]€[participated€in]€aÐ  œ Ðscheme€[to€defraud€a€financial€institution]€[to€obtain€any€of€the€[moneys]€[funds]€[credits]òò1óóÐ b þ Ð[owned€by]€[under€the€custody€and€control€of]€a€financial€institution€by€means€of€materialÐ Ä `  Ð[falsehoods]€[fraudulent€pretenses]€[false€or€fraudulent€representations]€[false€or€fraudulentÐ &  Ðpromises]];Ð ˆ$  Ðà  àòòTwoóó,€the€defendant€did€so€with€intent€to€defraud;€andÐ ê†  Ðà  àòòThreeóó,€the€financial€institution€was€insured€by€the€United€States€Government€FederalÐ Lè  ÐDeposit€Insurance€Corporationòò2óó.€Ð ®J Ðà  àThe€phrase€"scheme€to€defraud"€includes€any€plan€or€course€of€action€intended€to€deceiveÐ ¬ Ðor€cheat€another€out€of€[money,€property€or€property€rights]€by€[employing€material€falsehoods]Ð r Ð[concealing€material€facts]€[omitting€material€facts].€€It€also€means€the€obtaining€of€[money€orÐ Ôp Ðproperty]€from€a€financial€institution€by€means€of€material€false€representations€or€promises.òò3óóÐ 6Ò Ðà  àA€[fact]€[falsehood]€[representation]€[pretense]€[promise]€is€"false"€when€it€is€untrueÐ ˜4 Ðwhen€made€or€effectively€conceals€or€omits€a€material€fact.€€A€[fact]€[falsehood]€[representation]Ð ú–  Ð[pretense]€[promise]€is€"material"€if€it€has€a€natural€tendency€to€influence,€or€is€capable€ofÐ \ø" Ðinfluencing,€the€decision€of€the€institution€in€deciding€whether€to€engage€or€not€to€engage€in€aÐ ¾Z$ Ðparticular€transaction.€€[However,€whether€a€[fact]€[falsehood]€[representation]€[promise]€isÐ  !¼& Ð"material"€does€not€depend€on€whether€the€institution€was€actually€deceived.]òò3óó€€Ð ‚"( Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð ä#€* ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ F%â, Ðà  à1.€€The€statute€also€covers€"assets,€securities,€or€other€property."€€18€U.S.C.€ðð€1344(2).€€InÐ ¨&D . Ðaddition,€18€U.S.C.€ðð€1346€provides:€€"For€the€purposes€of€this€Chapter,€the€term€'scheme€orÐ ”'0!/ Ðartifice€to€defraud'€includes€a€scheme€or€artifice€to€deprive€another€of€the€intangible€right€ofÐ €("0 Ðâ âhonest€services."€Ð l)#1 Ðà  à2.€€ð ðFinancial€institutionðð€is€defined€in€18€U.S.C.€ðð€20€and€includes€businesses€other€thanÐ d Ðbanks.€€If€the€fraud€was€against€a€financial€institution€other€than€a€bank,€this€element€should€beÐ Pì Ðmodified€accordingly.€€Ð <Ø Ðâ âà@55!ìàò òCommittee€Commentsó óˆÐ ž : Ðà  àThe€bank€fraud€statute€was€modeled€after€the€mail€and€wire€fraud€statues;€the€same€broadÐ  œ Ðapplication€should€be€applied€to€it€as€to€the€mail€fraud€statute.€€òòUnited€States€v.€Rimellóó,€21€F.3dÐ ì ˆ Ð281,€287€(8th€Cir.€1994).€€òòSeeóó€Committee€Comments€to€Instruction€6.18.1341,€òòsupraóó.€€CasesÐ Ø t Ðinterpreting€the€mail€and€wire€fraud€statutes€have€been€applied€to€the€bank€fraud€statute.€€òòSeeóó,Ð Ä `  Ðòòe.g.óó,€òòUnited€States€v.€Ô_ÔSolomonsonÔ_Ôóó,€908€F.2d€358,€364€(8th€Cir.€1990).€Ð °L  Ðà  àIn€òòUnited€States€v.€Stoneóó,€890€F.2d€418€(8òòthóó€Cir.€1989),€this€Circuit€held€that€the€elementÐ ®  Ðof€"knowingly"€supplied€the€required€mens€rea€for€a€violation€of€18€U.S.C.€ðð€1344.€Ð þš  Ðà  àMateriality€of€the€falsehood€is€an€element€of€the€crime.€€òòUnited€States€v.€Ô_ÔPizanoÔ_Ô,€óó421€F.3dÐ `ü  Ð707,€722€(8th€Cir.€2005),€relying€on€òòNeder€v.€United€Statesóó,€527€U.S.€1€(1999).€€The€financialÐ Lè  Ðinstitution€need€not€rely€on€the€misrepresentation,€however;€the€inquiry€is€whether€the€falseÐ 8Ô  Ðstatement€had€a€natural€tendency€to€influence€or€was€capable€of€influencing€the€financialÐ $À Ðinstitution.€€òòÔ_ÔPizanoÔ_Ôóó€at€722.Ð ¬ Ðà  àAs€in€the€mail€fraud€cases,€it€is€not€necessary€for€the€Government€to€show€that€theÐ r Ðfinancial€institution€suffered€a€loss€or€was€actually€defrauded€or€that€the€defendant€personallyÐ ^ú Ðbenefitted€from€the€scheme.€€òòUnited€States€v.€Ô_ÔPonecÔ_Ôóó,€163€F.3d€486,€488€(8th€Cir.€1998).€Ð Jæ Ðà  àThe€term€"scheme€and€artifice€to€defraud"€includes€any€plan€or€pattern€of€conduct€usingÐ ¬H Ðfalse€or€fraudulent€pretenses€or€representations.€€òòUnited€States€v.€Swearingenóó,€858€F.2d€1555,Ð ˜4 Ð1557€(11òòthóó€Cir.€1988).€€òòSee€alsoóó€òòUnited€States€v.€Whittyóó,€688€F.€Supp.€48,€54„55€(D.€Me.€1988).€Ð „  Ðà  àEach€execution€of€the€scheme€is€a€separate€offense.€€òòUnited€States€v.€Rimellóó,€21€F.3d€atÐ æ‚ Ð287.€€Ð Òn Ðà  àAlthough€the€statute€is€to€be€afforded€broad€application,€it€does€not€cover€a€traditionalÐ 4 Ð  Ð"pigeon„drop"€scheme€where€the€funds€that€were€at€one€time€under€the€control€of€the€bank€wereÐ  !¼! Ðlegitimately€withdrawn€and€then€given€to€the€defendants.€€òòUnited€States€v.€Blackmonóó,€839€F.2dÐ  "¨" Ð900,€904„07€(2d€Cir.€1988).€€Each€check€presented€to€a€covered€financial€institution€in€aÐ ø"”# Ðcheck-kiting€scheme€can€be€a€separate€violation€of€section€1344.€€òòUnited€States€v.€Poliakóó,€823Ð ä#€$ ÐF.2d€371,€372€(9th€Cir.€1987).Ð  Ð$l% ÐÖ€ÏÍìžÖÓ €Óà@¤ ¤ ìàò òÔ% €a ÔÔ  Ô6.18.1347.€€HEALTH€CARE€FRAUD€(18€U.S.C.€ðð1347)Ô ucrÌÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€health€care€fraud,€as€charged€in€[Count€___€of]€the€indictment,€has€fourÐ <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,òò1óó€the€defendant€knowingly€[executed]€[attempted€to€execute]€a€scheme€to€defraudÐ  œ Ð(identify€the€affected€health€care€benefit€program,€e.g.,€Medicare,€Medicaid,€etc.),€which€schemeÐ b þ Ðis€described€as€follows:€€(describe€scheme€in€summary€form€consistent€with€the€manner€it€isÐ Ä `  Ðcharged€in€the€indictment);Ð &  Ðà@““)ìàòòoróóˆÐ ˆ$  Ðà  àòòOneóó,€the€defendant€knowingly€[executed]€[attempted€to€execute]€a€scheme€to€obtainÐ ê†  Ð[money]€[property]€[owned€by]€[under€the€custody€and€control€of]€(identify€the€affected€healthÐ Lè  Ðcare€benefit€program,€e.g.,€Medicare,€Medicaid,€etc.)€by€means€of€materialòò2óó€[false€or€fraudulentÐ ®J Ðpretenses]€[false€or€fraudulent€representations]€[false€or€fraudulent€promises],òò3óó€which€areÐ ¬ Ðdescribed€as€follows:€€(set€forth€alleged€false€or€fraudulent€statements€in€summary€formÐ r Ðconsistent€with€the€manner€they€are€charged€in€the€indictment);Ð Ôp Ðà  àòòTwoóó,€the€defendant€did€so€with€intent€to€defraud;òò4óóÐ 6Ò Ðà  àòòThreeóó,€the€defendant€did€so€in€connection€with€[the€delivery€of]€[payment€for]€[health€careÐ ˜4 Ðbenefits]€[health€care€items]€[health€care€services];€andÐ ú–  Ðà  àòòFouróó,€(identify€the€health€care€benefit€program,€e.g.,€Medicare,€Medicaid,€etc.)€was€aÐ \ø" Ð[public€or€private]€[plan€or€contract],€affecting€commerce€in€some€way€or€degree,€under€whichÐ ¾Z$ Ð[specify€the€medical€benefit,€item,€or€service]€was€provided€to€any€individual;òò5óó€Ð  !¼& Ðà@““)ìàòòoróóˆÐ ‚"( Ðà  àFour,€(identify€individual€or€entity)€was€providing€(specify€the€medical€benefit,€item,€orÐ ä#€* Ðservice),€affecting€commerce€in€some€way€or€degree,€for€which€payment€was€made€under€aÐ F%â, Ð[public€or€private]€[plan€or€contract].òò6óó€Ð ¨&D . Ðà  àThe€phrase€ð ðscheme€to€defraudðð€includes€any€plan€or€course€of€action€intended€to€deceiveÐ  (¦!0 Ðor€cheat€a€health€care€benefit€program€out€of€[money€or€property]€by€[employing€materialÐ l)#2 Ðfalsehoods]€[concealing€material€facts]€[omitting€material€facts].€€[A€scheme€to€defraud€also€canÐ Î*j$4 Ðinclude€the€obtaining€of€[money]€[property]€from€a€health€care€benefit€program€by€means€ofÐ 0,Ì%6 Ðmaterial€false€[pretenses]€[representations]€[promises]].€€A€scheme€to€defraud€need€not€beÐ d Ðfraudulent€on€its€face€but€must€include€some€sort€of€fraudulent€misrepresentation€or€promiseÐ Æb Ðreasonably€calculated€to€deceive€a€reasonable€person.òò7óóÐ ( Ä Ðà  àA€[pretense]€[representation]€[promise]€is€ð ðfalseðð€when€it€is€untrue€when€made€orÐ Š & Ðeffectively€conceals€or€omits€a€material€fact.€€A€[pretense]€[representation]€[promise]€isÐ ì ˆ Ðð ðmaterialðð€if€it€has€a€natural€tendency€to€influence,€or€is€capable€of€influencing,€the€decision€of€aÐ N ê  Ðreasonable€person€in€deciding€whether€to€[deliver]€[pay€for]€[health€care€benefits]€[health€careÐ °L  Ðitems]€[health€care€services].€€[However,€whether€a€[pretense]€[representation]€[promise]€isÐ ®  Ðð ðmaterialðð€does€not€depend€on€whether€the€person€was€actually€deceived.]òò8óó€Ð t  Ðà  àTo€act€with€ð ðintent€to€defraudðð€means€to€act€knowingly€and€with€the€intent€to€deceiveÐ Ör  Ðsomeone€for€the€purpose€of€causing€some€[financial€loss]€or€[loss€of€property€or€money]€toÐ 8Ô  Ðanother€or€bringing€about€some€financial€gain€to€oneself€or€another€to€the€detriment€of€a€thirdÐ š6 Ðparty.€€[With€respect€to€false€pretenses,€representations€or€promises,€the€defendant€must€haveÐ ü˜ Ðknown€the€pretense,€representation€or€promise€was€untrue€when€made€or€have€made€the€pretense,Ð ^ú Ðrepresentation€or€promise€with€reckless€indifference€to€its€truth€or€falsity.]òò9óó€Ð À\ Ðà  àOnly€a€minimal€effect€is€required€in€order€to€show€that€the€health€care€benefit€programÐ "¾ Ðð ðaffected€commerce.ðð€€Proof€that€the€money€obtained€through€execution€of€the€scheme€was€paidÐ „   Ðthrough€a€financial€institution€insured€by€the€FDIC,€for€example,€is€sufficient€to€establish€that€theÐ æ‚" Ðactivity€ð ðaffected€commerce.ðð€€You€may,€but€are€not€required€to,€find€an€affect€on€commerce€hasÐ Hä$ Ðbeen€proven€if€you€find€and€believe€from€the€evidence€beyond€a€reasonable€doubt€(describe€affectÐ ª F& Ðon€interstate€commerce€alleged€in€the€indictment€or€on€which€proof€was€offered€at€trial,€whichÐ  "¨( Ðdemonstrates€an€actual€effect€on€interstate€commerce,€e.g.,€that€the€money€obtained€throughÐ n# * Ðexecution€of€the€scheme€was€paid€through€a€financial€instÔ_ÔitutionÔ_Ô€insured€by€the€FDIC).òò10óóÐ Ð$l, Ðà  à[It€is€not€necessary€that€the€Government€prove€[all€of€the€details€alleged€in€the€indictmentÐ 2&Î. Ðconcerning€the€precise€nature€and€purpose€of€the€scheme]€[that€the€alleged€scheme€succeeded€inÐ ”'0!0 Ðdefrauding€(identify€the€affected€health€care€benefit€program,€e.g.,€Medicare,€Medicaid,€etc.)]Ð ö(’"2 Ð[that€the€defendant€intended€for€the€execution€of€the€scheme€to€have€an€affect€on€interstateÐ X*ô#4 Ðcommerce].]òò11óó€Ð º+V%6 Ðà  à[The€health€care€fraud€counts€of€the€indictment€charge€that€each€defendant,€along€with€theÐ d Ðother€defendants,€devised€or€participated€in€the€scheme€to€defraud.€€The€Government€need€notÐ Æb Ðprove,€however,€that€the€defendants€met€together€to€formulate€the€scheme€charged,€or€that€thereÐ ( Ä Ðwas€a€formal€agreement€among€them,€in€order€for€them€to€be€held€jointly€responsible€for€theÐ Š & Ðoperation€of€the€scheme€and€for€using€a€health€care€benefit€program€to€accomplish€the€scheme.€€ItÐ ì ˆ Ðis€sufficient€if€only€one€person€conceives€the€scheme€and€the€others€knowingly,€voluntarily€andÐ N ê  Ðintentionally€join€in€and€participate€in€some€way€in€the€operation€of€the€scheme€in€order€for€suchÐ °L  Ðothers€to€be€held€jointly€responsible.]òò12óóÐ ®  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð t  ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ör  Ðà  à1.€€The€crime€permits€enhanced€punishment€where€the€violation€ð ðresults€in€serious€bodilyÐ 8Ô  Ðinjuryðð€or€ð ðresults€in€death.ðð€€18€U.S.C.€ðð1347.€€In€such€cases,€therefore,€the€first€element€shouldÐ $À Ðbe€modified€to€require€an€additional€jury€finding€that€the€scheme€resulted€in€serious€bodily€injuryÐ ¬ Ðor€death,€consistent€with€the€allegations€of€the€indictment.€€This€modification€is€necessitated€byÐ ü˜ Ðthe€rule€of€constitutional€law€that€any€fact,€other€than€a€prior€conviction,€that€increases€theÐ è„ Ðmaximum€penalty€for€a€crime€must€be€charged€in€an€indictment,€submitted€to€a€jury,€and€provenÐ Ôp Ðbeyond€a€reasonable€doubt.€€òòApprendi€v.€NewJerseyóó,€530€U.S.€466€(2000);€òòJones€v.€UnitedÐ À\ ÐStatesóó,€526€U.S.€227€n.6€(1999);€òòsee€alsoóó€Instruction€6.18.1341,€òòsupraóó,€n.5.€€The€health€care€fraudÐ ¬H Ðstatute€incorporates€the€definition€of€ð ðserious€bodily€injuryðð€found€in€18€U.S.C.€ðð€1365.€€IfÐ ˜4 Ðapplicable,€this€definition€of€ð ðserious€bodily€injuryðð€should€be€used€in€the€jury€instruction€and€theÐ „  Ðjury€should€be€required€to€make€the€requisite€finding€required€by€the€statute,€i.e.,€that€the€schemeÐ p  Ðto€defraud€resulted€in€either€(a)€a€substantial€risk€of€death,€or€(b)€extreme€physical€pain,€or€(c)Ð \ø Ðprotracted€and€obvious€disfigurement,€or€(d)€protracted€loss€or€impairment€of€the€function€of€aÐ Hä  Ðbodily€member,€organ,€or€mental€faculty.€€òòSeeóó€18€U.S.C.€ðð€1365(h)(3).€€Ð 4 Ð! Ðà  à2.€€The€materiality€element€and€definition€are€added€consistent€with€òòNeder€v.€UnitedÐ –!2# ÐStatesóó,€527€U.S.€1€(1999),€and€òòUnited€States€v.€Gaudinóó,€515€U.S.€506,€509€(1995);€òòsee€alsoóóÐ ‚"$ ÐInstruction€6.18.1344,€òòsupraóó,€n.3.€Ð n# % Ðà  à3.€€The€Eighth€Circuit€has€held€that€where€a€statute€prohibits€both€a€scheme€to€defraudÐ Ð$l' Ðòòandóó€the€obtaining€of€money€and€property€by€means€of€false€pretenses,€it€is€proper€for€anÐ ¼%X( Ðindictment€to€charge€both€in€the€conjunctive€and€proof€of€any€one€of€the€conjunctively€chargedÐ ¨&D ) Ðacts€is€sufficient€to€establish€guilt.€€òòUnited€States€v.€Clausenóó,€792€F.2d€102,€104-05€(8th€Cir.Ð ”'0!* Ð1986);€òòsee€alsoóó€Committee€Comments,€Instruction€6.18.1341,€òòsupraóó.€€However,€if€more€than€oneÐ €("+ Ðtheory€is€part€of€the€evidence€in€the€case,€and€the€theories€constitute€a€separate€offense€or€anÐ l)#, Ðelement€of€the€offense,€then€the€alternatives€can€be€submitted€in€the€disjunctive€and€the€juryÐ X*ô#- Ðinstructed€that€all€jurors€must€agree€as€to€the€particular€theory.€€Instruction€6.18.1341,€òòsupraóó,€n.2,Ð D+à$. Ðdiscusses€when€a€unanimity€instruction€is€required€and€provides€sample€unanimity€instructions.Ð 0,Ì%/ Ðà  à4.€€Requiring€proof€of€intent€to€defraud€incorporates€the€concept€of€wilfulness€withoutÐ d Ðusing€that€term.€€òòUnited€States€v.€Ô_ÔHickmanÔ_Ôóó,€331€F.3d€439,€444„45€(5th€Cir.€2003).€There€are€noÐ Pì Ðreported€cases€suggesting€that€Congressðð€use€of€the€word€ð ðwillfullyðð€in€the€statute€was€intendedÐ <Ø Ðto€incorporate€the€willfulness€standard€applicable€in€criminal€tax€prosecutions.€€Thus,€consistentÐ ( Ä Ðwith€Instruction€7.02,€òòinfraóó,€the€Committee€recommends€that€the€word€ð ðwillfullyðð€not€be€used€inÐ  ° Ða€jury€instruction.€€However,€consistent€with€the€jury€instructions€for€mail,€wire,€and€bank€fraudÐ  œ Ð(Instructions€6.18.1341€and€6.18.1344,€òòsupraóó),€the€Committee€believes€that€proof€of€intent€toÐ ì ˆ Ðdefraud€is€an€essential€element€of€the€offense.€€òòDeMier€v.€United€Statesóó,€616€F.2d€366,€369€(8thÐ Ø t ÐCir.€1980)€(intent€to€defraud€is€element€of€mail€fraud).Ð Ä ` Ðà  à5.€€By€statutory€definition,€the€only€type€of€health€care€benefit€programs€covered€by€theÐ &  Ðstatute€are€those€that€affect€commerce.€€18€U.S.C.€ðð€24(b).€€Congress€clearly€used€the€phraseÐ ®  Ðð ðaffecting€commerceðð€to€provide€the€federal€jurisdictional€element€that€connects€the€offense€toÐ þš  Ðinterstate€commerce.€€òòSee€United€States€v.€Mannóó,€493€F.3d€484,€494€(5th€Cir.€2007)€(readingÐ ê†  Ðð ðaffecting€commerceðð€in€18€U.S.C.€ðð€1951€to€require€proof€of€an€effect€on€interstate€commerce);Ð Ör  Ðòòsee€alsoóó€òòUnited€States€v.€Lopezóó,€514€U.S.€549,€561€(1995)€(statutes€containing€a€ð ðjurisdictionalÐ Â^  Ðelement€which€would€ensure,€through€case„by„case€inquiry,€that€the€[prohibited€act]€in€questionÐ ®J Ðaffects€interstate€commerceðð€pass€muster€under€the€Commerce€Clause).€€Since€the€object€of€theÐ š6 Ðfraud€must€be€a€ð ðhealth€care€benefit€programðð€and€since€health€care€benefit€programs€must,€byÐ †" Ðdefinition,€ð ðaffect€commerce,ðð€it€would€appear€that€proof€of€an€affect€on€interstate€commerce€isÐ r Ðboth€a€jurisdictional€requirement€and€an€essential€element€of€the€offense.€€òòUnited€States€v.€Kleinóó,Ð ^ú Ð543€F.3d€206,€211€(5thCir.€2008)€(the€ð ðaffecting€commerceðð€language€in€ðð€1347€does€create€anÐ Jæ Ðelement€which€the€Government€must€prove€beyond€a€reasonable€doubt);€òòcf.óó,€òòUnited€States€v.Ð 6Ò ÐÔ_ÔWestbrookÔ_Ôóó,€119€F.3d€1176,€1191€(5th€Cir.€1997)€(holding€in€the€context€of€a€money€launderingÐ "¾ Ðprosecution€under€18€U.S.C.€ðð1956,€that€the€Government€is€required€to€provide€proof€of€someÐ ª Ðeffect€on€interstate€commerce€when€a€statute€has€an€ð ðaffecting€commerceðð„like€requirement);Ð ú– ÐòòUnited€States€v.€Ô_ÔRipinskyÔ_Ô€óó109F.3d€1436,€1443€(9thCir.€1997)€(construing€the€interstateÐ æ‚ Ðcommerce€requirement€under€18U.S.C.€ðð1956).€€òòóóHowever,€by€analogy€to€18€U.S.C.€ðð€922(g)Ð Òn Ðwhere€proof€that€the€possessed€firearm€previously€traveled€in€interstate€commerce€is€sufficient€toÐ ¾Z Ðshow€that€the€defendantððs€possession€was€one€ð ðaffecting€commerce,ðð€the€legislative€history€of€theÐ ª F Ðhealth€care€fraud€statute€seems€to€confirm€Congressðð€intent€that€the€jurisdictional€element€ofÐ –!2 Ðð ðaffecting€commerceðð€may€be€satisfied€by€a€òòdeminimusóó€showing€and€it€is€not€necessary€to€proveÐ ‚" Ðthat€the€defendant€knew€his€conduct€was€affecting€commerce.€€104€Ô_ÔP.L.Ô_Ô€191;€110€Stat.€1936;Ð n#   Ð1996€Enacted€H.R.€3103;€104€Enacted€H.R.€3103.€€òòSee€also€United€States€v.€Ô_ÔOgbaÔ_Ôóó,€526€F.3d€214Ð Z$ö! Ð(5th€Cir.€2008)€(interstate€commerce€showing€satisfied€because€payments€received€throughÐ F%â" ÐMedicare€system);òò€United€States€v.€Ô_ÔPalozieÔ_Ôóó,€166€F.3d€502,€505€(2d€Cir.€1999);€òòÔ_ÔWestbrookÔ_Ôóó,€119Ð 2&Î# ÐF.3d€at€1192€(same€òòde€minimusóó€standard€applies€to€ðð1956€money€laundering);€òòUnited€States€v.Ð 'º $ ÐÔ_ÔPeayÔ_Ôóó,€972€F.2d€71,€74„75€(4thCir.€1992)€(citing€òòRussell€v.€United€Statesóó,€471€U.S.€858,€859Ð  (¦!% Ð(1985)€(only€a€òòde€minimusóó€effect€on€interstate€commerce€must€be€shown€in€order€for€such€aÐ ö(’"& Ðstatute€to€pass€constitutional€muster)).Ð â)~#' Ðà  à6.€€18€U.S.C.€ðð€24(b)€defines€ð ðhealth€care€benefit€programðð€to€include€both€the€plan€orÐ D+à$) Ðcontract€that€provides€the€medical€benefit,€item,€or€service,€and,€alternatively,€the€person€or€entityÐ 0,Ì%* Ðthat€provides€the€medical€benefit,€item,€or€service.€€Again,€proof€of€either€is€sufficient€to€establishÐ d Ðguilt.€€òòSeeóó€n.3,€òòsupraóó.Ð Pì Ðà  à7.€€The€definitions€of€ð ðscheme€to€defraudðð€and€ð ðintent€to€defraudðð€are€the€same€as€thoseÐ ²N Ðused€for€mail,€wire,€and€bank€fraud.€€òòSeeóó€Instruction€6.18.1341,€òòsupraóó,€Ô_ÔnnÔ_Ô.6,€10,€and€11.Ð ž : Ðà  à8.€€The€definitions€of€ð ðfalseðð€and€ð ðmaterialðð€are€based€on€the€parallel€sections€of€the€mail,Ð  œ Ðwire,€and€bank€fraud€instructions.€€òòSeeóó€Instructions€6.18.1341€and€6.18.1344,€òòsupraóó.Ð ì ˆ Ðà  à9.€€òòSeeóó€Instruction€6.18.1341,€òòsupraóó,€Ô_ÔnnÔ_Ô.10€and€11òòóó.Ð N ê  Ðà  à10.€€The€FDIC€insurance€program€ð ðis€federally€administered,€federal€officials€periodicallyÐ °L  Ðexamine€the€accounts,€and€the€reports€sent€to€the€FDIC€deal€with€money€that€has€been€depositedÐ œ8  Ðfrom€many€sources,€including€those€from€outside€the€state.ðð€€òòUnited€States€v.€Ô_ÔPeayÔ_Ôóó,€972€F.2d€atÐ ˆ$  Ð74„75òòóó.òòóó€€Thus,€proof€that€a€financial€transaction€involved€a€financial€institution€insured€by€theÐ t  ÐFDIC€is€sufficient€to€establish€proof€of€a€nexus€with€interstate€commerce.€€òòId.óó€€In€short,€whenÐ `ü  Ðmonies€obtained€through€execution€of€the€fraud€scheme€are€paid€through€an€FDIC€insuredÐ Lè  Ðinstitution,€the€requirement€that€the€operation€of€the€health€care€benefit€program€must€ð ðaffectÐ 8Ô  Ðcommerceðð€has€been€satisfied.Ð $À Ðà  à11.€€This€paragraph€is€modeled€after€an€analogous€section€of€the€mail€fraud€instruction.€Ð †" ÐòòSeeóó€Instruction€6.18.1341,€òòsupraóó,€n.17.Ð r Ðà  à12.€€This€instruction€parallels€language€in€the€mail€fraud€instruction.€€òòSeeóó€InstructionÐ Ôp Ð6.18.1341,€òòsupraóó,€n.16.€€Ð À\ Ðò òà@55!ìàCommittee€Commentsó óˆÐ "¾ Ðà  àòòSeeóó€òòUnited€States€v.€Ô_ÔRefertÔ_Ôóó,€519€F.3d€752,€757„58€(8th€Cir.€2008)€(affirming€districtÐ „  Ðcourtððs€instruction€on€the€elements€of€health€care€fraud);€òòUnited€States€v.€Ô_ÔBoesenÔ_Ôóó,€491€F.3d€852,Ð p  Ð856€(8thCir.€2007)€(same).Ð \ø Ðà  àThe€language€and€structure€of€the€health€care€fraud€statute€indicates€that€CongressÐ ¾Z  Ðpatterned€it€after€the€bank€fraud€statute.€€òòUnited€States€v.€Ô_ÔHickmanÔ_Ôóó,€331€F.3d€439,€445„46€(5thÐ ª F! ÐCir.€2003).€€Thus,€unlike€the€mail€and€wire€fraud€statutes€which€punish€each€separate€act€inÐ –!2" Ðfurtherance,€or€execution,€of€the€scheme,€the€bank€and€heÔ_ÔalthÔ_Ô€care€fraud€statutes€punish€theÐ ‚"# Ðexecution€of€the€scheme.€€The€Committee€believes,€therefore,€that€the€health€care€fraud€statute,Ð n# $ Ðby€analogy€to€the€bank€fraud€statute,€punishes€the€executions€or€attempted€executions€of€schemesÐ Z$ö% Ðto€defraud,€and€not€simply€acts€in€furtherance€of€the€scheme.€€òòSee€Ô_ÔHickmanÔ_Ôóó,€331€F.3d€at€445„47Ð F%â& Ðand€cases€cited€therein.€€As€a€result,€the€unit€of€prosecution€created€by€ðð€1347€is€each€executionÐ 2&Î' Ðor€attempted€execution€of€the€scheme€to€defraud,€not€each€act€in€furtherance€of€the€scheme.€€òòId.óó€Ð 'º ( ÐAlthough€the€crime€of€health€care€fraud€is€complete€upon€the€execution€of€the€scheme,€anyÐ  (¦!) Ðscheme€can€be€executed€multiple€times,€and€each€execution€may€be€charged€in€a€separate€count.€Ð ö(’"* ÐòòId.;€see€alsoóó€òòUnited€States€v.€Cooperóó,€283€F.€Supp.€2d€1215€(D.€Kan.€2003)€(it€can€be€proper€toÐ â)~#+ Ðcharge€separate€counts€of€health€care€fraud€where€the€separately€charged€in€stances€do€notÐ Î*j$, Ðinvolve€separate€parts€of€a€whole€payment,€as€payment€on€each€claim€involves€a€separateÐ º+V%- Ðmovement€of€money€and€each€movement€results€in€a€separate€loss€to€the€health€care€benefitÐ d Ðprogram,€evidencing€multiple€executions€of€the€same€scheme).€€On€the€other€hand,€the€indictmentÐ Pì Ðmay€properly€charge,€in€a€single€count,€a€pattern€of€executions,€or€submissions€of€false€claims,€asÐ <Ø Ðpart€of€a€single,€overarching€continuing€scheme.€€òòSeeóó€òòUnited€States€v.€Ô_ÔMermelsteinÔ_Ôóó,€487€F.€Supp.Ð ( Ä Ð2d.€242,€254„55€(E.D.N.Y.€2007)€(collecting€cases).€€In€the€context€of€the€bank€fraud€statute,€theÐ  ° ÐEighth€Circuit€has€held€that€each€separate€deposit€and€withdrawal€in€execution€of€the€bank€fraudÐ  œ Ðscheme€is€a€separate€offense€and€can€be€separately€chargeable.€€òòUnited€States€v.€Barnhartóó,€979Ð ì ˆ ÐF.2d€647,€651€(8th€Cir.€1992)€(each€check€a€perpetrator€writes€and€deposits€in€a€check€kiting€orÐ Ø t Ðsimilar€scheme€is€a€different€and€separate€execution€of€the€scheme€to€defraud€and€may€be€chargedÐ Ä ` Ðin€separate€counts€of€the€indictment).€€By€analogy,€it€appears€that€multiple€executions€of€a€singleÐ °L  Ðhealth€care€fraud€scheme€can€be,€but€need€not€be,€charged€in€separate€counts.€òò€óóThe€process€ofÐ œ8  Ðdefining€a€scheme€or€its€execution€is€a€fact-intensive€process€that€is€inextricably€intertwined€withÐ ˆ$  Ðthe€way€the€indictment€defines€the€scheme€and€its€execution.òò€€Ô_ÔHickmanÔ_Ôóó,€331€F.3d€at€445„47òò.óó€Ð t  ÐCare€should€be€taken€to€ensure€that€the€description€of€the€scheme€in€the€jury€instruction€matchesÐ `ü  Ðthe€scheme€charged€in€the€indictment.€Ð Lè  Ðà  àConsistent€with€the€approach€taken€in€the€mail,€wire,€and€bank€fraud€instructions,€theÐ ®J ÐCommittee€does€not€believe€it€is€necessary€to€define€ð ðknowingly.ðð€€òòSeeóó€Instruction€7.03,€òòsupraóó.Ð š6 Ðà  àAgain,€consistent€with€the€approach€taken€in€the€mail,€wire,€and€bank€fraud€instructions,€itÐ ü˜ Ðis€not€necessary€for€the€Government€to€show€that€the€health€care€benefit€program€suffered€a€lossÐ è„ Ðor€was€actually€defrauded€or€that€the€defendant€personally€benefitted€from€the€scheme.€€òòSeeóóÐ Ôp ÐCommittee€Comments,€Instruction€6.18.1344,€òòsupraóó.Ð À\ Ðà  àIn€òòUnited€States€v.€Dexteróó,€154€Fed.€890,€896€(N.D.€Iowa€1907),€a€scheme€wasÐ "¾ Ðdistinguished€from€an€artifice€as€follows:Ð ª Ðà8  àà8` Ð Ð àA€scheme€may€be€said€to€be€a€design€or€plan€formed€to€accomplishÐ p  Ðsome€purpose.€€An€artifice€may€be€said€to€be€an€ingeniousÐ \ø Ðcontrivance€or€device€of€some€kind€and€when€used€in€a€bad€senseÐ Hä Ðof€the€word€corresponds€with€trick€or€fraud.€€Hence,€a€scheme€orÐ 4 Ð Ðartifice€to€defraud€within€the€meaning€of€this€statute€would€be€toÐ  !¼ Ðform€some€plan€or€devise€some€trick€to€perpetrate€a€fraud€uponÐ  "¨  Ðanother.€Ðø"”!` x` x ÐIf€the€indictment€only€alleges€an€artifice€to€defraud,€the€definition€of€ð ðscheme€to€defraudðð€can€stillÐ Z$ö# Ðbe€used€by€simply€changing€ð ðscheme€to€defraudðð€to€ð ðartifice€to€defraud.ðð€Ð F%â$ Ðà  àSince€intent€to€defraud€is€an€element€of€the€offense,€good€faith€can€be€a€theory€of€defense.€Ð ¨&D & ÐòòUnited€States€v.€Arnoldóó,€543€F.2d€1224€(8th€Cir.€1976).€€A€defendant€is€entitled€to€an€instructionÐ ”'0!' Ðon€a€good€faith€theory€of€defense€and€one€should€be€given€if€there€is€evidence€to€support€theÐ €("( Ðtheory,€òòUnited€States€v.€Caspersonóó,€773€F.2d€216,€222-24€(8th€Cir.€1985);€òòUnited€States€v.Ð l)#) ÐShereróó,€653€F.2d€334,€337€(8th€Cir.€1981),€but€not€where€the€defendant€denies€the€conduct€whichÐ X*ô#* Ðâ âis€charged€and€the€issue€is€one€of€credibility.€€òòUnited€States€v.€Kimmelóó,€777€F.2d€290,€292-93€(5thÐ D+à$+ ÐCir.€1985).€€òòSeeóó€Instruction€9.08,€òòinfraóó,€for€good€faith€instructions.€€òòSee€alsoóó€š2A€Kevin€F.Ð d ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rH*#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r’*#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÙ*#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r(+#Ô:€€Criminal€ðð47.16€(5th€ed.€2000).Ð  Pì Ðâ âÓ €ÓÖ€ÐÏìŸÖà@FFìàò òÔ% €b ÔÔ  Ô6.18.1503A.€€CORRUPTLY€ENDEAVORING€TO€INFLUENCE€A€JUROR€ˆÐ d Ðà@îî!ìà(18€U.S.C.€ðð€1503)Ô ó,Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€corruptly€endeavoring€to€influence€a€juroròò1óó,€as€charged€in€[Count€_____€of]Ð ( Ä Ðthe€indictment,€has€three€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€(name€of€juror)€was€a€[grand]€juror€in€(describe€judicial€proceeding);òò2óó€Ð ì ˆ Ðà  àòòTwoóó,€the€defendant€knew€that€(describe€judicial€proceeding)€was€pending;€[and]€Ð N ê  Ðà  àòòThreeóó,€the€defendant€corruptly€endeavoredòò3óó€to€[influence]€[intimidate]€[impede]€(name€ofÐ °L  Ðjuror)€in€the€discharge€of€his€duty€as€a€[grand]€juror[;€and]Ð ®  Ðà  à[Four,€(state€the€sentencing€fact€that€triggers€a€higher€maximum€sencence,òò4óó€e.g.,€the€crimeÐ t  Ðunder€consideration€by€the€juror€was€(name€the€Class€A€or€Class€B€felony€chargedòò5óó).]Ð Ör  Ðà  àThe€phrase€ð ðcorruptly€endeavoredðð€means€that€the€defendant€voluntarily€and€intentionallyÐ 8Ô  Ð(describe€obstructive€act)òò6óó€and€that€in€doing€so,€acted€with€the€intentòò7óó€to€[influence€(judicial)Ð š6 Ð(grand€jury)€proceedings€so€as€to€benefit€himself€or€another]€[subvert€or€undermine€the€dueÐ ü˜ Ðadministration€of€justice].òò8óó€€[The€endeavor€need€not€have€been€successful,€but€it€must€have€had€atÐ ^ú Ðleast€a€reasonable€tendency€to€impede€the€[grand]€juror€in€the€discharge€of€his€duties.]€€Ð À\ ÐÓ €Óà  à(Insert€paragraph€describing€government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÐ "¾ ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ „  Ðà  à1.€€This€clause€of€the€statute€also€applies€to€officers€of€the€court€and€certain€officials.€Ð æ‚! ÐÔ'°„J3Ôà  à2.€€The€instruction€is€designed€for€the€usual€case€in€which€the€pendency€of€a€judicialÐ Hä# Ðproceeding€is€undisputed.€€If€this€question€is€disputed,€it€should€be€submitted€to€the€jury€underÐ 4 Ð$ Ðproper€definitional€instructions.€€òòSeeóó€òòUnited€States€v.€Vesichóó,€724€F.2d€451,€454€(5th€Cir.€1984).€Ð  !¼% ÐSection€1503€typically€applies€ð ðafter€the€commencement€of€formal€judicial€proceedings.ðð€€òòUnitedÐ  "¨& ÐStates€v.€Werlingeróó,€894€F.2d€1015,€1016€n.3€(8òòthóó€Cir.€1990).€€A€criminal€action€remainsÐ ø"”' Ðð ðpendingðð€during€the€one„year€period€within€which€to€file€a€motion€to€reduce€sentence€pursuantÐ ä#€( Ðto€Federal€Rule€of€Criminal€Procedure€35(b).€€òòUnited€States€v.€Novakóó,€217€F.3d€566,€572„73€(8òòthóóÐ Ð$l) ÐCir.€2000),€or€until€disposition€of€the€defendantððs€direct€appeal.€€òòUnited€States€v.€Johnsonóó,€605Ð ¼%X* ÐF.2d€729€(4òòthóó€Cir.€1979).€€Ð ¨&D + Ðà  à3.€€The€jury€should€be€instructed€on€the€meaning€of€"corruptly€endeavored"€as€used€by€theÐ  (¦!- Ðstatute.€€As€the€discussion€in€the€Committee€Comments,€òòinfraóó,€illustrates,€no€one€definition€hasÐ ö(’". Ðbeen€agreed€on€and€different€definitions€may€apply€to€different€factual€situations.€€The€court€ofÐ â)~#/ Ðâ âappeals€"prefer[s]€instructions€phrased€not€in€abstract€legalisms,€but€rather€in€concrete€terms€thatÐ Î*j$0 Ðintelligibly€describe€the€actual€evidence€or€contentions€of€the€parties."€€òòUnited€States€v.Ð d ÐFeldhackeróó,€849€F.2d€293,€297€(8th€Cir.€1988).Ð Pì Ðâ âà  àA€definition€which€best€suits€the€case€should€be€formulated€and€used.€€At€a€minimum,Ð ²N Ðthere€should€be€an€intent€to€act€and€knowledge€that€obstruction€would€or€could€result€from€suchÐ ž : Ðact.€€òòUnited€States€v.€Aguilaróó,€515€U.S.€593,€599€(1995).€€For€a€discussion€of€the€meaning€of€theÐ Š & Ðphrase€ð ðknowingly€.€.€.€corruptly,ðð€as€used€in€18€U.S.C.€ðð1512(b)(2)(A),€òòseeóó€òòArthur€AndersenÐ v  ÐLLP€v.€United€Statesóó,€544€U.S.€696,€706€(2005).€€(The€Committee€notes€that€in€Fn€9€in€òòAndersenóó,Ð b þ Ðthe€Court€observed€that€ðð€1503€ð ðlack[s]€the€modifier€ððknowingly,ðð€making€any€analogy€[to€theÐ N ê Ðdefinition€of€corruptly€in€ðð€1512]€inexact.ðð)€€The€Committee€recommends€that€in€formulating€aÐ :Ö  Ðdefinition,€words€such€as€"knowingly,"€"willfully"€and€"specific€intent"€not€be€used€in€favor€ofÐ &  Ðwords€which€precisely€describe€the€mental€state€involved.€€òòSeeóó€Instructions€7.01-.03,€òòinfraóó.€€Ð ®  Ðà  à4.€€Section€1503(b)€creates€enhanced€penalties€where€a€juror€is€killed,€where€an€attemptÐ t  Ðon€the€life€of€a€juror€failed,€or€where€the€offense€was€committed€against€a€petit€juror,€in€a€case€inÐ `ü  Ðwhich€a€class€A€or€B€felony€was€charged.€€In€òòJones€v.€United€Statesóó,€526€U.S.€227€(1999),€dealingÐ Lè  Ðwith€a€carjacking€offense€under€18€U.S.C.€ðð€2119,€the€Supreme€Court€stated,€in€footnote€6,Ð 8Ô  Ðð ð[u]nder€the€Due€Process€Clause€of€the€Fifth€Amendment€and€the€notice€and€jury€trial€guaranteesÐ $À Ðof€the€Sixth€Amendment,€any€fact€(other€than€prior€conviction)€that€increases€the€maximumÐ ¬ Ðpenalty€for€a€crime€must€be€charged€in€an€indictment,€submitted€to€a€jury,€and€proven€beyond€aÐ ü˜ Ðreasonable€doubt.ðð€€The€Supreme€Court€made€clear€in€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466Ð è„ Ð(2000),€that€the€principle€it€enunciated€in€òòJonesóó€was€a€rule€of€constitutional€law€applicable€to€allÐ Ôp Ðprosecutions.€€Ð À\ Ðà  à5.€€If€a€killing€or€attempted€killing€is€charged,€òòseeóó€Instructions€6.18.1111,€6.18.1112,€andÐ "¾ Ð8.01€(attempt).Ð ª Ðà  à6.€€òòSee€United€States€v.€Frankóó,€354€F.3d€910,€921€(8òòthóó€Cir.€2004)€for€a€discÔ_ÔussionÔ_Ô€ofÐ p  Ðwhether€section€1503€requires€commission€of€an€overt€act.Ð \ø Ðà  à7.€€The€government€need€not€prove€that€the€defendantððs€only€or€even€main€purpose€was€toÐ ¾Z Ðobstruct€the€due€administration€of€justice.€€òòSee€United€States€v.€Machióó,€811€F.2d€991,€996„97€(7òòthóóÐ ª F ÐCir.€1987).€€Ð –!2  Ðà  à8.€€This€definition€is€a€generic€one.€€If€the€circumstances€of€the€case€call€for€a€moreÐ ø"”" Ðspecific€definition,€the€Committee€Comments€on€the€ð ðendeavorðð€and€ð ðcorruptlyðð€requirements€ofÐ ä#€# Ðthe€statute€should€aid€in€fashioning€one.€€Ð Ð$l$ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ 2&Î& Ðà  àòòSeeó󀀚2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%røG#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rBH#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r‰H#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rØH#Ô:€Ð ”'0!( ÐCriminal€ðð48.03€(5th€ed.€2000)Ô':2&qGÔ.Ð €(") Ðà  àThe€first€two€clauses€of€section€1503,€covered€by€Instructions€6.18.1503A€and€B,€relate€toÐ â)~#+ Ðinterference€with€or€injury€to€actual€grand€jurors,€petit€jurors,€or€court€officers€in€the€discharge€ofÐ Î*j$, Ðtheir€duties.€€òòUnited€States€v.€Aguilaróó,€515€U.S.€593,€598€(1995).€€The€third€clause€referred€to€asÐ º+V%- Ðthe€ð ðOmnibus€Clause,ðð€and€covered€by€Instruction€6.18.1503C,€is€a€catchall€provision€which,Ð d Ðòòinter€aliaóó,€prohibits€persons€from€corruptly€endeavoring€to€influence,€obstruct,€or€impede€the€dueÐ Pì Ðadministration€of€justice.€€òòId.óó€€These€instructions€apply€to€counts€alleging€that€the€defendantÐ <Ø Ðòòendeavoredóó€to€obstruct€justice,€not€to€counts€alleging€actual€obstruction.€€Ð ( Ä Ðà  àThe€following€discussion€relates€to€all€three€clauses€of€section€1503,€but€most€particularlyÐ Š & Ðto€the€Omnibus€Clause,€which,€because€it€is€the€most€general€in€nature,€presents€the€most€issues.€€Ð v  Ðà  àòòPendency€of€judicial€proceedings.€€óóExcept€where€retaliation€is€charged,€a€prerequisite€toÐ Ø t Ðprosecution€under€all€clauses€of€section€1503€is€a€òòpendingóó€judicial€proceeding.€€òòUnited€States€v.Ð Ä `  ÐRiskenóó,€788€F.2d€1361,€1368€(8th€Cir.€1986).€€(In€òòUnited€States€v.€Novakóó,€217€F.3d€566,€572€(8òòthóóÐ °L  ÐCir.€2000),€the€court€questioned€this€prerequisite,€noting€that€ð ðthere€is€nothing€on€the€face€of€ððÐ œ8  Ð1503€requiring€a€pending€proceeding,ðð€but€assumed,€arguendo,€the€existence€of€the€requirement.)€Ð ˆ$  ÐA€grand€jury€proceeding€is€considered€a€pending€proceeding.€€òòRiskinóó.€€The€question€of€when€aÐ t  Ðgrand€jury€investigation€commences€for€the€purposes€of€section€1503€is€addressed€in€òòUnitedÐ `ü  ÐStates€v.€Vesichóó,€724€F.2d€451,€454-55€(5th€Cir.€1984).€€òòSee€alsoóó€òòUnited€States€v.€Nelsonóó,€852Ð Lè  ÐF.2d€706,€709-11€(3d€Cir.€1988);€òòUnited€States€v.€Steeleóó,€241€F.3d€302€(3d€Cir.€2001).€€A€term€ofÐ 8Ô  Ðsupervised€release€also€can€constitute€a€pending€proceeding,€if€the€obstructive€conduct€occursÐ $À Ðð ðððwithin€the€time€after€sentencing€for€filing€a€request€for€reduction€of€sentence€pursuant€to€RuleÐ ¬ Ð35(b).ðððð€€òòUnited€States€v.€Novakóó,€217€F.3d€at€572.€Ð ü˜ Ðà  àThe€defendant€must€know€of€the€pendency€of€a€judicial€proceeding.€€òòPettibone€v.€UnitedÐ ^ú ÐStatesóó,€148€U.S.€197,€206-07€(1893);€òòUnited€States€v.€Vesichóó,€724€F.2d€at€457.€€Such€knowledgeÐ Jæ Ðmay€be€inferred€from€the€circumstances€and€need€not€be€detailed.€€òòId.óó€€The€defendant€need€notÐ 6Ò Ðknow€that€the€proceeding€is€federal€in€nature.€€òòUnited€States€v.€Arditoóó,€782€F.2d€358,€360-62€(2dÐ "¾ ÐCir.€1986).€€In€òòUnited€States€v.€McKnightóó,€799€F.2d€443,€447€(8th€Cir.€1986),€the€court€held€itÐ ª Ðwas€not€plain€error€where€the€court€had€not€specifically€instructed€the€jury€that€the€defendantÐ ú– Ðmust€have€had€knowledge€of€the€judicial€proceeding.€€The€court€had€instructed€the€jury€that€theÐ æ‚ Ðdefendant€must€have€acted€"knowingly."€€The€Committee€recommends€that€the€preciseÐ Òn Ðknowledge€be€set€forth€in€the€instruction.€€òòSeeóó€Element€òòTwoóó,€òòsupraóó.Ð ¾Z Ðà  àòòð ðCorruptly€endeavorðð€requirement.óó€€Although€courts€often€define€the€words€ð ðcorruptlyððÐ  !¼ Ðand€ð ðendeavorðð€separately,€the€Committee€believes€that€to€define€them€as€a€single€phrase€wouldÐ  "¨  Ðresult€in€less€confusion€and€overlap.€€The€following€is€a€summary€of€case€law€as€to€the€meaningÐ ø"”! Ðof€each€word.Ð ä#€" Ðà  àòòð ðEndeavorðð€requirement.óó€€As€the€Supreme€Court€stated€in€òòUnited€States€v.€Russellóó,€ð ð[t]heÐ F%â$ Ðword€of€the€section€is€ððendeavorðð€and€by€using€it€the€section€got€rid€of€the€technicalities€whichÐ 2&Î% Ðmight€be€urged€as€besetting€the€word€ððattemptðð€and€it€describes€any€effort€or€essay€to€accomplishÐ 'º & Ðthe€evil€purpose€that€the€section€was€enacted€to€prevent.ðð€€255€U.S.€at€143;€òòOsborn€v.€UnitedÐ  (¦!' ÐStatesóó,€385€U.S.€323,€332-33€(1966).€€However,€the€endeavor€ð ðmust€have€a€relationship€in€time,Ð ö(’"( Ðcausation,€or€logic€with€the€judicial€proceedings.€.€.€.€€[It]€must€have€the€ððnatural€and€probableÐ â)~#) Ðeffectðð€of€interfering€with€the€due€administration€of€justice.ðð€€(citations€omitted).€€òòUnited€States€v.Ð Î*j$* ÐAguilaróó,€515€U.S.€at€599.€€Therefore,€a€judgeððs€making€of€false€statements€to€an€FBI€agent€did€notÐ º+V%+ Ðconstitute€obstruction€in€the€absence€of€evidence€the€judge€knew€those€false€statements€would€beÐ d Ðgiven€to€the€grand€jury.€€òòId.óó€at€600.€€On€the€other€hand,€submission€to€a€sentencing€judge€of€aÐ Pì Ðfalse€letter€seeking€leniency€constituted€obstruction,€even€though€the€government€did€not€proveÐ <Ø Ðthat€the€courtððs€sentencing€decision€was€actually€affected€by€the€letter,€because€the€letter€was€ofÐ ( Ä Ðthe€type€normally€received€and€relied€upon€by€the€judge.€€òòUnited€States€v.€Collisóó,€128€F.3d€313Ð  ° Ð(6òòthóó€Cir.€1997).€€Ð  œ Ðà  àSuccess€is€not€a€prerequisite€to€conviction€under€any€of€the€clauses€of€section€1503.€€AllÐ b þ Ðthat€must€be€proved€is€that€the€defendant€"corruptly€endeavored"€to€obstruct€justice.€€òòUnitedÐ N ê ÐStates€v.€Aguilaróó,€515€U.S.€593,€599€(1995);€òòUnited€States€v.€Russellóó,€255€U.S.€138,€143€(1921);Ð :Ö  ÐòòUnited€States€v.€Jacksonóó,€607€F.2d€1219,€1222-23€(8òòthóó€Cir.€1979);€òòUnited€States€v.€McCartyóó,€611Ð &  ÐF.2d€220,€224€(8th€Cir.€1979).Ð ®  Ðà  àEndeavor€defined.Ð t  Ðà  àThe€Seventh€Circuit€Model€Instructions€include€the€following€definitions€of€endeavor:Ð Ör  Ðà0  àà ` àòòInfluencing€„€Definition€of€Endeavor.óó€€The€word€endeavor€describes€any€effort€orÐ 8Ô  Ðact€to€influence€[a€witness,€a€juror,€an€officer€in€or€of€any€court€of€the€United€States].€€TheÐ $À Ðendeavor€need€not€be€successful,€but€it€must€have€at€least€a€reasonable€tendency€toÐ ¬ Ðimpede€the€[witness,€juror,€officer]€in€the€discharge€of€his€duties.Ðü˜(#(# Ðà0  àà ` àòòObstruction€of€Justice€Generally€„€Definition€of€Endeavor.óó€€The€word€endeavorÐ ^ú Ðdescribes€any€effort€or€act€to€influence,€obstruct,€or€impede€the€due€administration€ofÐ Jæ Ðjustice.€€The€endeavor€need€not€be€successful,€but€it€must€have€at€least€a€reasonableÐ 6Ò Ðtendency€to€influence,€obstruct,€or€impede€the€due€administration€of€justice.Ð"¾(#(# ÐòòSeventh€Circuit€Federal€Jury€Instructions€Criminalóó€(1999).Ð „  Ðà  àIn€òòUnited€States€v.€Cioffióó,€493€F.2d€1111,€1119€(2d€Cir.€1974),€"endeavor"€was€definedÐ æ‚ Ðfor€the€jury€as€"any€effort€or€any€act,€however€contrived,€to€obstruct,€impede€or€interfere€.€.€.€."€Ð Òn Ðà  àIn€òòUnited€States€v.€Silvermanóó,€745€F.2d€1386,€1396€n.12€(11th€Cir.€1984),€the€definitionÐ 4 Ð  Ðof€endeavor€was€altered€to€correspond€to€that€case's€definition€of€"corruptly.ðð€€ð ð[E]ndeavor€meansÐ  !¼! Ðto€undertake€an€act€or€to€attempt€to€effectuate€an€arrangement€or€to€try€to€do€something,€theÐ  "¨" Ðnatural€and€probable€consequences€of€which€is€to€influence,€obstruct€or€impede€the€dueÐ ø"”# Ðadministration€of€justice.ððÐ ä#€$ Ðà  àð ðCorruptlyðð€requirement.€€The€defendant€must€have€acted€"corruptly"€in€order€to€violateÐ F%â& Ðthe€first€and€last€clauses€of€section€1503.€€"Corruptly"€applies€as€an€alternative€to€threats€or€forceÐ 2&Î' Ðor€threatening€letter€or€communication.€€òòSeeóó€òòUnited€States€v.€Cioffióó,€493€F.2d€1111,€1118€n.2€(2dÐ 'º ( ÐCir.€1974).€€Instruction€6.18.1503A€covers€corrupt€endeavors€to€influence€jurors€and€InstructionÐ  (¦!) Ð6.18.1503B,€òòinfraóó,€covers€threats€and€force.€€Instruction€6.18.1503C,€òòinfraóó,€covers€conductÐ ö(’"* Ðviolating€the€last€or€"omnibus"€clause€of€section€1503.€Ð â)~#+ Ðà  àThe€ð ðcorruptlyðð€requirement€incorporates€the€scienter€element€of€the€statute.€€That€said,Ð D+à$- Ðcourts€have€defined€the€mental€state€required€by€the€word€"corruptly"€within€at€least€fourÐ 0,Ì%. Ðdifferent,€but€often€overlapping,€categories:€€a.€intent€to€influence€or€obstruct€justice;€b.€intent€toÐ d Ðdo€the€act€which€results€in€obstruction;€c.€wicked€or€evil€purpose;€and€d.€"per€se"€corruption.€€AsÐ Pì Ðthe€court€noted€in€òòUnited€States€v.€Bradyóó,€168€F.3d€574,€578€(1òòstóó€Cir.€1999),€a€case€involving€aÐ <Ø Ðrefusal€to€testify,:Ð ( Ä Ðà0  àà ` àThe€scienter€element€in€the€obstruction€statute€is€the€subject€of€more€confusingÐ Š & Ðcase€law€than€can€be€described€in€brief€compass.€€In€part,€this€results€from€theÐ v  Ðpromiscuous€use€in€the€cases€of€the€ambiguous€word,€ð ðintent,ðð€which€can€mean€eitherÐ b þ Ðòòknowledgeóó€(of€consequences)€or€òòpurposeóó€(to€achieve€them);€in€part,€it€results€from€theÐ N ê Ðgreat€range€of€varying€motives€that€can€underlie€a€refusal€to€testify€(e.g.,€loyalty€of€variousÐ :Ö  Ðkinds,€concern€as€to€reputation,€fear€of€reprisal,€concern€about€self„incrimination.)€Ð &  ÐFurther,€cases€that€purport€to€be€setting€legal€standards€are€often€instead€concerned€withÐ ®  Ðthe€inferences€to€be€drawn€from€particular€facts.Ðþš (#(# Ðà  àThe€term€ð ðspecific€intent"€is€found€in€many€definitions€of€"corruptly,"€including€oneÐ `ü  Ðapproved€by€the€Eighth€Circuit:€€ð ðIn€this€case,€the€word€ððcorruptlyðð€means€willfully,€knowinglyÐ Lè  Ðand€with€specific€intent€to€influence€a€juror€to€abrogate€his€or€her€legal€duties€as€petit€juror.ðð€Ð 8Ô  ÐòòUnited€States€v.€Jacksonóó,€607€F.2d€at€1221-22.€€òòSee€alsoóó€òòUnited€States€v.€Quinnóó,€543€F.2d€640,Ð $À Ð647€(8th€Cir.€1976).€€òòBut€see€United€States€v.€Gageóó,€183€F.3d€711,€718„19€(7òòthóó€Cir.€1999)€(ChiefÐ ¬ ÐJudge€Posner,€concurring)€(ðð€1503€does€not€require€specific€intent).Ð ü˜ Ðà  àThe€most€common€formulation€of€a€definition€of€ð ðcorruptlyðð€includes€language€that€theÐ ^ú Ðobstructive€act€must€be€done€with€the€intent€to€influence€judicial€or€grand€jury€proceedings.€€AsÐ Jæ Ðstated€in€òòUnited€States€v.€Aguilaróó,€515€U.S.€at€616,€ð ð[corruptly]€denotes€ðð[a]n€act€done€with€anÐ 6Ò Ðintent€to€give€some€advantage€inconsistent€with€official€duty€and€the€rights€of€others.€.€.€.€€ItÐ "¾ Ðincludes€bribery€but€is€more€comprehensive;€because€an€act€may€be€corruptly€done€though€theÐ ª Ðadvantage€to€be€derived€from€it€be€not€offered€by€another.ðððð€(J.€Scalia,€joined€by€J.€Kennedy€andÐ ú– ÐThomas,€concurring,€in€part,€and€dissenting,€in€part)€(internal€cites€omitted).Ð æ‚ Ðà  àð ð[I]f€the€defendant€lacks€knowledge€that€his€actions€are€likely€to€affect€the€judicialÐ Hä Ðproceeding,€he€lacks€the€requisite€intent€to€obstruct.ðð€€òòId.óó€€Intent€can€be€inferred€where€theÐ 4 Ð Ðobstruction€is€a€natural€consequence€of€another€intended€act.€€òòPettibone€v.€United€Statesóó,€148Ð  !¼ ÐU.S.€at€207;€òòUnited€States€v.€Jacksonóó,€607€F.2d€at€1221.Ð  "¨  Ðà  àšVol.€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rìy#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r6z#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r}z#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÌz#Ô:€Ð n# " ÐCriminal€ðð48.04€(5th€ed.€2000),€provides€the€following€definition:€€ð ð[t]o€act€ððcorruptlyðð€as€thatÐ Z$ö# Ðword€is€used€in€these€instructions€means€to€act€voluntarily€and€deliberately€and€for€the€purpose€ofÐ F%â$ Ðimproperly€influencing,€or€obstructing,€or€interfering€with€the€administration€of€justice.ððÐ 2&Î% Ðà  àThe€Seventh€Circuit€has€approved€the€following€instruction:Ð ”'0!' Ðà0  àCorruptly€means€to€act€with€the€purpose€of€obstructing€justice.€€The€United€States€is€notÐ ö(’") Ðrequired€to€prove€that€the€defendantððs€only€or€even€main€purpose€was€to€obstruct€the€dueÐ â)~#* Ðadministration€of€justice.€€The€government€only€has€to€establish€that€the€defendant€shouldÐ Î*j$+ Ðhave€reasonably€seen€that€the€natural€and€probable€consequences€of€his€acts€was€theÐ º+V%, Ðobstruction€of€justice.€€Intent€may€be€inferred€from€all€of€the€surrounding€facts€andÐ d ÐÔ& : Ôcircumstances.€€Any€act,€by€any€party,€whether€lawful€or€unlawful€on€its€face,€may€violateÐ Pì Ðsection€1503€if€performed€with€a€corrupt€motive.Ð<Ø(#(# ÐòòUnited€States€v.€Cuetoóó,€151€F.3d€620,€630„31€(7òòthóó€Cir.€1998).Ô':P%ÔÐ  ž : ÐÖ€ÒÐì ÖÓ €Óà@„„ ìàò òÔ% €c ÔÔ  Ô6.18.1503B.€€INFLUENCING€A€JUROR€BY€THREATS€(18€U.S.C.€ðð€1503)Ô ti«€Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€influencing€a€juroròò1óó€by€threats,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,Ð <Ø Ðhas€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€(name€of€juror)€was€a€[grand]€juror€in€(describe€judicial€proceeding);òò2óó€Ð  œ Ðà  àòòTwoóó,€the€defendant€knew€that€(describe€judicial€proceeding)€was€pending;€and€Ð b þ Ðà  àòòThreeóó,€that€the€defendant€endeavoredòò3óó€to€[influence]€[intimidate]€[impede]€(name€of€juror)Ð Ä `  Ðin€the€discharge€of€his€duty€as€a€[grand]€juror€by€[threats]€[force]€[threatening€letter]€[threateningÐ &  Ðcommunication].€Ð ˆ$  Ðà  à[Four,€(state€the€sentencing€fact€that€triggers€a€higher€maximum€sencence,òò4óó€e.g.,€the€crimeÐ ê†  Ðunder€consideration€by€the€juror€was€(name€the€Class€A€or€Class€B€felony€chargedòò5óó).]Ð Lè  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ®J ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€This€clause€of€the€statute€also€applies€to€officers€of€the€court€and€certain€otherÐ r Ðofficials.€Ð ^ú ÐÔ'œ¥…Ôà  à2.€€The€instruction€is€designed€for€the€usual€case€in€which€the€pendency€of€a€judicialÐ À\ Ðproceeding€is€undisputed.€€If€this€question€is€disputed,€it€should€be€submitted€to€the€jury€underÐ ¬H Ðproper€definitional€instructions.€€òòóóÐ ˜4 Ðà  à3.€€The€jury€should€be€instructed€on€the€meaning€of€"endeavor."€€òòSeeóó€CommitteeÐ ú– ÐComments,€Instruction€6.18.1503A,€òòsupraóó,€for€possible€definitions.€Ð æ‚  Ðà  à4.€€Section€1503(b)€creates€enhanced€penalties€where€a€juror€is€killed,€where€an€attemptÐ Hä" Ðon€the€life€of€a€juror€failed,€or€where€the€offense€was€committed€against€a€petit€juror,€in€a€case€inÐ 4 Ð# Ðwhich€a€class€A€or€B€felony€was€charged.€€In€òòJones€v.€United€Statesóó,€526€U.S.€227€(1999),€dealingÐ  !¼$ Ðwith€a€carjacking€offense€under€18€U.S.C.€ðð€2119,€the€Supreme€Court€stated,€in€footnote€6,Ð  "¨% Ðð ð[u]nder€the€Due€Process€Clause€of€the€Fifth€Amendment€and€the€notice€and€jury€trial€guaranteesÐ ø"”& Ðof€the€Sixth€Amendment,€any€fact€(other€than€prior€conviction)€that€increases€the€maximumÐ ä#€' Ðpenalty€for€a€crime€must€be€charged€in€an€indictment,€submitted€to€a€jury,€and€proven€beyond€aÐ Ð$l( Ðreasonable€doubt.ðð€€The€Supreme€Court€made€clear€in€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466Ð ¼%X) Ð(2000),€that€the€principle€it€enunciated€in€òòJonesóó€was€a€rule€of€constitutional€law€applicable€to€allÐ ¨&D * Ðprosecutions.€€Ð ”'0!+ Ðà  à5.€€If€a€killing€or€attempted€killing€is€charged,€òòseeóó€Instructions€6.18.1111,€6.18.1112,€andÐ ö(’"- Ðâ â8.01€(attempt).Ð â)~#. ÐÔ& N Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€€Committee€Comments,€Instruction€6.18.1503A,€òòsupraóó.€Ô'Nd–ÔÐ  Æb ÐÖ€ÔÒì¡ÖÖ€ÕÔì¢ÖÓ €Óà@k k ìàò òÔ% €e ÔÔ  Ô6.18.1503C.€€OBSTRUCTION€OF€JUSTICE€(18€U.S.C.€ðð€1503)Ô Ý ÄŽÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€obstruction€of€justiceòò1óó,€as€charged€in€[Count€_____€of]€the€indictment,€hasÐ <Ø Ðthree€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€(describe€conduct€and€judicial€proceedingòò2óó,€e.g.,€destroyed€documentsÐ  œ Ðwhich€had€been€subpoenaed€in€an€investigation€by€a€federal€grand€jury);€Ð b þ Ðà  àòòTwoóó,€the€defendant€knew€that€(describe€judicial€proceeding)€was€pending;€and€Ð Ä `  Ðà  àòòThreeóó,€by€(describe€conduct,€e.g.,€destroying€said€documents),€the€defendant€corruptlyòòóóÐ &  Ðendeavoredòò3óó€to€[influence]€[obstruct]€[impede]€the€due€administration€of€justice.€Ð ˆ$  Ðà  à[Four,€(state€the€sentencing€fact€that€triggers€a€higher€maximum€sencence,òò4óó€e.g.,€the€crimeÐ ê†  Ðunder€consideration€by€the€juror€was€(name€the€Class€A€or€Class€B€felony€chargedòò5óó).]Ð Lè  ÐÓ €Óà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÐ ®J ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€"Obstruction€of€justice"€refers€to€the€conduct€barred€by€the€last€clause€of€section€1503,Ð r Ðknown€as€the€omnibus€clause.€Ð ^ú ÐÔ'œÚ“Ôà  à2.€€This€instruction€is€designed€for€the€usual€case€in€which€the€pendency€of€a€judicialÐ À\ Ðproceeding€is€undisputed.€€If€this€question€is€disputed,€it€should€be€submitted€to€the€jury€underÐ ¬H Ðproper€definitional€instructions.€€òòóó€Ð ˜4 Ðà  à3.€€The€jury€should€be€instructed€on€the€meaning€of€"corruptly€endeavored"€in€this€statute.€Ð ú– ÐAs€the€discussion€in€the€Committee€Comments,€Instruction€6.18.1503A,€òòsupraóó,€illustrates,€no€oneÐ æ‚  Ðdefinition€has€been€agreed€on€and€different€definitions€may€apply€to€different€factual€situations.€Ð Òn! ÐA€definition€which€best€suits€the€case€should€be€formulated€and€used.€€It€should€include€an€intentÐ ¾Z" Ðto€act€and€knowledge€that€obstruction€would€or€could€result€from€such€act.€€"[T]he€act€must€haveÐ ª F# Ða€relationship€in€time,€causation€or€logic€with€the€judicial€proceedings,"€and€"if€the€defendantÐ –!2$ Ðlacks€knowledge€that€his€actions€are€likely€to€affect€the€judicial€proceeding,€he€lacks€the€requisiteÐ ‚"% Ðintent€to€obstruct."€€òòUnited€States€v.€Aguilaróó,€515€U.S.€593,€€599€(1995).€€The€CommitteeÐ n# & Ðrecommends€that€in€formulating€a€definition€of€"corruptly€endeavored,"€words€such€asÐ Z$ö' Ð"knowingly,"€"willfully"€and€"specific€intent"€not€be€used€in€favor€of€words€which€preciselyÐ F%â( Ðdescribe€the€mental€state€involved.€€òòSeeóó€Instructions€7.01-.03,€òòinfraóó.€Ð 2&Î) Ðà  à4.€€Section€1503(b)€creates€enhanced€penalties€where€a€juror€is€killed,€where€an€attemptÐ ”'0!+ Ðon€the€life€of€a€juror€failed,€or€where€the€offense€was€committed€against€a€petit€juror,€in€a€case€inÐ €(", Ðwhich€a€class€A€or€B€felony€was€charged.€€In€òòJones€v.€United€Statesóó,€526€U.S.€227€(1999),€dealingÐ l)#- Ðwith€a€carjacking€offense€under€18€U.S.C.€ðð€2119,€the€Supreme€Court€stated,€in€footnote€6,Ð X*ô#. Ðð ð[u]nder€the€Due€Process€Clause€of€the€Fifth€Amendment€and€the€notice€and€jury€trial€guaranteesÐ D+à$/ Ðof€the€Sixth€Amendment,€any€fact€(other€than€prior€conviction)€that€increases€the€maximumÐ 0,Ì%0 Ðpenalty€for€a€crime€must€be€charged€in€an€indictment,€submitted€to€a€jury,€and€proven€beyond€aÐ d Ðreasonable€doubt.ðð€€The€Supreme€Court€made€clear€in€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466Ð Pì Ð(2000),€that€the€principle€it€enunciated€in€òòJonesóó€was€a€rule€of€constitutional€law€applicable€to€allÐ <Ø Ðprosecutions.€€Ð ( Ä Ðà  à5.€€If€a€killing€or€attempted€killing€is€charged,€òòseeóó€Instructions€6.18.1111,€6.18.1112,€andÐ Š & Ð8.01€(attempt).Ð v  ÐÔ&  Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ø t Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1503A,€òòsupraóó;òòóó€òòUnited€States€v.€Frankóó,€354Ð :Ö  ÐF.3d€910€(8òòthóó€Cir.€2004);€òòUnited€States€v.€Russellóó,€234€F.3d€404€(8òòthóó€Cir.€2000);€òòUnited€States€v.Ð &  ÐNovakóó,€217€F.3d€566€(8òòthóó€Cir.€2000);€òòUnited€States€v.€Lefkowitzóó,€125€F.3d€608€(8òòthóó€Cir.€1997);òòÐ ®  ÐUnited€States€v.€McKnightóó,€799€F.2d€443,€446€(8th€Cir.€1986).Ô'Ø  ÔÐ þš  Ðòòóóà  àThe€omnibus€clause€of€section€1503€applies€to€witnesses€and€prospective€witnesses€whereÐ `ü  Ðthere€is€a€pending€judicial€proceeding.€€òòUnited€States€v.€Riskenóó,€788€F.2d€1361,€1367-68€(8th€Cir.Ð Lè  Ð1986);€òòUnited€States€v.€Shannonóó,€836€F.2d€1125,€1128€(8th€Cir.€1988).€€The€Eighth€Circuit€hasÐ 8Ô  Ðheld€that€the€witness€need€not€be€actually€scheduled€to€testify€nor€must€he€or€she€actually€giveÐ $À Ðtestimony€at€a€later€time.€€òòShannonóó,€òòid.óó€€However,€in€òòUnited€States€v.€Aguilaróó,€515€U.S.€€at€601€,Ð ¬ Ðthe€Supreme€Court€held€that€the€giving€of€false€testimony€to€"an€investigating€agent€who€ha[d]Ð ü˜ Ðnot€been€subpoenaed€or€otherwise€directed€to€appear€before€the€grand€jury"€was€not€a€violation€ofÐ è„ Ðthis€section.Ð  Ôp ÐÖ€×Õì£ÖÓ €Óà@UUìàò òÔ% €g ÔÔ  Ô6.18.1510.€€OBSTRUCTION€OF€CRIMINAL€INVESTIGATIONS€(18€U.S.C.€ðð1510(a))Ô e"&¦Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€obstructing€a€criminal€investigation€by€bribery,€as€charged€in€[Count€òò€€€óó€of]Ð <Ø Ðthe€indictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€[believed]òò1óó€[knew]€that€(name€of€person)€had€information€relating€toÐ  œ Ð(describe€violation€of€a€federal€criminal€statute,€e.g.,€theft€of€Government€property);€Ð b þ Ðà  àòòTwoóó,€the€defendant€[believed]€[knew]€that€(name€of€person)€might€communicate€theÐ Ä `  Ðinformation€to€[a€federal€criminal€investigator]€[an€agent€of€the€(name€of€federal€agency,€e.g.,Ð &  ÐFederal€Bureau€of€Investigation)]òò2óó;€andÐ ˆ$  Ðà  àòòThreeóó,€the€defendant€voluntarily€and€intentionally€endeavoredòò3óó€to€[obstruct]€[delay]Ð ê†  Ð[prevent]€the€communication€of€the€information€to€[a€federal€criminal€investigator]€[an€agent€ofÐ Lè  Ðthe€(name€of€federal€agency,€e.g.,€Federal€Bureau€of€Investigation)]òò4óó€by€[giving]€[offering]Ð ®J Ð[promising]€something€of€valueòò5óó€to€(name€of€person).Ð ¬ Ðà  à[A€"federal€criminal€investigator,"€as€used€in€this€instruction,€is€any€individual€dulyÐ r Ðauthorized€by€a€department,€agency,€or€armed€force€of€the€United€States€to€investigate€orÐ Ôp Ðprosecute€violations€of€federal€criminal€law.]òò6óóÐ 6Ò Ðà  à[To€"endeavor"€means€to€make€any€effort,€regardless€of€success.]òò3óóÐ ˜4 Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ú–  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ \ø" Ðà  à1.€€"[I]t€is€only€necessary€for€a€defendant€to€have€believed€that€a€witness€might€giveÐ ¾Z$ Ðinformation€to€federal€officials,€and€to€have€prevented€this€communication,€to€violate€18€U.S.C.Ð ª F% ÐÔ'&\ ­Ôðð1510."€€òòUnited€States€v.€Leisureóó,€844€F.2d€1347,€1364€(8th€Cir.€1988).€Ð –!2& Ðà  à2.€€The€defendant€must€know€or€believe€that€the€intended€recipient€of€the€information€is€aÐ ø"”( Ðfederal€investigator.€€òòUnited€States€v.€Williamsóó,€470€F.2d€1339,€1342€(8th€Cir.€1973).Ð ä#€) Ðà  à3.€€The€statute€says,€"Whoever€willfully€òòendeavorsóó€by€means€of€bribery€to€obstruct.€.€.€."€Ð F%â+ Ð[Emphasis€added.]€€The€Committee€recommends€that€the€instruction€include€the€followingÐ 2&Î, Ðdefinition:€€"To€ððendeavorðð€means€to€make€any€effort,€regardless€of€success."€€òòSee€United€StatesÐ 'º - Ðv.€Russellóó,€255€U.S.€138€(1921),€òòquoted€in€Osborn€v.€United€Statesóó,€385€U.S.€323,€333€(1966),Ð  (¦!. Ðòòand€in€Jackson€v.€United€Statesóó,€444€U.S.€1080€(1980).€€An€"endeavor"€to€obstruct€can€be€lessÐ ö(’"/ Ðâ âthan€an€"attempt."€€òòSeeóó€discussion€in€òòUnited€States€v.€Leisureóó,€844€F.2d€at€1366.Ð â)~#0 Ðà  à4.€€If€the€evidence€shows€that€the€defendant€endeavored€to€obstruct€communication€to€aÐ d Ðparticular€agency€or€investigator,€such€agency€or€investigator€can€be€described€in€elements€OneÐ Pì Ðand€Two.Ð <Ø Ðâ âà  à5.€€òòSeeóó€Instruction€6.18.201A.Ð ž : Ðà  à6.€€"Criminal€investigator"€should€be€defined€if€the€term€is€used€in€elements€One€andÐ  œ ÐTwo.€The€definition€paraphrases€the€language€in€18€U.S.C.€ðð€1510(c).Ð ì ˆ ÐÔ& ˆ Ôà@55!ìàò òCommittee€Commentsó óˆÐ N ê  Ðà  àòòSeeóó€2€J.€Potuto,€S.€Saltzburg€&€H.€Perlman,€FòòEDERALóó€CòòRIMINALóó€JòòURYóó€IòòNSTRUCTIONSóó,Ð °L  Ððð51.07€(2d€ed.€1993€Supp.);€1A€L.€Sand,€et€al.,€MòòODERNóó€FòòEDERALóó€JòòURYóó€IòòNSTRUCTIONSóó,€ðð46.03Ð œ8  Ð(1995).Ð ˆ$  ÐÔ'ˆN ;µÔà  àSection€1510(a)€is€limited€to€obstruction€by€means€of€bribery€after€amendments€by€theÐ ê†  ÐVictim€and€Witness€Protection€Act,€effective€October€12,€1982.€€òòUnited€States€v.€Leisureóó,€844Ð Ör  ÐF.2d€1347,€1364€(8th€Cir.€1988).€€Obstruction€of€justice€by€means€of€threats€or€intimidation€isÐ Â^  Ðcovered€by€18€U.S.C.€ðð€1512.€€òòId.óóÐ ®J Ðà  àThe€instruction€does€not€require€proof€that€the€defendant€had€knowledge€of€an€actualÐ ¬ Ðcriminal€investigation.€€òòSeeóó€òòUnited€States€v.€Leisureóó€and€Note€1,€òòsupraóó.€€The€Seventh€Circuit€hasÐ ü˜ Ðremarked,€in€òòdictaóó,€that,€"It€is€unclear,€however,€whether€the€statute€is€applicable€if€there€is€noÐ è„ Ðcriminal€investigation€known€to€be€in€progress."€€òòUnited€States€v.€Van€Engelóó,€15€F.3d€623,€627Ð Ôp Ð(7th€Cir.€1993)€(citing€òòUnited€States€v.€Dalyóó,€842€F.2d€1380,€1390„91€(2d€Cir.€1988),€òòLeisureóó€andÐ À\ ÐòòUnited€States€v.€Carzolióó,€447€F.2d€774,€779€(7th€Cir.€1971)€("An€element€of€[a€ðð€1510€offense]€isÐ ¬H Ðan€actual,€existing€investigation€of€possible€violation€of€a€criminal€statute.")).€€òòCf.€United€StatesÐ ˜4 Ðv.€Aguilaróó,€515€U.S.€593,€599€(1995)€(not€a€violation€of€18€U.S.C.€ðð€1503€to€give€falseÐ „  Ðinformation€to€an€FBI€agent€without€proof€that€the€defendant€knew€his€actions€were€likely€toÐ p  Ðaffect€a€grand€jury€proceeding).Ð  \ø ÐÖ€Ù×ì¤ÖÓ €Óà@(( ìàò òÔ% €j ÔÔ  Ô6.18.1512.€€TAMPERING€WITH€A€WITNESS€(18€U.S.C.€ðð€1512(b)(1))Ô 15G½Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€tampering€with€a€witness,òò1óó€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€hasÐ <Ø Ðtwo€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€knowingly€used€[intimidation]òò2óó€[threats]€[corrupt€persuasion]òò3óó€againstÐ  œ Ð(name€of€witness);€and€Ð b þ Ðà  àòòTwoóó,€the€defendant€did€so€with€intent€to€[influence]€[delay]€[prevent]€the€testimony€ofÐ Ä `  Ð(name€of€witness)€in€(insert€title€of€official€proceeding).òò4,€5,€6óó€Ð &  Ðà  à[To€"intimidate"€someone€means€intentionally€to€say€or€do€something€that€would€cause€aÐ ˆ$  Ðperson€of€ordinary€sensibilities€to€be€fearful€of€harm€to€himself€or€another.€€It€is€not€necessary€forÐ ê†  Ðthe€Government€to€prove€that€(name€of€witness)€was€actually€frightened.]Ð Lè  Ðà  à[To€corruptly€persuade€someone€means€to€persuade€with€consciousness€of€wrongdoing.]Ð ®J Ðà  à[To€act€with€"intent€to€influence"€the€testimony€of€a€person€means€to€act€for€the€purposeÐ ¬ Ðof€getting€the€person€to€change€or€color€or€shade€his€or€her€testimony€in€some€way.€€It€is€notÐ r Ðnecessary€for€the€Government€to€prove€that€the€person's€testimony€was,€in€fact,€changed€in€anyÐ Ôp Ðway.]€Ð 6Ò Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð ˜4 ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ú–  Ðà  à1.€€The€form€chosen€for€this€model€instruction€deals€only€with€certain€violations€under€theÐ \ø" Ðstatute€as€set€forth€in€18€U.S.C.ðð1512(b)(1).€€As€amended€in€2002€(òòseeóó€Pub.€L.€No.€107„273,Ð Hä# ÐÔ'&úÄÔðð3001,€116€Stat.€1758€(2002)),€section€1512(a)(1)€prohibits€the€killing€or€attempting€to€kill€aÐ 4 Ð$ Ðwitness€and€other€tampering€involving€an€attempt€to€kill€another€person;€section€1512(a)(2)Ð  !¼% Ðprohibits€the€use€of€physical€force€or€the€threat€of€physical€force€in€connection€with€witnessÐ  "¨& Ðtampering€and€other€activities;€section€1512(b)(1),€(2),€and€(3)€also€prohibit€other€forms€ofÐ ø"”' Ðwitness€tampering;€section€1512(c)€prohibits€the€destruction€of€evidence€(òòseeóó€Pub.€L.€No.€107„Ð ä#€( Ð204,€ðð1102,€116€Stat.€1745€(2002));€and€section€1512(d)€sets€forth€a€misdemeanor€offense€ofÐ Ð$l) Ðintentionally€harassing€another€person.€€For€offenses€committed€prior€to€the€2002€Amendments€toÐ ¼%X* Ðthe€staÔ_ÔtutesÔ_Ô,€this€instruction€should€be€modified€to€reflect€the€statute€as€it€was€worded€prior€to€theÐ ¨&D + Ð2002€Amendments.€€Where€other€types€of€violations€are€involved,€it€will€be€necessary€to€changeÐ ”'0!, Ðthe€form€of€the€elements,€and€it€may€be€necessary€to€add€other€elements€as€well.€Ð €("- Ðà  à2.€€Title€18€U.S.C.€ðð1512(b)(1)€specifically€prohibits€attempts€to€violate€the€statute.€€If€anÐ â)~#/ Ðattempt€offense€is€submitted,€this€instruction€must€be€appropriately€modified.€€òòSeeóó€InstructionÐ Î*j$0 Ð8.01€of€these€Model€Jury€Instructions.Ð º+V%1 Ðà  à3.€€Under€18€U.S.C.€ðð1515(a)(6),€the€term€ð ðððcorrupt€persuasionðð€does€not€include€conductÐ d Ðwhich€would€be€misleading€conduct€but€for€a€lack€of€a€state€of€mind.ðð€€There€must€beÐ Pì Ðconsciousness€of€wrongdoing.€€òòSee€Arthur€Anderson€v.€United€Statesóó,€544€U.S.€696€(2005).€€Ð <Ø Ðà  à4.€€"Official€proceeding"€is€defined€in€18€U.S.C.€ðð€1515(a)(1).€€The€defendant€need€notÐ ž : Ðknow€that€the€proceeding€was€a€federal€proceeding.€€Further,€it€is€not€necessary€that€a€proceedingÐ Š & Ðactually€be€pending€or€about€to€be€instituted.€€òòSeeóó€18€U.S.C.€ðð€1512(n)(1)€and€(g)(1).€€AdditionalÐ v  Ðdefinitions€are€contained€in€18€U.S.C.€ðð€1515.€€The€defendant€must,€however,€contemplate€someÐ b þ Ðparticular€official€proceeding€in€which€the€testimony€might€be€material.€€òòSee€Arthur€Anderson€v.Ð N ê ÐUnited€Statesóó,€544€U.S.€696€(2005),€and€òòUnited€States€v.€Aguilaróó,€515€U.S.€593,€599€(1995).€€Ð :Ö  Ðà  à5.€€This€crime€allows€for€an€enhancement€of€punishment€where€the€violation€ð ðoccurs€inÐ œ8  Ðconnection€with€a€trial€of€a€criminal€case.ðð€€18€U.S.C.€ðð1512(j).€€In€such€cases,€therefore,€theÐ ˆ$  Ðsecond€element€of€the€offense€should€specify€that€the€official€proceeding€was€a€trial€of€a€criminalÐ t  Ðcase.Ð `ü  Ðà  à6.€€Title€18€U.S.C.€ðð1512(e)€provides:€€ð ðIn€a€prosecution€for€an€offense€under€thisÐ Â^  Ðsection,€it€is€an€affirmative€defense,€as€to€which€the€defendant€has€the€burden€of€proof€by€aÐ ®J Ðpreponderance€of€the€evidence,€that€the€conduct€consisted€solely€of€lawful€conduct€and€that€theÐ š6 Ðdefendantððs€sole€intention€was€to€encourage,€induce,€or€cause€the€other€person€to€testifyÐ †" Ðtruthfully.ðð€€Section€1515(c)€states:€€ð ðThis€chapter€does€not€prohibit€or€punish€the€providing€ofÐ r Ðlawful,€bona€fide,€legal€representation€services€in€connection€with€or€in€anticipation€of€an€officialÐ ^ú Ðproceeding.ðð€€These€affirmative€defenses€should€be€submitted€under€appropriate€instructions€toÐ Jæ Ðthe€jury€if€there€are€facts€to€support€these€defenses€at€trial.€€òòSeeóó€ðð9.00€of€these€PatternÐ 6Ò ÐInstructions€(affirmative€defenses).Ð "¾ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ „  ÐÔ'N„æÔÔà  àòòSeeóó€18€U.S.C.€ðððð€1512(f)(g)€and€(i)€and€18€U.S.C.€ðð€1515€for€provisions€which€define€orÐ æ‚ ÐmodiÔ_ÔfyÔ_Ô€this€statute.€Ð Òn Ðà  àBefore€1982,€tampering€with€and€retaliation€against€federal€witnesses€was€coveredÐ 4 Ð Ðexclusively€by€18€U.S.C.€ðð€1503.€€òòSeeóó€Instructions€6.18.1503A€and€6.18.1503B,€òòsupraóó.€€Now,Ð  !¼  Ðthese€offenses€are€specifically€proscribed€by€18€U.S.C.€ðððð€1512€and€1513.€€Section€1512€wasÐ  "¨! Ðintended€to€provide€greater€protection€for€witnesses€than€did€section€1503;€however,€section€1503Ð ø"”" Ðstill€applies€to€certain€types€of€conduct€involving€witnesses.€€òòSeeóó€òòUnited€States€v.€Riskenóó,€788Ð ä#€# ÐF.2d€1361,€1365-69€(8th€Cir.€1986),€for€an€extensive€analysis€and€comparison€of€the€respectiveÐ Ð$l$ Ðscopes€of€sections€1503€and€1512.€Ð ¼%X% Ðà  àIt€is€not€necessary€that€the€victim€be€under€subpoena€or€a€scheduled€witness€in€a€case.€Ð 'º ' ÐThe€statute€purposely€uses€the€term€"person"€instead€of€"witness."€€òòUnited€States€v.€Riskenóó,€788Ð  (¦!( ÐF.2d€at€1368-69€(dismissed€witness).€€Ð  ö(’") ÐÖ€ÝÙì¥ÖÓ €Óà@ ìàò òÔ% €l ÔÔ  Ô6.18.1513.€€RETALIATING€AGAINST€A€WITNESS€(18€U.S.C.€ðð€1513)Ô ff—ÚÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€retaliating€against€a€witness,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€hasÐ <Ø Ðtwo€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€knowingly€[caused]€[threatened€to€cause]€[bodily€injury€to]€[damaged]Ð  œ Ð[threatened€to€damage]€[the€tangible€property€of]€(name€of€witness);€and€Ð b þ Ðà  àòòTwoóó,€the€defendant€did€so€with€intent€to€retaliate€against€(name€of€witness)€because€[he]Ð Ä `  Ð[she]€had€been€a€[witness]€[party]€at€(insert€title€of€official€proceeding).òò1óó€Ð &  Ðà  à[(Describe€tangible€property)€is€tangible€property].òò2óó€Ð ˆ$  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ê†  ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Lè  Ðà  à1.€€"Official€proceeding"€is€defined€in€18€U.S.C.€ðð€1515(a)(1).€Ð ®J ÐÔ'°L¢ÞÔà  à2.€€"Tangible€property"€is€not€defined€in€the€Act.€€Ð ¬ ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ r Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1512,€òòsupraóó.€€òòSee€generallyóó€òòUnited€States€v.Ð Ôp ÐMaggittóó,€784€F.2d€590,€593-94€(5th€Cir.€1986);€òòUnited€States€v.€Velasquezóó,€772€F.2d€1348,Ð À\ Ð1356-58€Ô'&r´ßÔ(7th€Cir.€1985).€€Definitions€are€contained€in€18€U.S.C.€ðð€1515.€Ð  ¬H ÐÓ €ÓšÖ€ßÝì¦Öà@) ) ìàò òÔ% €n ÔÔ  Ô6.18.1621.€€PERJURY€(18€U.S.C.€ðð€1621)Ô ffÂáÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€perjury,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€five€elements,€whichÐ <Ø Ðare:€Ð ž : Ðà  àòòOneóó,€the€defendant€testified€under€[oath]€[affirmation]€(describe€proceeding,€e.g.,€at€theÐ  œ Ðtrial€of€òòSmith€v.€Jonesóó)€that€(insert€alleged€false€testimony);€Ð b þ Ðà  àòòTwoóó,€the€testimony€so€given€was€false;òò€1óó€Ð Ä `  Ðà  àòòThreeóó,€at€the€time€he€testified,€the€defendant€knew€such€testimony€was€false;€€Ð &  Ðà  àòòFouróó,€the€defendant€voluntarily€and€intentionallyòò€2óó€gave€such€testimony;€andÐ ˆ$  Ðà  àòòFiveóó,€the€false€testimony€was€material.òò3óóÐ ê†  Ðà  àFalse€testimony€is€ð ðmaterialðð€if€the€testimony€is€capable€of€influencing€(insert€name€ofÐ Lè  Ðtribunal,€etc.)€on€the€issue€before€it.€Ð ®J Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09.€òòsupraóó.)€Ó€ÓÓ €ÓÐ ¬ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€In€many€cases,€more€than€one€specification€of€perjury€or€more€than€one€falseÐ Ôp Ðdeclaration€is€charged€in€a€single€count€of€an€indictment.€€Typically€these€charges€are€in€theÐ À\ Ðdisjunctive.€€In€those€Ô'&r±æÔcases,€the€jury€should€be€instructed€as€follows:€€Ð ¬H Ðà0  àYou€need€not€find€that€all€of€the€alleged€false€€statements€in€each€count€of€the€indictmentÐ ª Ðare€false;€instead,€you€must€find€unanimously€and€beyond€a€reasonable€doubt€that€at€leastÐ ú– Ðone€of€the€statements€set€out€in€a€particular€count€of€the€indictment€is€false.Ðæ‚ (#(# ÐòòVitello€v.€United€Statesóó,€425€F.2d€416€(9th€Cir.€1970);€òòUnited€States€v.€Dilworthóó,€524€F.2d€470Ð Hä" Ð(5th€Cir.€1975);€òòArena€v.€United€Statesóó,€226€F.2d€227,€236€(9th€Cir.€1955);€š2A€Kevin€F.Ð 4 Ð# ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r®ê#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%røê#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r?ë#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rŽë#Ô:€€Criminal€ðð50.03€(5th€ed.€2000).€Ð  !¼$ Ðà  à2.€€The€Committee€doubts€that€intent€to€deceive€the€court€or€jury€is€an€element.€€NeitherÐ ‚"& К2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rµì#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÿì#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rFí#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r•í#Ô:€€Criminal€ðð50.03Ð n# ' Ð(5th€ed.€2000),€nor€S.€Saltzburg€&€H.€Perlman,€FòòEDERALóó€CòòRIMINALóó€JòòURYóó€IòòNSTRUCTIONSóó€ðð€50.01Ð Z$ö( Ð(1985)€includes€this€element,€but€in€their€notes,€Saltzburg€and€Perlman€quote€òòUnited€States€v.Ð F%â) ÐRoseóó,€215€F.2d€617,€622-23€(3d€Cir.€1954),€in€describing€the€requisite€mental€state€asÐ 2&Î* Ð"[k]nowingly€making€a€false€sÔ_ÔtatementÔ_Ô€with€the€intent€to€deceive."€€Neither€of€the€cases€cited€byÐ 'º + ÐòòRoseóó€supports€that€assertion.€Ð  (¦!, Ðà  àDespite€its€unexplained€assertion€unsupported€by€the€cases€it€cites€(dealing€withÐ l)#. Ðwillfulness,€not€intent€to€deceive),€òòRoseóó€has€spawned€a€series€of€cases€that€apply€itsÐ X*ô#/ Ðintent-to-deceive€language€and€merely€cite€back€to€òòRoseóó.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Goguenóó,€723Ð D+à$0 ÐF.2d€1012,€1020€(1st€Cir.€1983)€(citing€òòBeckanstinóó€to€effect€that€section€1621€requires€intent€toÐ 0,Ì%1 Ðdeceive);€òòBeckanstin€v.€United€Statesóó,€232€F.2d€l,€4€(5th€Cir.€1956)€(citing€òòRoseóó€for€propositionÐ d Ðthat€intent€to€deceive€is€an€element).€Ð Pì Ðà  àAlthough€the€Committee€has€found€no€cases€saying€that€òòRoseóó€is€wrong,€there€is€someÐ ²N Ðsupport€in€the€language€of€òòBronston€v.€United€Statesóó,€409€U.S.€352€(1973),€for€the€position€thatÐ ž : Ðthere€is€no€intent-to-deceive€element€in€section€1621.€€The€issue€in€òòBronstonóó€was€"whether€aÐ Š & Ðwitness€may€be€convicted€for€perjury€for€an€answer€that€is€literally€true€but€not€responsive€to€theÐ v  Ðquestion€asked€and€arguably€misleading€by€negative€implication."€€Answering€in€the€negative,€theÐ b þ ÐCourt€supplied€the€following€analysis:€Ð N ê Ðà0  àIt€is€no€answer€to€say€that€here€the€jury€found€that€petitioner€intended€to€mislead€hisÐ °L  Ðexaminer.€€A€jury€should€not€be€permitted€to€engage€in€conjecture€whether€anÐ œ8  Ðunresponsive€answer,€true€and€complete€on€its€face,€was€intended€to€mislead€or€divert€theÐ ˆ$  Ðexaminer;€the€state€of€mind€of€the€witness€is€relevant€only€to€the€extent€that€it€bears€onÐ t  Ðwhether€"he€does€not€believe€[his€answer]€to€be€true."€€To€hold€otherwise€would€be€toÐ `ü  Ðinject€a€new€and€confusing€element€into€the€adversary€€testimonial€system€we€know.ÐLè (#(# ÐòòId.óó€at€359.€€òòSee€alsoóó€òòUnited€States€v.€Debrowóó,€346€U.S.€374,€376€(1953)€(elements€include€"(3)€aÐ ®J Ðfalse€statement€wilfully€made€as€to€acts€material€to€the€hearing"€but€no€mention€of€intent€toÐ š6 Ðdeceive;€issue€was€sufficiency€of€the€indictment).€Ð †" Ðà  à3.€€The€Committee€has€added€materiality€as€an€element€for€the€jury€to€decide€in€light€ofÐ è„ ÐòòUnited€States€v.€Gaudinóó,€515€U.S.€506€(1995).€€òòSee€also€United€States€v.€Swinkóó,€21€F.3d€852,€857Ð Ôp Ð(8th€Cir.€1994).Ð À\ ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ "¾ Ðà  àòòSeeóó€š2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rû#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rJû#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r‘û#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%ràû#Ô:€€CriminalÐ „  Ððð50.01„.12€(5th€ed.€2000).€Ð p  ÐÔ'œ"zúÔà0  àA€witness€testifying€under€oath€or€affirmation€violates€this€statute€[18€U.S.C.€ðð€1621]€ifÐ Òn Ðshe€gives€false€testimony€concerning€a€material€matter€with€the€willful€intent€to€provideÐ ¾Z Ðfalse€testimony,€rather€than€as€a€result€of€confusion,€mistake€or€faulty€memory.Ъ F (#(# ÐòòUnited€States€v.€Dunniganóó,€507€U.S.€87,€94€(1993).€€òòSee€alsoóó€òòUnited€States€v.€Swinkóó,€21€F.3dÐ  "¨" Ð852,€857€(8th€Cir.€1994)€(listing€elements€of€a€violation€of€section€1621).€Ð ø"”# Ðà  àThe€Committee€believes€that€for€section€1621€purposes,€the€issue€of€what€is€"a€competentÐ Z$ö% Ðtribunal,€officer,€or€person,€in€any€case€in€which€a€law€of€the€United€States€authorizes€an€oath€toÐ F%â& Ðbe€administered"€presents€a€question€of€law€and€need€not€be€submitted€to€the€jury.€Ð 2&Î' Ðà  àThe€materiality€of€the€perjurious€testimony€is€an€element€of€this€offense.€€òòE.g.óó,€òòUnitedÐ ”'0!) ÐStates€v.€Qaisióó,€779€F.2d€346€(6th€Cir.€1985).€€Most€courts€of€appeals€have€held€that€materiality€isÐ €("* Ða€question€of€law€for€the€trial€court.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Ashbyóó,€748€F.2d€467,€470€(8th€Cir.Ð l)#+ Ð1984);€òòUnited€States€v.€Larranagaóó,€787€F.2d€489,€494€(10th€Cir.€1986);€òòUnited€States€v.€Lighteóó,Ð X*ô#, Ð782€F.2d€367,€372€(2d€Cir.€1986).€€Presumably,€materiality€is€now€a€question€of€fact€for€the€juryÐ D+à$- Ðto€decide€under€òòUnited€States€v.€Gaudinóó,€515€U.S.€506€(1995).Ð 0,Ì%. Ðà  àA€statement€which€is€literally€true€cannot€support€a€conviction€even€if€it€was€intended€toÐ d Ðbe€misleading.€€òòBronston€v.€United€Statesóó,€409€U.S.€352€(1973);€òòUnited€States€v.€Lighteóó,€782€F.2dÐ Pì Ðat€374.€Ð <Ø Ðà  àHowever,€each€question€and€answer€must€be€considered€in€its€own€context€and€in€relationÐ ž : Ðto€the€questions€and€answers€given€before€and€after€the€alleged€perjurious€testimony.€€In€òòUnitedÐ Š & ÐStates€v.€Williamsóó,€552€F.2d€226,€229€(8th€Cir.€1977),€the€court€stated:€Ð v  Ðà0  àIn€òòBronstonóó,€however,€the€Court€dealt€only€with€a€literally€true€declarative€statement€andÐ Ø t Ðnot€with€the€situation€presented€by€Williams'€"No"€answers,€the€truth€or€falsity€of€whichÐ Ä `  Ðcan€only€be€ascertained€in€the€context€of€the€question€asked.€€òòSeeóó€òòUnited€States€v.Ð °L  ÐWilliamsóó,€536€F.2d€1202,€1205€(7th€Cir.€1976);€òòUnited€States€v.€Chapinóó,€515€F.2d€1274,Ð œ8  Ð1280€(8òòthóó€Cir.€1975).€€If€the€response€given€was€false€as€the€defendant€understood€theÐ ˆ$  Ðquestion,€his€conviction€is€not€invalidated€by€the€fact€that€his€answer€to€the€questionÐ t  Ðmight€generate€a€number€of€different€interpretations.€€òòUnited€States€v.€Chapinóó;€òòUnitedÐ `ü  ÐStates€v.€Parróó,€516€F.2d€458,€470€(5th€Cir.€1975).ÐLè (#(# Ðà  àIn€a€case€where€a€defendant€sufficiently€raises€the€defense€of€literal€truthfulness,€the€juryÐ ®J Ðshould€be€€instructed€on€this€issue.€€Likewise,€if€the€context€of€the€alleged€false€testimony€isÐ š6 Ðimportant€in€determining€the€truth€or€falsity€of€the€testimony,€e.g.,€where€the€ambiguity€of€theÐ †" Ðquestion€or€answer€is€raised,€this€principle€should€also€be€instructed€upon.€€òòSeeóó€òòUnited€States€v.Ð r ÐBonacorsaóó,€528€F.2d€1218€(2d€Cir.€1976).€€Ð ^ú Ðà  àIn€a€section€1621€prosecution,€the€defendant€must€have€acted€knowingly€and€willfully.€Ð À\ ÐòòUnited€States€v.€Edwardsóó,€443€F.2d€1286,€1294€(8th€Cir.€1971);€òòSpaeth€v.€United€Statesóó,€218€F.2dÐ ¬H Ð361,€363€(6th€Cir.€1955).€€These€mental€states€are€expressed€in€the€third€and€fourth€elements€ofÐ ˜4 Ðthis€instruction.€Ð „  Ðà  àIn€order€to€fall€within€section€1621,€the€false€testimony€must€have€been€given€under€oathÐ æ‚ Ðor€affirmed.€€òòUnited€States€v.€Plascencia-Orozcoóó,€768€F.2d€1074,€1076€(9th€Cir.€1985).€€WhenÐ Òn Ðrequested,€the€defendant€is€entitled€to€an€instruction€on€the€two-witness€rule,€which€requires€inÐ ¾Z Ðperjury€prosecutions€that€the€falsity€of€the€defendant's€statement€must€be€proved€by€the€testimonyÐ ª F Ðof€two€witnesses€or€the€testimony€of€one€witness€plus€corroborating€evidence.€€òòSeeóó€òòWeiler€v.Ð –!2  ÐUnited€Statesóó,€323€U.S.€606,€607€(1945);€òòLaRocca€v.€United€Statesóó,€337€F.2d€39,€44€(8th€Cir.Ð ‚"! Ð1964).€€The€following€language€may€be€used€to€express€the€two-witness€rule:€Ð n# " Ðà0  àYou€are€instructed€that€the€testimony€of€one€€witness€is€not€enough€to€support€a€findingÐ Ð$l$ Ðthat€the€defendant's€testimony€was€false.€€There€must€be€additional€evidence€--€either€theÐ ¼%X% Ðtestimony€of€another€person,€or€documentary€evidence,€or€other€evidence€--€which€tendsÐ ¨&D & Ðto€support€the€testimony's€falsity.€€The€other€evidence,€standing€alone,€need€not€convinceÐ ”'0!' Ðyou€beyond€a€reasonable€doubt€that€the€testimony€was€false.€€But,€after€considering€all€ofÐ €("( Ðthe€evidence€on€the€subject,€you€must€be€convinced€beyond€a€reasonable€doubt€that€theÐ l)#) Ðâ âtestimony€was€false.ÐX*ô#*(#(# К2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÖ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rg#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¶#Ô:€€Criminal€ðð50.05Ð d Ðâ â(5th€ed.€2000).€Ð Pì Ðà  àWhere€the€defendant's€allegedly€false€statement€is€"I€don't€know"€or€"I€don't€remember,"Ð ²N Ðthe€two-witness€rule€rarely€can€be€applied.€€In€such€cases,€circumstantial€evidence€standing€aloneÐ ž : Ðcan€be€used€to€prove€the€defendant€knowingly€lied.€€òòGebhard€v.€United€Statesóó,€422€F.2d€281,€288Ð Š & Ð(9th€Cir.€1970);€òòUnited€States€v.€Nicolettióó,€310€F.2d€359,€361-63€(7th€Cir.€1962).€Ð  v  ÐÖ€áßì§ÖÓ €Óà@„ „ ìàò òÔ% €r ÔÔ  Ô6.18.1622.€€SUBORNATION€OF€PERJURY€(18€U.S.C.€ðð€1622)Ô P€Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€suborning€perjury,€as€charged€in€[Count€_____€of]€the€indictment,€has€threeÐ <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€voluntarily€and€intentionally€persuaded€(name€of€witness)€to€commitÐ  œ Ðperjury;€Ð b þ Ðà  àòòTwoóó,€the€defendant€did€so€with€the€intent€that€(name€of€witness)€would€deceive€the€[court]Ð Ä `  Ð[jury];€and€Ð &  Ðà  àòòThreeóó,€(name€of€witness)€committed€a€perjury€in€that:€Ð ˆ$  Ðà0  à(a)à0` (#(#àHe€testified€under€oath€or€affirmation€at€(describe€proceeding,€e.g.,€the€trial€ofÐ ê†  ÐòòUnited€States€v.€Doeóó)€that€[insert€alleged€false€testimony];€ÐLè ` (#` (# Ðà0  à(b)à0` (#(#àthe€testimony€given€was€false;ЮJ` (#` (# Ðà0  à(c)à0` (#(#àat€the€time€he€testified,€the€witness€knew€his€testimony€was€false;Ь` (#` (# Ðà0  à[(d)à0` (#(#àthe€witness€gave€such€testimony€voluntarily€and€intentionally;]òò1óóÐr` (#` (# Ðà0  à[(d)]€[(e)]à0¸ (#(#àthe€false€testimony€was€material.òò2óóÐÔp¸ (#¸ (# Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09.€òòsupraóó.)€Ó€ÓÓ €ÓÐ 6Ò ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ˜4 Ðà  à1.€€Sub-element€(d)€of€Element€òòThreeóó€must€be€included€where€the€underlying€perjury€is€inÐ ú–  Ðviolation€of€section€1621,€but€may€be€omitted€where€the€predicate€perjury€is€based€on€sectionÐ æ‚! Ð1623.€€òòÔ'&˜¹ÔSeeóó€òòUnited€States€v.€Watsonóó,€623€F.2d€1198,€1207€(7th€Cir.€1980).€Ð Òn" Ðà  à2.€€As€in€Instructions€6.18.1621€and€6.18.1623,€materiality€is€an€element€for€the€jury€toÐ 4 Ð$ Ðdecide€in€light€of€òòUnited€States€v.€Gaudinóó,€515€U.S.€506€(1995).€€A€definition€of€ð ðmaterialðð€fromÐ  !¼% Ðeither€Instruction€6.18.1621€or€Instruction€6.18.1623€should€be€inserted€after€this€sub„element.Ð  "¨& ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ n# ( Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.18.1621,€òòsupraóó.€Ð Ð$l* ÐÔ'°n#ÞÔà  àA€perjury€is€an€element€of€this€offense.€€òòSegal€v.€United€Statesóó,€246€F.2d€814,€816€(8thÐ 2&Î, ÐCir.€1957).€€The€use€of€"any€perjury"€in€section€1622€evidences€a€congressional€intent€thatÐ 'º - Ðsubornation€of€perjury€is€committed€not€only€by€one€who€procures€another€to€commit€perjury€inÐ  (¦!. Ðviolation€of€18€U.S.C.€ðð€1621,€but€also€by€one€who€procures€another€to€make€a€false€statement€inÐ ö(’"/ Ðviolation€of€18€U.S.C.€ðð€1623.€€òòUnited€States€v.€Grossóó,€511€F.2d€910€(3d€Cir.€1975).€Ð â)~#0 Ðà  àIf€the€suborned€testimony€is€in€violation€of€section€1621,€the€"two-witness"€orÐ D+à$2 Ð"corroboration"€rule€applies.€€òòSegal€v.€United€Statesóó,€246€F.2d€at€216.€€However,€theÐ 0,Ì%3 Ð"two-witness"€rule€does€not€apply€if€the€suborned€testimony€is€in€violation€of€section€1623.€Ð d ÐòòUnited€States€v.€Grossóó,€511€F.2d€at€915-16.€Ð Pì Ðà  àThe€"two-witness"€rule€never€applies€to€the€crime€of€subornation.€€òòSegal€v.€United€Statesóó,Ð ²N Ð246€F.2d€at€817.€€Nevertheless,€the€suborner€must€have€acted€knowingly€and€willfully€inÐ ž : Ðpersuading€the€witness€to€commit€perjury.€€Ð  Š & ÐÖ€ãáì¨ÖÓ €Óà@!!ìàò òÔ% €t ÔÔ  Ô6.18.1623.€€FALSE€DECLARATION€BEFORE€COURT€OR€GRAND€JURY€ˆÐ d Ðà@îî!ìà(18€U.S.C.€ðð€1623)Ô -dý%Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€making€a€false€declaration,€as€charged€in€[Count€_____€of]€the€indictment,Ð ( Ä Ðhas€four€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€defendant€testified€under€oath€or€affirmation€[before€a€grand€jury]€[before€aÐ ì ˆ Ðcourt]€that€(insert€alleged€false€testimony);€Ð N ê  Ðà  àòòTwoóó,€such€testimony€was€false€in€whole€or€in€partòò1óó;€€Ð °L  Ðà  àòòThreeóó,€at€the€time€he€so€testified,€the€defendant€knew€his€testimony€was€false;€andÐ ®  Ðà  àòòFouróó,€the€false€testimony€was€material.òò2óóÐ t  Ðà  àFalse€testimony€is€ð ðmaterialðð€if€the€testimony€was€capable€of€influencing€[the€grand€jury]Ð Ör  Ð[the€court].€€It€is€not€necessary€to€find€that€the€false€testimony€actually€affected€[the€grand€jury]Ð 8Ô  Ð[the€court].Ð š6 Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ü˜ ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ^ú Ðà  à1.€€In€many€cases,€more€than€one€specification€of€perjury€or€more€than€one€falseÐ À\ Ðdeclaration€is€charged€in€a€single€count€of€an€indictment.€€In€those€cases,€the€jury€should€beÐ ¬H Ðinstructed€as€follows:€Ð ˜4 ÐÔ'ˆ^#+Ôà0  àYou€need€not€find€that€all€of€the€alleged€false€statements€in€each€count€of€the€indictmentÐ ú– Ðare€false;€instead,€you€must€find€unanimously€and€beyond€a€reasonable€doubt€that€at€leastÐ æ‚  Ðone€of€the€statements€set€out€in€a€particular€count€of€the€indictment€is€false.ÐÒn!(#(# ÐòòUnited€States€v.€Holleyóó,€942€F.2d€916,€925„29€(5th€Cir.€1991),€òòdistinguished€inóó€òòUnited€States€v.Ð 4 Ð# ÐBellrichardóó,€62€F.3d€1046€(8th€Cir.€1995).€€òòVitello€v.€United€Statesóó,€425€F.2d€416€(9th€Cir.€1970);Ð  !¼$ ÐòòUnited€States€v.€Dilworthóó,€524€F.2d€470€(5th€Cir.€1975);€òòArena€v.€United€Statesóó,€226€F.2d€227,Ð  "¨% Ð236€(9th€Cir.€1955);€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rŸ/#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ré/#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r00#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r0#Ô:€Ð ø"”& ÐCriminal€ðð50.08€(5th€ed.€2000).Ð ä#€' Ðà  à2.€€The€Committee€has€added€materiality€as€an€element€for€the€jury€to€decide€in€light€ofÐ F%â) ÐòòUnited€States€v.€Gaudinóó,€515€U.S.€506€(1995).€€Ð 2&Î* Ðà  àThe€test€for€materiality€of€false€testimony€in€a€trial€is€whether€the€false€testimony€wasÐ ”'0!, Ðcapable€of€influencing€the€tribunal€on€the€issue€before€it.€€òòUnited€States€v.€Sabloskyóó,€810€F.2dÐ €("- Ð167,€169€(8th€Cir.€1987)€(citing€òòUnited€States€v.€Jacksonóó,€640€F.2d€614,€616€(8th€Cir.€1981)).Ð l)#. Ðà  àMateriality€of€false€testimony€before€a€grand€jury€is€determined€under€a€similar€test.€Ð Î*j$0 ÐHowever,€the€broader€range€of€a€grand€jury€investigation,€as€compared€to€a€trial€focused€onÐ º+V%1 Ðspecific€issues,€is€taken€into€account€in€assessing€the€materiality€of€false€testimony€before€a€grandÐ d Ðjury.€€òòUnited€States€v.€Phillipsóó,€540€F.2d€319,€328€(8th€Cir.€1976).€Ð Pì Ðà0  àThe€test€of€materiality€is€"whether€or€not€the€statements€alleged€to€be€perjurious€tend€toÐ ²N Ðimpede€or€hamper€the€course€of€the€investigation€of€the€grand€jury."€€[Citations€omitted.]€Ð ž : ÐThe€statements€need€not€be€material€to€any€particular€issue,€but€may€be€material€to€anyÐ Š & Ðproper€matter€of€inquiry.Ðv (#(# ÐòòUnited€States€v.€Ostertagóó,€671€F.2d€at€264.€€The€"capability"€and€"potential"€of€the€falseÐ Ø t Ðtestimony€to€influence€the€grand€jury€are€alternative€descriptions€of€the€test€of€materiality.€Ð Ä `  Ð"Materiality€only€calls€for€the€lie€to€be€a€potential€impediment,€not€an€actual€impediment,€of€theÐ °L  Ðgrand€jury's€inquiry."€€òòUnited€States€v.€Waldemeróó,€50€F.3d€1379,€1382€(7th€Cir.€1995).€€"TheÐ œ8  Ðinquiry€into€materiality€assesses€potential.€€It€considers€whether€the€false€statement€was€'capableÐ ˆ$  Ðof€influencing€the€grand€jury€on€the€issue€before€it.'"€€òòUnited€States€v.€Friedhaberóó,€856€F.2d€640,Ð t  Ð642€(4th€Cir.€1988).€€The€false€testimony€need€not€actually€have€influenced,€misled€or€hamperedÐ `ü  Ðthe€grand€jury;€it€is€sufficient€if€it€was€capable€of€influencing€the€grand€jury€on€the€issue€before€it.€Ð Lè  ÐòòUnited€States€v.€Brownóó,€666€F.2d€1196,€1200€(8th€Cir.€1981).€€A€false€declaration€can€also€satisfyÐ 8Ô  Ðthe€materiality€requirement€if€a€truthful€statement€might€have€assisted€or€influenced€the€grandÐ $À Ðjury€in€its€investigation.€€òòUnited€States€v.€Richardsonóó,€596€F.2d€157,€165€(6th€Cir.€1979).€€òòUnitedÐ ¬ ÐStates€v.€Swiftóó,€809€F.2d€320,€324€(6th€Cir.€1987).€€òòCf.óó€òòUnited€States€v.€Lasateróó,€535€F.2d€1041Ð ü˜ Ð(8th€Cir.€1976)€(alleged€false€statement€held€not€to€have€impeded€grand€jury€investigation€whenÐ è„ Ðother€parts€of€grand€jury€testimony€addressed€the€same€issue);€òòaccordóó€òòUnited€States€v.€Ballóó,€738Ð Ôp ÐF.€Supp.€1073€(E.D.€Mich.€1990).Ð À\ Ðà0  àMateriality€is€thus€demonstrated€if€the€question€posed€is€such€that€a€truthful€answer€couldÐ "¾ Ðhelp€the€inquiry,€or€a€false€response€hinder€it,€and€these€effects€are€weighed€in€tÔ_ÔermsÔ_Ô€ofÐ ª Ðpotentiality€rather€than€probability.€€Thus,€in€applying€this€gauge€to€specific€situations,€itÐ ú– Ðis€only€the€question,€at€the€time€of€its€asking,€which€is€considered.€€It€is€of€no€consequenceÐ æ‚ Ðthat€the€information€sought€would€be€merely€cumulative,€òòUnited€States€v.€Richardsonóó,Ð Òn Ð596€F.2d€157€(6th€Cir.€1979),€that€the€response€was€believed€by€the€grand€jury€to€beÐ ¾Z Ðperjurious€at€the€time€it€was€uttered,€òòUnited€States€v.€Leeóó,€509€F.2d€645€(2d€Cir.€1975),€orÐ ª F Ðthat€the€matters€inquired€into€were€collateral€to€the€principal€objective€of€the€grand€jury.€Ð –!2 ÐòòUnited€States€v.€Stoneóó,€429€F.2d€138,€140„41€(2d€Cir.€Ô& N Ô1970).Ђ" (#(# ÐòòUnited€Ô'N‚"jAÔStates€v.€Berardióó,€629€F.2d€723€(2d€Cir.€1980).Ð ä#€" ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ F%â$ Ðà  àòòSeeóó€Committee€Comments,€Instructions€6.18.1621€and€6.18.1622,€òòsupraóó.€Ô'NF%ÿAÔÐ ¨&D & Ðà  àSection€1623€applies€only€to€"any€proceeding€before€or€ancillary€to€any€court€or€grandÐ  (¦!( Ðjury€of€the€United€States."€€An€"ancillary€proceeding"€is€"an€action€conducted€pursuant€to€explicitÐ ö(’") Ðstatutory€or€judicial€procedures."€€òòUnited€States€v.€Tibbsóó,€600€F.2d€19,€21€(6th€Cir.€1979);€òòseeóó,Ð â)~#* Ðòòe.g.óó,€òòUnited€States€v.€Kroghóó,€366€F.€Supp.€1255,€1256€(D.D.C.€1973)€(sworn€deposition€anÐ Î*j$+ Ðancillary€proceeding);€òòcf.óó€òòDunn€v.€United€Statesóó,€442€U.S.€100€(1979)€(sworn€statement€givenÐ º+V%, Ðduring€interview€with€private€attorney€was€not€a€formal€deposition€and€thus€was€not€an€ancillaryÐ d Ðproceeding).€€Section€1621€is€broader;€it€proscribes€false€testimony€in€proceedings€which€are€notÐ Pì Ðstrictly€judicial€in€nature.€€òòSeeóó,€òòe.g.óó,€òòWoolley€v.€United€Statesóó,€97€F.2d€258€(9th€Cir.€1938)Ð <Ø Ð(Securities€and€Exchange€Commission€investigation);€òòUnited€States€v.€Seymouróó,€50€F.2d€930€(D.Ð ( Ä ÐNeb.€1931)€(senatorial€hearing).€Ð  ° Ðà  àDetermination€of€the€nature€of€the€proceeding€is€a€matter€of€law€for€the€court.€€òòSeeóó€òòTasbyÐ v  Ðv.€United€Statesóó,€504€F.2d€332,€337€(8th€Cir.€1974).Ð b þ Ðà  àIn€the€Eighth€Circuit€the€criterion€for€determining€materiality€in€a€section€1623€case€isÐ Ä `  Ðwhether€or€not€the€statements€alleged€to€be€perjurious€tend€to€impede€or€hamper€the€course€of€theÐ °L  Ðinvestigation€by€the€grand€jury.€€òòUnited€States€v.€Drapeóó,€753€F.2d€660,€663€(8th€Cir.€1985);Ð œ8  ÐòòUnited€States€v.€Williamsóó,€552€F.2d€226,€230€(8th€Cir.€1977);€òòUnited€States€v.€Phillipsóó,€540€F.2dÐ ˆ$  Ð319,€328€(8th€Cir.€1976).€€The€latitude€of€materiality€with€respect€to€questions€asked€of€a€witnessÐ t  Ðduring€a€grand€jury€investigation€is€broader€than€the€same€questions€asked€at€trial€since€theÐ `ü  Ðpurpose€of€the€investigation€is€to€obtain€facts€and€leads€rather€than€prove€matters€directly€at€issue.€Ð Lè  ÐòòPhillipsóó,€540€F.2d€at€328-29.€€The€statements€need€not€be€material€to€any€particular€issue,€butÐ 8Ô  Ðmay€be€material€to€any€proper€area€of€inquiry.€€òòUnited€States€v.€Ostertagóó,€671€F.2d€262,€264€(8thÐ $À ÐCir.€1982).Ð ¬ Ðà  àThere€are€three€other€important€differences€between€sections€1623€and€1621:€Ð r Ðà  àa.€€Section€1623(c)€authorizes€a€person€to€be€accused€of€having€made€"two€or€moreÐ Ôp Ðdeclarations,€which€are€inconsistent€to€the€degree€that€one€of€them€is€necessarily€false."€€TheÐ À\ Ðgovernment€is€not€required€to€specify€which€declaration€is€false.Ð ¬H Ðà  àb.€€The€requisite€mental€states€are€different.€€Section€1621€requires€that€the€defendant€actÐ ª Ðwillfully.€€Section€1623€requires€only€that€the€defendant€know€that€his€testimony€was€false.€€òòSeeóóÐ ú– ÐòòUnited€States€v.€Watsonóó,€623€F.2d€1198,€1207€(7th€Cir.€1980);€òòUnited€States€v.€LÔ_ÔardieriÔ_Ôóó,€497Ð æ‚ ÐF.2d€317€(3d€Cir.€1974).€Ð Òn Ðà  àc.€€The€"two-witness"€or€"corroboration"€rule,€which€requires€that€oral€testimony€of€theÐ 4 Ð Ðfalsity€of€a€statement€be€corroborated€in€a€section€1621€prosecution,€is€inapplicable€to€sectionÐ  !¼  Ð1623.€€òòDunn€v.€United€Statesóó,€442€U.S.€at€108.€€Thus,€a€corroboration€instruction€is€not€requiredÐ  "¨! Ðwhere€the€defendant€is€charged€under€section€1623.€Ð ø"”" Ðà  àBecause€of€the€willfulness€element€and€the€two„witness€rule€of€18€U.S.C.€ðð€1621,€mostÐ Z$ö$ Ð"perjury"€prosecutions€are€brought€under€18€U.S.C.€ðð€1623.€Ð  F%â% ÐÖ€åãì©ÖÓ €Óà@* * ìàò òÔ% €v ÔÔ  Ô6.18.1708A.€€MAIL€THEFT€(18€U.S.C.€ðð€1708)€(First€Paragraph)Ô  ÀRÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€mail€theft,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€three€elements,Ð <Ø Ðwhich€are:€Ð ž : Ðà  àòòOneÔf  ÔÔg Ôóó,€the€defendant€voluntarily€[stole]€[took]òò1óó€a€[letter][postal€card]€[package]€[bag];Ð  œ Ðà  àòòTwoÔf  ÔÔg Ôóó,€the€[letter]€[postal€card]€[package]€[bag]€[mail]€was€in€[the€United€States€mail]Ð b þ Ð[(describe€authorized€depository€for€U.S.€Ôf  ÔÔg Ômail€matter)];òòÔf  ÔÔg ÔÔf  ÔÔg Ô2óó€and€Ð Ä `  ÐÔf  ÔÔg Ôà  àòòThreeóó,€in€so€doing€the€defendant€intended€to€deprive€the€addressee€temporarily€orÐ &  Ðpermanently€of€the€[letter,€etc.]€Ð ˆ$  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ê†  ÐÓ€ÓÓ €ÓÔ& œ ÔÔf  ÔÔg Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Lè  Ðà  à1.Ôf  ÔÔg Ô€€The€statute€also€includes€obtaining€or€attempting€to€obtain€mail€by€fraud.€€In€such€aÐ ®J Ðcase,€that€language€should€be€used.€Ð š6 ÐÔ'œLWÔà  à2.Ôf  ÔÔg Ô€€The€statute€lists€specific€depositories€for€mail.€€Other€authorized€depositories€areÐ ü˜ Ðestablished€by€regulations€of€the€Postmaster€General.Ôf  ÔÔg Ô€€òòSeeóó€39€C.F.R.€ðð€111.1,€incorporating€theÐ è„ ÐDomestic€Mail€Manual€D041.1.1.Ôf  ÔÔg Ô€€If€one€of€these€is€involved,€it€should€be€named€in€the€elements.€Ð Ôp ÐÔ& & ÔÔf  ÔÔg ÔÔf  Ôà@55!ìàò òCommittee€Commentsó óˆÐ 6Ò Ðà  àòòCf.óó€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r£Z#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ríZ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r4[#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rƒ[#Ôšš:€€CriminalÐ ˜4 Ððððð52.01„.05€(5òòthóó€ed.€2000).€€òòSee€generallyóó€òòUnited€States€v.€Hoppingóó,€668€F.2d€398,€399-400€(8thÐ „  ÐÔ'&6þYÔCir.€1982)òòóó.€Ð p  Ðà  àTheft€of€mail€includes€the€element€of€intent€to€steal€at€the€time€the€mail€is€taken.€€òòUnitedÐ Òn! ÐStates€v.€Hoppingóó,€668€F.2d€at€399-400òòóó.€€Element€òòThreeóó,€which€requires€a€finding€of€intent,€isÐ ¾Z" Ðalso€a€definition€of€"steal."€€òòSeeóó€òòUnited€States€v.€Turleyóó,€352€U.S.€407,€417€(1957).€€Accordingly,Ð ª F# Ðthe€Committee€believes€no€further€definition€of€"steal"€is€necessary.Ð –!2$ Ðà  àThe€protection€of€18€U.S.C.€ðð€1708€is€limited€to€mail€matter€which€is€still€in€theÐ ø"”& Ðpossession€or€control€of€the€Postal€Service€or€which€has€been€placed€in€an€authorized€receptacleÐ ä#€' Ðfor€mail€matter,€such€as€a€private€letter€box,€and€has€not€been€lawfully€removed€therefrom.€€Ð Ð$l( ÐòòRosen€v.€United€Statesóó,€245€U.S.€467€(1918);€òòUnited€States€v.€Matzkeróó,€473€F.2d€408€(8th€Cir.Ð ¼%X) Ð1973).€€On€the€other€hand,€the€protection€extended€by€ðð€1702€is€aÔ_ÔpplicableÔ_Ô€until€the€mailedÐ ¨&D * Ðmaterial€is€physically€delivered€to€the€addressee€or€his€agent.€€òòUnited€States€v.€Ashfordóó,€530€F.2dÐ ”'0!+ Ð792€(8th€Cir.€1976).€Ð  €(", ÐÖ€çåìªÖÔf  ÔÔg ÔÓ €Óà@––ìàò òÔ% €x ÔÔ  Ô6.18.1708B.€€POSSESSION€OF€STOLEN€MAIL€(18€U.S.C.€ðð€1708)€(Third€Paragraph)Ô Ý bÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€unlawful€[purchase]€[receipt]€[concealment]€[possession]€of€stolen€mail,€asÐ <Ø Ðcharged€in€[Count€òò€€€óó€of]€the€indictment,€has€two€elements,€which€are:€Ð ž : Ðà  àòòOneóó,Ôf  ÔÔg Ô€the€defendant€[bought]€[received]€[concealed]€[unlawfully€had€in€[his]€[her]Ð  œ Ðpossession]€(describe€letter,€mail,€etc.€or€article€or€thing€contained€therein);Ð b þ Ðà  àòòTwoóó,€thisÔf  ÔÔg Ô€(describe€letter,€mail,€etc.€or€article€or€thing€contained€therein)€Ôf  ÔÔg ÔÔf  Ôhad€beenÔf  ÔÔg Ô€stolenòò1óóÐ Ä `  Ðfrom€(describe€authorized€depository€for€mail€matter);€andÔf  ÔÔg ÔÐ &  Ðà  àÔf  ÔòòÔg ÔÔf  ÔThreeÔf  ÔÔg Ôóó,€the€defendant€Ôf  ÔÔg ÔÔf  Ôknew€(describe€letter,€mail,€etc.€or€article€or€thing€contained€therein)Ôf  ÔÔg ÔÐ ˆ$  Ðhad€been€stolen.€Ð ê†  Ðà  àMail€matter€is€"stolen"€when€it€has€been€voluntarily€taken€from€an€authorized€depositoryÐ Lè  Ðfor€mail€matter€with€intent€to€deprive€the€addressee€temporarily€or€permanently€of€its€use€andÐ ®J Ðbenefit.€Ð ¬ Ðà  àThe€Government€does€not€have€to€prove€who€stole€the€mail€matter.€€Also,€theÐ r ÐGovernment€does€not€have€to€prove€that€the€defendant€knew€that€the€matter€had€been€stolen€fromÐ Ôp Ðthe€mail,€only€that€[he]€[she]€knew€it€had€been€stolen.€Ð 6Ò Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ˜4 ÐÓ€ÓÓ €ÓÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ú–  Ðà  à1.€€The€statute€also€makes€illegal€the€receipt€of€mail€which€has€been€taken,€embezzled€orÐ \ø" Ðobstructed.€€If€one€of€these€alternatives€is€charged,€the€instruction€should€be€so€modified.€Ôf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÐ Hä# ÐÔg ÔÔf  ÔÔg ÔÔf  ÔÔg ÔÔ'œú¤iÔÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ª F% Ðà  àòòSeeóó€Ôf  ÔÔg ÔÔf  Ô2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r l#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rVl#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rl#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rìl#Ôšš:€€CriminalÐ  "¨' Ððððð52.01„.05€(5òòthóó€ed.€2000).€€Ôf  ÔÔg ÔòòSeeóó€Committee€Comments,€Instruction€6.18.1708A,€òòsupraóó;€òòBlue€v.Ð ø"”( ÐÔ'&ª gkÔUnited€Statesóó,€528€F.2d€892,€894€(8th€Cir.€1976).€Ð ä#€) Ðà  àThe€defendant€must€know€that€the€letter€or€package€was€stolen,€but€he€need€not€know€thatÐ F%â+ Ðit€was€stolen€from€the€mails.€€òòUnited€States€v.€Owensóó,€472€F.2d€780-87€(8th€Cir.€1973).€Ð 2&Î, Ðà  àThe€Government€may€prove€by€circumstantial€evidence€that€the€mail€was€stolen.€€òòUnitedÐ ”'0!. ÐStates€v.€Reeceóó,€547€F.2d€432,€435€(8th€Cir.€1977);€òòUnited€States€v.€Bloomóó,€482€F.2d€1162,€1164Ð €("/ Ðâ â(8th€Cir.€1973).€Ð l)#0 Ðà  àAn€instruction€defining€actual€and€constructive€possession€in€a€Ôf  ÔÔg ÔÔf  Ôsection€Ôf  Ô1708€case€wasÐ d Ðapproved€in€òòUnited€States€v.€Haynesóó,€653€F.2d€332,€333€(8th€Cir.€1981).€€òòSeeóó€Instruction€8.02,Ð Pì Ðòòinfraóó,€for€an€instruction€defining€possession.€Ð <Ø Ðâ âà  àWhere€warranted€by€the€evidence,€an€instruction€allowing€the€jury€to€draw€inferences€ofÐ ž : Ðtheft€and€knowledge€of€the€theft€from€evidence€of€recent€possession€of€stolen€mail€may€be€given.€Ð Š & ÐòòUnited€States€v.€Hayesóó,€631€F.2d€593,€594-95€(8th€Cir.€1980).€€òòSee€alsoóó€òòÔf  ÔÔg ÔBarnes€v.€United€Statesóó,Ð v  Ð412€U.S.€837,€839„40€(1973);€òòÔf  ÔÔg ÔUnited€States€v.€Bloomóó,€482€F.2d€at€1165-66Ôf  ÔÔg Ô.€€òòSee€furtheróóÐ b þ ÐInstruction€4.13,€òòsupraóó,€concerning€instructions€on€inferences.€Ð N ê Ðà  àThe€defendant€cannot€be€convicted€for€both€theft€and€possession€of€a€single€piece€of€mail.€Ð °L  ÐòòUnited€States€v.€Lindsayóó,€552€F.2d€263,€266€(8th€Cir.€1977).€€Ð œ8  Ðà  àÔf  ÔÔg ÔThe€Committee€believes€"unlawfully"€is€required€by€the€statute€which€proscribes€theÐ þš  Ð"unlawful"€possession€of€stolen€mail.Ôf  ÔÔg Ô€€The€definition€of€"unlawfully"€as€"contrary€to€law"€hasÐ ê†  Ðbeen€called€"circular"€and€"no€definition€at€all."€€òòUnited€States€v.€Hoogóó,€504€F.2d€45,€51€(8th€Cir.Ð Ör  Ð1974).€€The€Committee€recommends€that€"unlawfully"€be€defined€in€terms€of€the€particularÐ Â^  Ðconduct€which€made€the€possession€unlawful.€Ð ®J Ðà  àIf€the€defendant€claims€innocent€or€authorized€possession,€the€burden€is€on€the€defendantÐ ¬ Ðto€produce€such€evidence€and€raise€it€as€a€defense;€it€is€not€an€element€of€the€crime€to€be€provedÐ ü˜ Ðby€the€government.€€òòUnited€States€v.€Tompkinsóó,€487€F.2d€146,€152€(8th€Cir.€1973).Ð  è„ ÐÖ€éçì«ÖÓ €Óà@(( ìàò òÔ% €z ÔÔ  Ô6.18.1709A.€€EMBEZZLEMENT€OF€MAIL€(18€U.S.C.€ðð€1709)€(First€Clause)Ô  yÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€embezzling€mail,€as€charged€in€[Count€_____€€of]€the€indictment,€has€threeÐ <Ø Ðelements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€was€Ôf  ÔÔg ÔÔf  Ôan€[officer]€[employee]€of€theÔf  ÔÔg Ô€United€States€Postal€ServiceÔf  ÔÔg Ô€at€theÐ  œ Ðtime€stated€in€the€indictment;Ôf  ÔÔg Ô€andÔf  ÔÔg ÔÐ b þ Ðà  àòòTwoóó,€in€[his]€[her]€position€with€the€Postal€Service,òòÔf  ÔÔg Ôóó€the€defendant€had€possession€ofÐ Ä `  Ð(describe€the€mail€matterÔf  ÔÔg Ô,€e.g.,€a€letterÔf  ÔÔg Ô)€that€was€intended€to€be€conveyed€by€mail;€and€Ð &  Ðà  àòòThreeóó,€the€defendant€[took]€[removed]Ôf  ÔÔg Ôòò1óó€the€(describe€the€mail€matterÔf  ÔÔg Ô,€e.g.,€contents€ofÐ ˆ$  ÐletterÔf  ÔÔg Ô)€with€the€intent€to€convert€it€to€[his]€[her]€own€use.€Ð ê†  Ðà  à(Ôf  ÔÔg ÔDescribe€the€mail€matter,€e.g.,€A€letter)€is€ð ðintended€to€be€conveyed€by€mailðð€if€aÐ Lè  Ðreasonable€person€who€saw€(describe€the€mail€matter,€e.g.,€the€letter)€would€think€it€was€intendedÐ ®J Ðto€be€delivered€through€the€mail.€€[The€intent€of€the€person€who€prepared€the€item€for€mailing€orÐ ¬ Ðwho€mailed€it€is€irrelevant.]Ð r ÐÓ €Óà  à(Ôf  ÔÔg ÔInsert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÐ Ôp ÐÔ& & ÔÔf  ÔÔg Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 6Ò Ðà  à1.€€Ôf  ÔÔg ÔÔf  ÔThere€are€two€separate€methods€for€a€postal€employee€to€violate€section€1709:€€byÐ ˜4 Ðembezzling€mail€matter€(clause€1),€which€includes€a€letter€and€its€contents,€or€by€stealing€theÐ „  ÐÔ'&62€Ôcontents€of€mail€matter€(clause€2).€€The€difference€between€the€two€clauses€is€that€one€canÐ p   Ðembezzle€mail€matter€(i.e.,€letter€or€package)€and€its€contents,€but€the€ð ðstealing€clauseðð€appliesÐ \ø! Ðonly€to€theft€of€the€contents€of€mail€matter€(letter€or€package).€€òòUnited€States€v.€Selwynóó,€998€F.2dÐ Hä" Ð556,€557€(8th€Cir.€1993);€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rSƒ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rƒ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%räƒ#ÔÐ 4 Ð# ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rG„#Ôšš:€€Criminal€ðððð52.06„.10€(5òòthóó€ed.€2000).€€òòSee€United€States€v.€Selwynóó,€998€F.2d€atÐ  !¼$ Ð557„59,€which€applied€a€strict€common„law€view€of€embezzlement€to€this€statute.€€òòSeeóó€anÐ  "¨% Ðinstruction€on€clause€2.€Ð ø"”& ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ Z$ö( Ðà  àòòSeeóó€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r4†#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r~†#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rņ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r‡#Ôšš:€€CriminalÐ ¼%X* Ððððð52.06„.10€(5òòthóó€ed.€2000).€€Ð ¨&D + ÐÔ'œZ$¯…Ôà  àIntent€to€convert€property€to€one's€own€use€is€required.€€òòUnited€States€v.€Rushóó,€551€F.Ð  (¦!- ÐSupp.€148,€151€(S.D.€Iowa€1982).Ð ö(’". Ðà  àEmbezzlement€presupposes€lawful€possession,€but€theft€does€not.€€òòSee€Ôf  ÔÔg ÔUnited€States€v.Ð X*ô#0 ÐSelwynóó,€998€F.2d€556€(8th€Cir.€1993)Ôf  ÔÔg Ô€and€Note€on€Use€1.€€A€postal€employee,€who€does€not,€byÐ D+à$1 Ðnature€of€his€duties,€originally€have€lawful€possession€of€certain€mail€matter,€can€be€charged€andÐ 0,Ì%2 Ðconvicted€under€the€stealing€provisions€in€the€second€clause€of€section€1709.€€òòUnited€States€v.Ð d ÐSelwynóó,€998€F.2d€at€558.Ð Pì Ðà  àThe€first€clause€of€section€1709€requires€that€the€mail€matter€was€"intended€to€beÐ ²N Ðdelivered€by€mail."€€In€"test€letter"€casesÔf  ÔÔg Ô,€the€Eighth€Circuit€has€Ôf  ÔÔg ÔÔf  Ôrequired€"evidence€from€whichÐ ž : Ðthe€jury€could€conclude€that,€judged€by€objective€standards,€the€test€letter€appeared€to€be€a€letterÐ Š & Ðthat€was€intended€to€be€delivered."€€òòUnited€States€v.€Costelloóó,€604€F.2d€589,€591€(8th€Cir.€1979).€Ð v  ÐòòSee€alsoóó€òòUnited€States€v.€Hergenraderóó,€529€F.2d€83,€84„86€(8th€Cir.€1976),€and€òòScott€v.€UnitedÐ b þ ÐStatesóó,€172€U.S.€343€(1899)€(indicating€the€subjective€intent€of€the€person€ð ðmailingðð€the€letterÐ N ê Ðwas€not€at€issue;€rather,€the€issue€is€whether€a€reasonable€person€would€believe€that€the€particularÐ :Ö  Ðmail€matter€was€intended€to€be€conveyed€by€mail).€€Ð  &  ÐÖ€ëéì¬ÖÓ €Óà@ìàò òÔ% €| ÔÔ  Ô6.18.1709B.€€THEFT€OF€MAIL€BY€POSTAL€SERVICE€EMPLOYEE€ˆÐ d Ðà@''ìà(18€U.S.C.€ðð€1709)€(Second€Clause)Ô Ý ÞŽÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€theft€of€mail€by€a€Postal€Service€employee,€as€charged€in€[Count€_____€€of]Ð ( Ä Ðthe€indictment,€has€three€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€was€an€[officer]€[employee]€of€the€United€States€Postal€Service€at€theÐ ì ˆ Ðtime€stated€in€the€indictment;Ð N ê  Ðà  àòòTwoóó,€the€[letter]€[package]€[bag]€[mail]€was€[in€the€United€States€mail]€[intended€to€beÐ °L  Ðconveyed€by€mail];€and€Ð ®  Ðà  àòòThreeóó,€the€defendant€[took]€[removed]òò1óó€the€(describe€the€contents€of€the€mail€matter,€e.g.,Ð t  Ðcheck€from€the€letter)€with€the€intent€to€convert€it€to€[his]€[her]€own€use.€Ð Ör  Ðà  à[(Describe€the€mail€matter,€e.g.,€a€letter)€is€ð ðintended€to€be€conveyed€by€mailðð€if€aÐ 8Ô  Ðreasonable€person€who€saw€(describe€the€mail€matter,€e.g.,€the€letter)€would€think€it€was€intendedÐ š6 Ðto€be€delivered€through€the€mail.]€€[The€intent€of€the€person€who€prepared€the€item€for€mailing€orÐ ü˜ Ðwho€mailed€it€is€irrelevant.]Ð ^ú Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð À\ ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ "¾ Ðà  à1.€€There€are€two€separate€methods€for€a€postal€employee€to€violate€section€1709:€byÐ „  Ðembezzling€mail€matter€(clause€1),€which€includes€a€letter€and€its€contents,€or€by€stealing€theÐ p   ÐÔ'&"ø”Ôcontents€of€mail€matter€(clause€2).€€The€difference€between€the€two€clauses€is€that€one€canÐ \ø! Ðembezzle€mail€matter€(i.e.,€letter€or€package)€and€its€contents,€but€the€ð ðstealing€clauseðð€appliesÐ Hä" Ðonly€to€theft€of€the€contents€of€mail€matter€(letter€or€package).€€òòUnited€States€v.€Selwynóó,€998€F.2dÐ 4 Ð# Ð556,€557€(8th€Cir.€1993);€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rã—#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r-˜#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rt˜#ÔÐ  !¼$ ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rט#Ôšš:€€Criminal€ðððð52.06„.10€(5òòthóó€ed.€2000).€€òòAlso€see€United€States€v.€Selwynóó,€998€F.2dÐ  "¨% Ðat€557„59,€which€applied€aÔf  ÔÔg Ô€strict€common„law€view€of€embezzlement€Ôf  ÔÔg ÔÔf  Ôto€this€statute.Ð ø"”& ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ Z$ö( Ðà  àòòSeeóó€Instruction€6.18.1709A;€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÚš#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r$›#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rk›#ÔÐ ¼%X* ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rΛ#Ôšš:€€Criminal€ðððð52.06„.10€(5òòthóó€ed.€2000).€€Ð ¨&D + ÐÔ'œZ$=šÔà  àIntent€to€convert€property€to€one's€own€use€is€required.€€òòUnited€States€v.€Firstóó,€600€F.2dÐ  (¦!- Ð170,€171€(8òòthóó€Cir.€1979);€òòUnited€States€v.€Rushóó,€551€F.€Supp.€148,€151€(S.D.€Iowa€1982).Ð ö(’". Ðà  àEmbezzlement€presupposes€lawful€possession,€but€theft€does€not.€€òòSee€United€States€v.Ð X*ô#0 ÐSelwynóó,€998€F.2d€556€(8th€Cir.€1993),€and€Note€on€Use€1.€€A€postal€employee,€who€does€not,€byÐ D+à$1 Ðnature€of€his€duties,€originally€have€lawful€possession€of€certain€mail€matter,€can€be€charged€andÐ 0,Ì%2 Ðconvicted€under€the€stealing€provisions€in€the€second€clause€of€section€1709.€€òòUnited€States€v.Ð d ÐSelwynóó,€998€F.2d€at€558.€Ð Pì Ðà  àOne€of€jurisdictional€bases€for€a€violation€of€section€1709€is€that€the€mail€matter€wasÐ ²N Ð"intended€to€be€delivered€by€mail."€€In€"test€letter"€cases,€the€Eighth€Circuit€has€requiredÐ ž : Ð"evidence€from€which€the€jury€could€conclude€that,€judged€by€objective€standards,€the€test€letterÐ Š & Ðappeared€to€be€a€letter€that€was€intended€to€be€delivered."€€òòUnited€States€v.€Costelloóó,€604€F.2dÐ v  Ð589,€591€(8th€Cir.€1979).€€òòSee€alsoóó€òòUnited€States€v.€Hergenraderóó,€529€F.2d€83,€84„86€(8th€Cir.Ð b þ Ð1976),€and€òòScott€v.€United€Statesóó,€172€U.S.€343€(1899)€(indicating€the€subjective€intent€of€theÐ N ê Ðperson€ð ðmailingðð€the€letter€was€not€at€issue;€rather,€the€issue€is€whether€a€reasonable€personÐ :Ö  Ðwould€believe€thatÔf  ÔÔg Ô€the€particular€Ôf  ÔÔg ÔÔf  Ômail€matter€was€intended€to€be€conveyed€by€mail).€€Ôf  ÔÔg ÔÐ  &  ÐÓ €ÓÔ<ìáÔÔü<ìÔÖ€íëì­ÖÑ8€w,XXdìXdì8Ñà@ââ ìàò òÔ% € ÔÔ  Ô6.18.1951.€€INTERFERENCE€WITH€COMMERCE€BY€MEANS€OF€EXTORTION€ˆÐ dx Ðà@ÎÎìà(18€U.S.C.€ðð€1951)€(Hobbs€Act)Ô Ý 5¤Ôó óˆÐ Pd  ÐÌà  àÓ€ÓThe€crime€of€interference€with€commerce€by€means€of€extortion,€as€charged€in€[CountÐ ( <  Ð_____€of]€the€indictment,€has€three€elements,€which€are:€Ð Š ž  Ðà  àòòOneóó,€the€defendant€induced€(describe€victim[s],€e.g.,€John€Jones,€President€of€ABC€Corp.)Ð ì  Ðto€part€with€[property]€(describe€property,€e.g.,€$10,000.00€cash);€Ð N b  Ðà  àòòTwoóó,€the€defendant€voluntarily€and€intentionally€did€so€by€extortion€„„€that€is,€[through€theÐ °Ä  Ðwrongful€use€of€actual€or€threatened€force€or€violence]€[through€the€wrongful€use€of€fear]€[underÐ & Ðcolor€of€official€right];òò1óó€Ð tˆ Ðà  àòòThreeóó,€the€defendant's€action€[obstructed]€[delayed]€[affected]€[interstate]€[foreign]Ð Öê Ðcommerce€in€some€way€or€degree.òò2óó€Ð 8L Ðà  à["Fear"€means€a€state€of€anxious€concern,€alarm€or€apprehension€of€harm.€€Fear€includesÐ š® Ðfear€of€economic€loss€or€injury,€as€well€as€fear€of€physical€violence.€€Extortion€by€wrongful€use€ofÐ ü Ðfear€requires€that€the€fear€be€reasonable€under€the€circumstances.]òò3óóÐ ^r! Ðà  à[Extortion€"under€color€of€official€right"€is€the€wrongful€taking€by€a€public€officer€ofÐ ÀÔ# Ðmoney€or€property€not€due€him€or€his€office,€whether€or€not€the€taking€was€accompanied€byÐ "6% Ðforce,€threats€or€use€of€fear.€€So€if€a€public€official€voluntarily€and€intentionally€misuses€hisÐ „˜' Ðpublic€office€and€power€for€the€wrongful€purpose€of€inducing€a€victim€to€part€with€property,€suchÐ æú) Ðactivity€constitutes€extortion.]òò4óó€Ð H\+ Ðà  à[Extortion€is€committed€when€property€is€obtained€with€the€consent€of€the€victim€by€theÐ ª ¾- Ðwrongful€use€of€actual€or€threatened€force,€violence€or€fear€or€under€color€of€official€right.]òò5óó€Ð  " / Ðà  à[You€may€find€an€[obstruction]€[delay]€[effect]€on€[interstate]€[foreign]€commerce€hasÐ n#‚!1 Ðbeen€proven€if€you€find€and€believe€from€the€evidence€beyond€a€reasonable€doubt:€€(describeÐ Ð$ä"3 Ðeffects€on€[interstate]€[foreign]€commerce€alleged€in€the€indictment€on€which€proof€was€offeredÐ 2&F$5 Ðat€trial,€which€demonstrate€an€actual€effect€on€interstate€commerce,€e.g.,€that€the€John€DoeÐ ”'¨%7 ÐProduce€Distributing€Co.€shipped€lettuce,€tomatoes,€string€beans,€and€other€prodÔ_ÔuceÔ_Ô€from€St.Ð ö( '9 ÐLouis,€in€the€State€of€Missouri,€to€various€points€outside€of€the€State€of€Missouri,€including€theÐ X*l(; Ðstates€of€Oregon,€Wyoming€and€Kansas.)òò6óó]€Ð º+Î)= Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð d ÐÓ€ÓÓ €ÓÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Æb Ðà  à1.€€The€proper€theory€of€extortion€charged€in€the€indictment€should€be€selected€in€theÐ ( Ä Ðsecond€element€of€the€instruction.€€Ô':Æ£°ÔÐ  ° Ðà  à2.€€If€an€attempt€crime€is€charged,€the€instruction€should€be€modified€accordingly.Ð v  Ðà  à3.€€"Extortion"€and€"fear"€must€be€defined.€€The€statutory€definition€of€"extortion"€may€beÐ Ø t  Ðfound€at€18€U.S.C.€ðð€1951(b)(2).€€The€wrongful€use€of€fear€and€a€reasonable€fear€on€the€part€ofÐ Ä `  Ðthe€victim€is€essential€to€a€conviction€of€extortion€by€use€of€fear.€€òòSeeóó€òòUnited€States€v.€Brownóó,Ð °L  Ð540€F.2d€364,€373€n.6€(8th€Cir.€1976);€òòNick€v.€United€Statesóó,€122€F.2d€660€(8th€Cir.€1941);Ð œ8  ÐòòUnited€States€v.€Margiottaóó,€688€F.2d€108,€133-35€(2d€Cir.€1982).€€See€the€discussion€of€extortionÐ ˆ$  Ðin€òòUnited€States€v.€Fosteróó,€443€F.3d€978,€984€(8òòthóó€Cir.€2006).Ð t  Ðà  à4.€€If€possible,€the€instruction€should€be€made€to€relate€specifically€to€the€charges€andÐ Ör  Ðevidence€in€the€case.€€In€a€case€involving€extortion€by€a€police€officer,€an€instruction€similar€toÐ Â^  Ðthe€following€instruction€was€used:€Ð ®J Ðà0  àExtortion€under€color€of€official€right€by€a€law€enforcement€officer€need€not€involve€forceÐ ¬ Ðor€threats.€€If€a€victim€reasonably€feels€compelled€or€induced€to€pay€money€to€a€lawÐ ü˜ Ðenforcement€officer,€because€of€that€officer's€wrongful€use€of€his€official€position€for€the€Ð è„ Ðpurpose€of€obtaining€money,€the€requirement€of€the€crime€of€extortion€under€color€ofÐ Ôp Ðofficial€right€is€satisfied.€ÐÀ\(#(# ÐòòSee€United€States€v.€Crowleyóó,€504€F.2d€992,€995€(7th€Cir.€1974).€€òòSee€also€United€States€v.Ð "¾ ÐHathawayóó,€534€F.2d€386€(1st€Cir.€1976);€òòUnited€States€v.€Brownóó,€540€F.2d€364€(8th€Cir.€1976).€Ð ª Ðà  àIn€"campaign€contribution"€cases,€an€instruction€similar€to€the€following€languageÐ p  Ðapproved€by€the€Eleventh€Circuit,€affirmed€in€òòEvans€v.€United€Statesóó,€504€U.S.€255€(1992),€mayÐ \ø Ðbe€appropriate:Ð Hä Ðà0  à[T]he€acceptance€by€an€elected€official€of€a€campaign€contribution€does€not,€in€itself,Ð ª F! Ðconstitute€a€violation€of€the€Hobbs€Act€even€though€the€donor€has€business€pendingÐ –!2" Ðbefore€the€official.Ђ"#(#(# Ðà0  àà ` àHowever,€if€a€public€official€demands€or€accepts€money€in€exchange€for€a€specificÐ ä#€% Ðrequested€exercise€of€his€or€her€official€power,€such€a€demand€or€acceptance€doesÐ Ð$l& Ðconstitute€a€violation€of€the€Hobbs€Act€regardless€of€whether€the€payment€is€made€in€theÐ ¼%X' Ðform€of€a€campaign€contribution.Ш&D ((#(# Ð504€U.S.€at€258.€Ð  (¦!* Ðà  à5.€€In€a€case€where€different€theories€of€extortion€are€charged,€it€is€appropriate€to€chargeÐ l)#, Ðthe€jury€in€the€disjunctive€on€extortion,€i.e.,€a€finding€of€guilt€is€supported€by€extortion€under€fearÐ X*ô#- Ðof€economic€loss€or€under€color€of€official€right.€€òòUnited€States€v.€Kennyóó,€462€F.2d€1205,€1229Ð D+à$. Ð(3d€Cir.€1972);€òòUnited€States€v.€Rabbittóó,€583€F.2d€1014,€1027€(8th€Cir.€1978);€òòUnited€States€v.Ð 0,Ì%/ ÐBrownóó,€540€F.2d€364,€377€(8th€Cir.€1976).€€If€both€theories€are€submitted€to€the€jury,€they€shouldÐ d Ðbe€instructed€that€they€may€convict€the€defendant€if€they€find€unanimously€and€beyond€aÐ Pì Ðreasonable€doubt€that€at€least€one€of€the€theories€was€proven€by€the€Government.€Ð <Ø Ðà  à6.€€Although€some€courts€have€held€that€the€jury€may€be€instructed€as€a€matter€of€law€thatÐ ž : Ðinterstate€commerce€has€been€shown€if€various€facts€were€proven,€this€appears€to€be€the€saferÐ Š & Ðinstruction.€€òòSee€generallyóó€the€definition€of€interstate€and€foreign€commerce€found€inÐ v  Ð6.18.1956J(2);€òòHulahan€v.€United€Statesóó,€214€F.2d€441,€445,€446€(8th€Cir.€1954);€òòUnited€States€v.Ð b þ ÐRabbittóó,€583€F.2d€1014,€1023€(8th€Cir.€1978);€òòUnited€States€v.€Frenchóó,€628€F.2d€1069,€1078€(8thÐ N ê ÐCir.€1980).€Ð :Ö  ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ œ8  Ðà  àòòóóÔ'Nœ‘ÂÔThe€Hobbs€Act€is€a€constitutional€exercise€of€Congressðð€power€under€the€CommerceÐ þš  ÐClause.òòóó€€òòUnited€States€v.€Foster,€óó443€F.3d€at€982,€rejecting€a€challenge€under€òòUnited€States€v.Ð ê†  ÐLopezóó,€514€U.S.€549€(1995);€òòUnited€States€v.€Farmeróó,€73€F.3d€836,€843„44€(8òòthóó€Cir.€1996).Ð Ör  Ðà  àIf€a€public€official€is€alleged€to€have€extorted€a€campaign€contribution€"under€color€ofÐ 8Ô  Ðofficial€right,"€the€jury€must€be€instructed€that€receipt€of€such€contribution€violates€section€1951Ð $À Ð"only€if€the€payments€are€made€in€return€for€an€explicit€promise€or€undertaking€by€the€official€toÐ ¬ Ðperform€or€not€to€perform€an€official€act."€€òòMcCormick€v.€United€Statesóó,€500€U.S.€257€(1991).€€AÐ ü˜ Ðsubsequent€case,€òòEvans€v.€United€Statesóó,€504€U.S.€255€(1992),€resolved€the€issue€as€to€whether€anÐ è„ Ðaffirmative€act€of€inducement€by€a€public€official€is€required€to€support€a€conviction€of€extortionÐ Ôp Ðunder€color€of€official€right€by€affirming€a€conviction€based€on€an€official's€passive€acceptance€ofÐ À\ Ða€payment€known€to€have€been€offered€in€exchange€for€a€specific€requested€exercise€of€officialÐ ¬H Ðpower.€€òòEvansóó€also€held€that€the€òòquid€pro€quoóó€requirement€of€òòMcCormickóó€is€met€when€"the€publicÐ ˜4 Ðofficial€receives€payment€[a€campaign€contribution]€in€return€for€his€agreement€to€performÐ „  Ðspecific€official€acts;€fulfillment€of€the€òòquid€pro€quoóó€is€not€an€element€of€the€offense."€€504€U.S.Ð p  Ðat€256,€268„69.€Ð \ø Ðà  àExtortion€under€"color€of€official€right"€does€not€require€compulsion€or€duress.€€WrongfulÐ ¾Z Ðuse€of€office€to€induce€payments€to€or€at€the€direction€of€a€public€official€will€make€out€anÐ ª F Ðextortion.€€Because€threats€or€coercion€are€not€required,€the€facts€of€some€cases€will€be€fairlyÐ –!2  Ðsimilar€to€the€facts€of€a€bribery€case,€in€that€the€"victim"€will€be€buying€the€influence€of€a€publicÐ ‚"! Ðofficial,€often€with€very€subtle€inducements€on€the€part€of€the€public€official€to€make€payoffs€toÐ n# " Ðhim.€€òòSee€United€States€v.€Brownóó,€540€F.2d€364€(8th€Cir.€1976);€òòUnited€States€v.€Frenchóó,€628Ð Z$ö# ÐF.2d€1069€(8th€Cir.€1980).€Ð F%â$ Ðà  àThe€term€"property"€has€been€broadly€defined€under€the€Hobbs€Act,€and€includes€not€onlyÐ ¨&D & Ðtangible€property,€but€includes€"any€valuable€right€considered€as€a€source€of€wealth."€€òòSee€UnitedÐ ”'0!' ÐStates€v.€Provenzanoóó,€334€F.2d€678€(3d€Cir.€1964).€Ð €("( Ðà  àFear€of€economic€injury€has€also€been€held€to€include€the€fear€of€lost€businessÐ â)~#* Ðopportunities,€and€the€fear€of€loss€of€one's€ability€to€compete€in€the€marketplace.€€òòUnited€States€v.Ð Î*j$+ ÐHathawayóó,€534€F.2d€386,€393-94€(1st€Cir.€1976).€Ð º+V%, Ðà  àIt€is€not€necessary€that€the€Government€prove€that€a€defendant€himself€benefitted€fromÐ d Ðany€extortion.€€Extortion€is€proven€if€the€payments€are€made€to€a€third€party,€or€entity,€at€theÐ Pì Ðdirection€of€the€defendant.€€òòUnited€States€v.€Provenzanoóó;€òòUnited€States€v.€Greenóó,€350€U.S.€415,Ð <Ø Ð420€(1956).€Ð ( Ä Ðà  àFurther,€only€a€minimal€effect€on€interstate€commerce€is€required€to€establish€jurisdictionÐ Š & Ðunder€the€Hobbs€Act€because€Congress€intended€to€exercise€the€full€scope€of€its€power€under€theÐ v  ÐInterstate€Commerce€Clause€of€the€United€States€Constitution.€€òòUnited€States€v.€Dobbsóó,€449€F.3dÐ b þ Ð904,€912€(8òòthóó€Cir.€2006)€(robbery€of€stand„alone,€ð ðmom€and€popðð€convenience€store€was€a€HobbsÐ N ê ÐAct€violation,€even€though€the€store€had€only€a€de€minimus€connection€to€interstate€commerce);òòÐ :Ö  ÐUnited€States€v.€Farmeróó,€73€F.3d€at€843€(robbery€of€a€single€HyVee€grocery€store€sufficient€toÐ &  Ðsupport€conviction€where€store€was€part€of€a€national€chain€which€received€goods€shipped€inÐ ®  Ðinterstate€commerce);€òòUnited€States€v.€Quigleyóó,€53€F.3d€909€(8òòthóó€Cir.€1995)€(robbery€of€twoÐ þš  Ðindividuals€of€a€pouch€of€chewing€tobacco€and€eighty€cents€while€on€way€to€purchase€beer€fromÐ ê†  Ðstore€which€received€goods€in€interstate€commerce€not€sufficient€to€support€conviction).€Ð Ör  ÐHowever,€the€effect€on€interstate€commerce€must€be€actual€and€not€merely€probable€or€potential,Ð Â^  ÐòòUnited€States€v.€Williamsóó,€308€F.3d.€833€(8òòthóó€Cir.€2002),€unless€the€case€involves€prosecution€ofÐ ®J Ðan€attempt€crime.€€In€such€a€case,€a€probable€or€potential€impact€is€sufficient.€€òòUnited€States€v.Ð š6 ÐFosteróó,€443€F.3d€at€984.€Ð †" Ðà  àIf€attempted€extortion€is€charged,€the€instruction€should€be€modified€accordingly.€Ð è„ ÐFurthermore,€in€attempted€extortion,€the€focus€is€on€the€defendant's€intent,€rather€than€on€the€stateÐ Ôp Ðof€mind€of€the€victim.€€òòUnited€States€v.€Smithóó,€631€F.2d€at€104.€€An€attempt€to€arouse€fear€isÐ À\ Ðsufficient.€€òòUnited€States€v.€Frazieróó,€560€F.2d€884,€887€(8th€Cir.€1977).€€The€actual€generation€ofÐ ¬H Ðfear€is€unnecessary.€€òòUnited€States€v.€Mitchellóó,€463€F.2d€187€(8th€Cir.€1972).€€ð ðððThe€offense€ofÐ ˜4 Ðattempted€extortion€is€complete€when€the€defendant€has€attempted€to€induce€his€victim€to€partÐ „  Ðwith€property.ðððð€€òòUnited€States€v.€Fosteróó,€443€F.3d€at€985€(quoting€òòUnited€States€v.€Frazieróó,€560Ð p  ÐF.2d€at€887).Ð \ø Ðà  àThere€is€no€requirement€that€the€public€official€have€the€actual€power€to€perform€an€actÐ ¾Z Ðwhich€is€the€basis€of€an€extortionate€scheme.€€As€long€as€the€victim€holds€a€reasonable€belief€thatÐ ª F Ðthe€defendant's€office€included€the€apparent€authority€to€do€the€acts€which€a€defendant€claims€heÐ –!2 Ðcan€carry€out,€an€extortion€is€proven.€€In€cases€involving€apparent€authority,€the€jury€should€beÐ ‚"  Ðinstructed€on€this€issue€in€terms€of€the€specific€case€involved.€€An€example€is€as€follows:€Ð n# ! Ðà0  àYou€must€find€that€Leo€Victim€reasonably€believed€that€Senator€Doe's€official€powersÐ Ð$l# Ðincluded€the€securing€of€leases€for€the€State€of€Missouri.€€You€need€not€find,€however,Ð ¼%X$ Ðthat€Senator€Doe€actually€held€this€power.€Ð¨&D %(#(# ÐòòSee€United€States€v.€Mazzeióó,€521€F.2d€639,€643€n.2€(3d€Cir.€1975);€òòUnited€States€v.€Brownóó,€540Ð  (¦!' ÐF.2d€364,€372€(8th€Cir.€1976).€€In€òòUnited€States€v.€Loftusóó,€992€F.2d€793,€796€(8th€Cir.€1993),€theÐ ö(’"( Ðcourt€of€appeals€stated,€"[a]ctual€authority€over€the€end€result€„€rezoning€„€is€not€controlling€ifÐ â)~#) ÐLoftus,€through€his€official€position,€had€influence€and€authority€over€a€means€to€that€end."šÐ  Î*j$* ÐÖ€ïíì®ÖÓ €Óà@ææìàò òÔ% € ÔÔ  Ô6.18.1955.€€ILLEGAL€GAMBLING€BUSINESS€(18€U.S.C.€ðð€1955)Ô st3àÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€conducting€an€illegal€gambling€business,€as€charged€in€[Count€_____€of]€theÐ <Ø Ðindictment,€has€three€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€that€the€defendant€knowingly€[conducted]€[financed]€[managed]€[supervised]Ð  œ Ð[directed]€[owned]òò1óó€[all€of]€[part€of]€a€gambling€business€in€which€five€or€more€persons€wereÐ b þ Ðinvolved€in€the€operation€of€the€business;Ð Ä `  Ðà  àòòTwoóó,€that€such€gambling€business€was€a€violation€of€the€law[s]€of€the€state[s]€of€(name€ofÐ &  Ðstate(s)).òò2óóÐ ˆ$  Ðà  àòòThreeóó,€that€such€gambling€business€was€in€substantially€continuous€operation€for€a€periodÐ ê†  Ðmore€than€thirty€days€or€had€a€gross€revenue€of€$2,000€or€more€in€any€one€day.€€Ð Lè  Ðà  à["Bookmaking"€is€a€form€of€gambling€and€involves€the€business€of€establishing€certainÐ ®J Ðterms€and€conditions€applicable€to€given€bets€or€wagers,€usually€called€a€line€or€odds,€and€thenÐ ¬ Ðaccepting€bets€from€members€of€the€public€on€either€side€of€the€wagering€proposition€with€a€viewÐ r Ðtoward€making€a€profit€from€a€percentage€or€commission€collected€from€the€bettors€or€customersÐ Ôp Ðfor€the€privilege€of€placing€the€bets.€€You€are€instructed€that€"bookmaking"€is€a€crime€in€theÐ 6Ò ÐState[s]€of€(name€of€state(s)].òò3óóÐ ˜4 Ðà  à[The€word,€"conduct,"€as€it€is€used€in€connection€with€the€gambling€business,€means€toÐ ú–  Ðperform€any€act,€function€or€duty€which€is€necessary€to€or€helpful€in€the€ordinary€operation€of€theÐ \ø" Ðbusiness.€€A€person€may€be€found€to€conduct€a€gambling€business€even€though€[he]€[she]€is€onlyÐ ¾Z$ Ðan€agent€or€employee€having€no€part€in€the€management€or€control€of€the€business€and€no€shareÐ  !¼& Ðin€the€profits.]òò4óóÐ ‚"( Ðà  à[A€mere€bettor€or€customer€of€a€gambling€business€cannot€properly€be€said€to€conduct€theÐ ä#€* Ðbusiness.]€€[If,€however,€you€find€beyond€a€reasonable€doubt€that€a€defendant€is€a€bookmaker€andÐ F%â, Ðthat€[he]€[she]€regularly€exchanges€line€information,€or€regularly€places€or€accepts€layoff€betsÐ ¨&D . Ðwith€another€bookmaker,€you€may€consider€that€the€defendant€and€the€other€bookmaker€as€beingÐ  (¦!0 Ðmembers€of€the€same€gambling€business.]òò5óóÐ l)#2 Ðà  à[It€is€not€necessary€to€prove€[that€anyone€other€than€the€defendant€has€been€charged€withÐ Î*j$4 Ðan€offense]€[that€the€same€five€people,€including€the€defendant,€owned,€financed€or€conductedÐ 0,Ì%6 Ðsuch€gambling€business€throughout€more€than€a€thirty„day€period]€[that€the€defendant€knew€theÐ d Ðnames€or€identities€of€any€given€number€of€people€who€might€have€been€so€involved].]òò6óó€€[NeitherÐ Æb Ðmust€it€be€proved€that€bets€were€accepted€every€day€over€a€greater€than€thirty„day€period,€òònoróó€thatÐ ( Ä Ðsuch€activity€constituted€the€primary€business€or€employment€of€the€defendant.]òò7óó€€Ð Š & Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð ì ˆ ÐÓ€ÓÓ €ÓÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ N ê  Ðà  à1.€€The€word[s],€"(conducted)€(financed)€(managed)€(supervised)€(directed)€(owned),"€areÐ °L  Ðall€used€in€their€ordinary€sense.€€Ð œ8  ÐÔ'œN 2îÔà  à2.€€Fill€in€the€name€of€the€state(s)€whose€gambling€laws€were€allegedly€violated.€€MultipleÐ þš  Ðstate€law€violations€may€be€subsumed€under€a€single€section€1955€violation.€€òòSeeóó€òòSanabriaóó,€437Ð ê†  ÐU.S.€at€72„73.Ð Ör  Ðà  à3.€€In€many€cases,€instructing€the€jury€whether€a€particular€form€of€gambling,€e.g.,Ð 8Ô  Ðbookmaking,€violates€state€law€will€suffice.€€However,€if€the€defense€contends€that€the€form€ofÐ $À Ðgambling€shown€by€the€evidence€did€not€violate€state€law,€a€more€detailed€explanation€of€theÐ ¬ Ðelements€of€the€state€violation€may€be€appropriate.€€For€example:Ð ü˜ Ðà0  àBookmaking€[is]€a€felony€crime€in€the€State€of€Missouri€when€conducted€as€a€businessÐ ^ú Ðrather€than€in€a€casual€or€personal€fashion,€and€when€a€bookmaker€or€bookie€accepts€moreÐ Jæ Ðthan€one€bet€in€any€day€and€accepts€more€than€$100€in€bets.Ð6Ò(#(# ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€646€(8th€Cir.€1991).Ð ˜4 Ðà  àWhere€the€defense€contends€a€narrow€or€specific€exemption€from€the€state€law€applied€toÐ ú– Ðthe€gambling€business€which€prevented€it€from€being€illegal,€a€more€detailed€focus€may€beÐ æ‚ Ðappropriate.€€The€state€instruction€should€be€consulted€for€information€as€to€how€to€instruct,€andÐ Òn  Ðwhat€are€the€elements€of€the€state€offense.Ð ¾Z! Ðà  àIt€is€the€defendant's€obligation€to€raise€the€issue€that€the€gambling€business€fell€within€anÐ  !¼# Ðexemption€from€state€law.€€òòSeeóó€òòUnited€States€v.€Cartanoóó,€534€F.2d€788,€791€(8th€Cir.€1976).€€TheÐ  "¨$ ÐGovernment€has€the€ultimate€burden€of€showing€there€is€no€exemption.€€Ð ø"”% Ðà  àSection€1955€is€not€a€specific€intent€offense.€€òòSeeóó€òòUnited€States€v.€Kohneóó,€358€F.€Supp.Ð Z$ö' Ð1053,€1061€(W.D.€Pa.€1973),€òòaffððdóó,€487€F.2d€1395€(3d€Cir.€1973);€òòaccordóó€òòUnited€States€v.Ð F%â( ÐMendelsohnóó,€896€F.2d€1183,€1188€(9th€Cir.€1990).€€In€fact,€the€Government€need€not€prove€thatÐ 2&Î) Ðthe€òòdefendantóó€himself€performed€any€act€prohibited€by€state€law.€€The€focus€is€on€the€illegalÐ 'º * Ðnature€of€the€gambling€òòbusinessóó€which€the€Government€must€prove€the€defendant€"conducted,"Ð  (¦!+ Ð"financed,"€etc.,€under€section€1955(a).€€òòSanabriaóó,€437€U.S.€at€70;€òòUnited€States€v.€Murrayóó,€928Ð ö(’", ÐF.2d€1242,€1245€(1st€Cir.€1991).€€òòSee€alsoóó€òòUnited€States€v.€Hillóó,€935€F.2d€196,€199€(11th€Cir.Ð â)~#- Ð1991)€(regulatory€exception€to€21€U.S.C.€ðð€952(a)€is€an€affirmative€defense€with€the€defendantÐ Î*j$. Ðbearing€the€burden€of€going€forward).Ð º+V%/ Ðà  à4.€€The€Eighth€Circuit€follows€the€majority€view€in€holding€that€"all€levels€of€personnelÐ d Ðinvolved€in€the€gambling€business,€not€just€those€on€the€management€level,€are€to€be€consideredÐ Pì Ðin€determining€whether€five€or€more€persons€conduct€such€business€within€the€meaning€ofÐ <Ø Ðsection€1955.€€òòUnited€States€v.€Hammondóó,€821€F.2d€473,€476€(8th€Cir.€1987).€€Thus,€it€is€enoughÐ ( Ä Ðif€the€person€is€"helpful"€as€opposed€to€"necessary."€€òòId.óó,€n.5;€òòMerrell€v.€United€Statesóó,€463€U.S.Ð  ° Ð1230,€1231€(1983)€(dissent€in€denial€of€petition€where€the€defendant's€conduct€was€serving€drinksÐ  œ Ðand€cleaning€up);€òòUnited€States€v.€Bennettóó,€563€F.2d€879,€883„84€(8th€Cir.€1977)€(waitressÐ ì ˆ Ðserving€drinks).€€òòBut€seeóó€òòUnited€States€v.€Bossóó,€671€F.2d€396€(10th€Cir.€1982).€€The€statute€isÐ Ø t Ðintended€to€apply€to€all€who€participate€in€the€gambling€operation€except€the€bettor.€€òòSanabria€v.Ð Ä ` ÐUnited€Statesóó,€437€U.S.€54,€70„71€n.26€(1978);€òòUnited€States€v.€Hammondóó,€821€F.2d€473,€476Ð °L  Ð(8th€Cir.€1987);€òòUnited€States€v.€Smaldoneóó,€583€F.2d€1129,€1132€(10th€Cir.€1978).Ð œ8  Ðà  à5.€€The€bracketed€sentence€may€be€needed€where€a€jury€must€decide€whether€a€particularÐ þš  Ðbookmaker€was€part€of€the€single€gambling€business€alleged€in€the€indictment,€or€an€independentÐ ê†  Ðoperator€who€had€contact€with€the€alleged€business€only€in€placing€personal€bets.€Ð Ör  Ðà  à6.€€òòUnited€States€v.€Segalóó,€867€F.2d€1173€(8th€Cir.€1989).Ð 8Ô  Ðà  à7.€€These€should€be€included€only€if€they€are€in€issue€in€the€case.Ð š6 ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ü˜ Ðà  àòòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rg#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r±#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rø#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rG#Ô:€€CriminalÐ ^ú Ððððð55.01„.10€(5th€ed.€2000)Ô':üáÔ.€Ð Jæ Ðà  àWhether€the€evidence€established€that€five€or€more€persons€were€involved€in€conductingÐ ¬H Ðthe€gambling€business€is€a€frequent€issue.€€The€Government€need€not€prove€that€a€particularÐ ˜4 Ðdefendant€òòknewóó€or€reasonably€anticipated€that€five€or€more€persons€were€involved.€€òòUnited€StatesÐ „  Ðv.€Segalóó,€867€F.2d€1173,€1178€n.6€(8th€Cir.€1989).€€Evidence€of€layoff€betting€and€otherÐ p  Ðrelationships€between€bookmakers€may€establish€that€apparently€separate€bookmaking€operationsÐ \ø Ðare€part€of€a€single€business.€€òòUnited€States€v.€Parrinoóó,€816€F.2d€414,€416€(8th€Cir.€1987);€òòUnitedÐ Hä ÐStates€v.€Reederóó,€614€F.2d€1179,€1183€(8th€Cir.€1980);€òòUnited€States€v.€Guzekóó,€527€F.2d€552€(8thÐ 4 Ð ÐCir.€1975);€òòUnited€States€v.€Thomasóó,€508€F.2d€1200€(8th€Cir.€1975).€€Ð  !¼  Ðà  àThe€trial€court€determines€as€a€matter€of€law€which€state€gambling€statute€may€beÐ ‚"" Ðapplicable.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Clementsóó,€588€F.2d€1030,€1037€(5th€Cir.€1979)€and€441Ð n# # ÐU.S.€936€(1979).€€Minimal€or€even€no€explanation€to€the€jury€of€the€state€statute€allegedlyÐ Z$ö$ Ðviolated€has€been€upheld.€€òòUnited€States€v.€Balistrierióó,€779€F.2d€1191,€1223€(7th€Cir.€1985);Ð F%â% ÐòòUnited€States€v.€Quarryóó,€614€F.2d€245€(10th€Cir.€1980)€(citing€òòUnited€States€v.€Crockettóó,€506Ð 2&Î& ÐF.2d€759,€761€(5th€Cir.€1975)).€€The€Fifth€and€Eleventh€Circuits'€pattern€instructions€recommendÐ 'º ' Ðadvising€the€jury€that€the€particular€type€of€gambling€alleged,€e.g.,€bookmaking,€is€a€violation€ofÐ  (¦!( Ðstate€law.€€It€is€the€gambling€business€that€must€violate€state€law„„not€the€individual€acts€of€aÐ ö(’") Ðparticular€defendant.€€òòSanabria€v.€United€Statesóó,€437€U.S.€54,€70€(1978).€€Ð â)~#* Ðà  à"Gambling"€is€defined€in€section€1955(b)(2).€€Gambling€terminology€is€explained€inÐ D+à$, ÐòòUnited€States€v.€Thomasóó,€508€F.2d€1200,€1202€n.2€(8th€Cir.€1975).€€Ð 0,Ì%- Ðà  à"Gross€revenue"€is€measured€by€the€total€amount€of€wagers€placed€during€a€single€day.€Ð d ÐòòUnited€States€v.€Rotchfordóó,€575€F.2d€166€(8th€Cir.€1978).€€Ð  Pì ÐÖ€ñïì¯ÖÓ €Óà@@@ìàò òÔ% €ƒ ÔÔ  Ô6.18.1956A.€€MONEY€LAUNDERING€„€FINANCIAL€TRANSACTION€TO€ˆÐ d Ðà@hh ìàPROMOTE€SPECIFIED€UNLAWFUL€ACTIVITY€(18€U.S.C.€ðð1956(a)(1)(A)(i))Ô ,€´ Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[conducting]€[attempting€to€conduct]€an€illegal€financial€transaction,€asÐ ( Ä Ðcharged€in€[Count[s]€_____€of]€the€indictment€has€four€elements,€which€are:Ð Š & Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€[conducted]€[attemptedÐ ì ˆ Ðto€conduct]òò2óó€a€financial€transaction,òò3óó€that€is,€(describe€in€simple€terms,€e.g.,€the€purchase€of€anÐ N ê  Ðautomobile),€which€in€any€way€or€degree€affected€interstate€or€foreign€commerce;òò4óóÐ °L  Ðà  àòòTwoóó,€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financial€transaction€withÐ ®  Ð(describe€the€property,€e.g.,€money,€certificates€of€deposit)€€that€involved€the€proceedsòò5óó€ofÐ t  Ð(describe€the€specified€unlawful€activity,òò6óó€e.g.,€unlawful€distribution€of€cocaine);Ð Ör  Ðà  àòòThreeóó,€at€the€time€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financialÐ 8Ô  Ðtransaction,€the€defendant[s]€knew€the€(describe€property)€represented€the€proceeds€of€some€formÐ š6 Ðof€unlawful€activity;òò7óó€and€Ð ü˜ Ðà  àòòFouróó,€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financial€transaction€withÐ ^ú Ðthe€intent€to€promote€the€carrying€on€of€(describe€the€specified€unlawful€activity).òò8óóÐ À\ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€conduct€a€financial€transaction€if€[he]Ð "¾ Ð[she]€intended€to€conduct€a€financial€transaction€and€voluntarily€and€intentionally€carried€outÐ „  Ðsome€act€which€was€a€substantial€step€toward€conducting€that€financial€transaction,€even€if€theÐ æ‚! Ðtransaction€was€never€completed.]òò9óóÐ Hä# Ðà  à[The€term€"conducted,"€as€used€in€[this]€[Instruction[s]€_____]€includes€initiating,Ð ª F% Ðconcluding€or€participating€in€initiating€or€concluding€a€transaction.]òò10óóÐ  "¨' Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€___€of]€theÐ n# ) Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ Ð$l+ Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ 2&Î- Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€sÔ_ÔubstantiveÔ_Ô€moneyÐ ”'0!/ Ðlaundering€instructions).]òò11óóÐ ö(’"1 Ðà  à[It€is€not€necessary€to€show€that€[a]€[the]€defendant€intended€to€commit€(specifyÐ X*ô#3 Ðadditional€crime)€[himself]€[herself];€it€is€sufficient€that€in€[conducting]€[attempting€to€conduct]Ð º+V%5 Ðthe€financial€transaction,€[a]€[the]€defendant€[himself]€[herself]€intended€to€make€the€unlawfulÐ d Ðactivity€easier€or€less€difficult.]òò12óó€Ð Æb Ðà  à[The€crime€charged€in€[Count[s]€____€of]€the€indictment€alleges€multiple€purposes€for€theÐ ( Ä Ðcrime,€that€is,€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€transaction€wasÐ Š & Ð[conducted]€[attempted]€for€the€purposes€of€(list€all€objectives).€€To€find€[the€defendant]Ð ì ˆ Ð[defendant[s]€(name[s])]€guilty€of€the€offense[s],€you€must€agree€unanimously€that€one€or€moreÐ N ê  Ðof€the€objectives€charged€were€proved€beyond€a€reasonable€doubt.]òò13óóÐ °L  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòSeeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ®  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ t  Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ Ör  Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ Â^  Ðand€Ô'&t}Ôregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ ®J ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð š6 Ðand€1956(a)(2)(B)(ii).Ð †" Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ è„ Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ Ôp Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ À\ Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ ¬H Ðon€October€27,€1986.И4(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð ú– Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð æ‚ Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ Òn  Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ ¾Z! Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ ª F" Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ –!2# Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ђ"$(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ ä#€& ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ Ð$l' Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð ¼%X( Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ ¨&D ) Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ ”'0!* Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ €("+ Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ l)#, Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ X*ô#- Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð D+à$. Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð 0,Ì%/ Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ d Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ Pì Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ <Ø Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð ( Ä Ð(Specified€Unlawful€Activity),€òòinfraóó.Ð °(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð v  Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ b þ Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð N ê Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ :Ö  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ &  Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð ®  Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D)),€and€createdÐ þš  Ðthe€offense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€asÐ ê†  Ðthe€object€offenses.€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ Ör  Ðconspiracy€to€violate€18€U.S.C.€ðð€1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð Â^  ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ ®J Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ š6 Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ †" Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ r Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ð^ú(#(# Ðà  à2.€€Both€types€of€activity€have€been€proscribed€since€original€enactment€of€section€1956.€Ð À\ ÐòòSeeóó€18€U.S.C.€ðððð€1956(a)(1),€(a)(2)€and€(a)(3).€€Ð ¬H Ðà  à3.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€"Financial€transaction"€isÐ ª Ða€term€of€art€originally€defined€in€18€U.S.C.€ðð€1956(c)(4)€and€subsequently€expanded€andÐ ú– Ðclarified€through€amendments.€€It€encompasses€another€statutorily€defined€term€of€art,Ð æ‚ Ð"transaction,"€which€has€also€been€expanded€since€the€enactment€of€section€1956(c)(3).€€TheÐ Òn ÐCommittee€recommends€careful€review€to€determine€which€of€the€provisions€of€sectionsÐ ¾Z Ð1956(c)(3)€and€1956(c)(4)€were€in€effect€at€the€time€of€the€alleged€financial€transaction.€€òòSeeóóÐ ª F ÐNote€1,€òòsupraóó.Ð –!2 Ðà  à4.€€òòSeeóó€Instruction€6.18.1956J(2)€(Interstate€and€Foreign€Commerce),€òòinfraóó.€€All€sectionÐ ø"”! Ð1956€offenses€require€proof€that€the€financial€transaction€itself€or€the€financial€institution,€if€oneÐ ä#€" Ðwas€involved,€in€some€way€affected€interstate€or€foreign€commerce.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4);Ð Ð$l# ÐòòUnited€States€v.€Bakeróó,€985€F.2d€1248,€1252€(4th€Cir.€1993)€(element€under€sectionÐ ¼%X$ Ð1956(a)(1)(B)(i));€òòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€n.6€(8th€Cir.€1992)Ð ¨&D % Ð(expert€witness€testified€as€to€issue),€šòòaff'd€on€other€groundsóó,€511€U.S.€513€(1994);€òòUnited€StatesÐ ”'0!& Ðv.€Gonzalez„Rodriguezóó,€966€F.2d€918,€924€(5th€Cir.€1992)€(discussing€òòUnited€States€v.€Galloóó,€927Ð €("' ÐF.2d€815,€823€(5th€Cir.€1991)€and€òòUnited€States€v.€Hamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.Ð l)#( Ð1991)).€€The€Eighth€Circuit€has€not€ruled€whether€the€indictment€must€explicitly€allege€theÐ X*ô#) Ðinterstate/foreign€commerce€nexus.€€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1219€(8th€Cir.€1991)Ð D+à$* Ð(court€was€not€required€to€reach€the€issue€because€the€indictment€which€alleged€construction€of€aÐ 0,Ì%+ Ðshopping€center€and€purchase€of€merchandise€could€be€reasonably€construed€to€allege€theÐ d Ðelement).€€òòSee€also€United€States€v.€Greenóó,€964€F.2d€365,€374€(5th€Cir.€1992)€(citing€òòLucasóó);Ð Pì ÐòòUnited€States€v.€Lovettóó,€964€F.2d€1029,€1038€(10th€Cir.€1992)€(under€section€1957,€the€interstateÐ <Ø Ðcommerce€nexus€is€jurisdictional€but€not€an€element€of€the€crime€charged)€(citing€òòUnited€StatesÐ ( Ä Ðv.€Kelleyóó,€929€F.2d€582,€586€(10th€Cir.€1991)).€€Given€the€lack€of€controlling€law€on€this€issue,Ð  ° Ðthe€Committee€recommends€that€the€nexus€be€alleged€in€the€indictment.€€In€any€case,€a€finding€ofÐ  œ Ðan€effect€on€interstate€or€foreign€commerce€of€either€the€transaction€itself€or€the€activities€of€theÐ ì ˆ Ðfinancial€institution,€if€one€was€involved,€is€essential.€€òòSee€United€States€v.€Ben€M.€Hogan€Co.,Ð Ø t ÐInc.óó,€769€F.2d€1293,€1297€(8th€Cir.€1985)€(reversible€error€for€a€district€court€to€give€anÐ Ä ` Ðinstruction€which€could€have€been€understood€to€include€a€conclusive€presumption€of€effect€onÐ °L  Ðinterstate€commerce,€where€such€a€finding€by€the€jury€was€essential€in€a€prosecution€under€theÐ œ8  ÐSherman€Anti„Trust€Act).Ð ˆ$  Ðà  à5.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds),€òòinfraóó.€€The€term€is€not€defined€in€18€U.S.C.Ð ê†  Ððð1956(c).Ð Ör  Ðà  à6.€€òòSeeóó€Instruction€6.18.1956J(7)€(Specified€Unlawful€Activity).€òòinfraóó.€€The€term€shouldÐ 8Ô  Ðnot€be€confused€with€"unlawful€activity"€in€general€and€has€a€specific,€statutory€meaning,€as€setÐ $À Ðforth€in€section€1956(c)(7).€€Because€that€section€has€had€numerous€amendments,€and€itselfÐ ¬ Ðincorporates€activities€defined€in€several€other€statutes,€the€Committee€recommends€carefulÐ ü˜ Ðreview€of€both€the€provisions€of€section€1956(c)(7)€and€of€the€incorporated€statutes€which€wereÐ è„ Ðin€effect€at€the€time€of€the€alleged€financial€transaction€(section€1956(a)(1))€or€transportation,Ð Ôp Ðtransmission€or€transfer€(section€1956)(a)(2)).€€òòSee€alsoóó€Note€8,€òòinfraóó.€Ð À\ Ðà  àThroughout€these€instructions,€the€plain€description€of€the€offense€has€been€substitutedÐ "¾ Ðfor€the€phrase€"specified€unlawful€activity"€(SUA),€which€is€a€term€of€art€specifically€defined€inÐ ª Ð18€U.S.C.€ðð1956(c)(7),€and€which€incÔ_ÔorporatesÔ_Ô€òòinter€aliaóó€most€of€18€U.S.C.€ðð1961(1).€€If€theÐ ú– Ðindictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€to€whether€aÐ æ‚ Ðparticular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€€SectionÐ Òn Ð1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€November€18,Ð ¾Z Ð1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€òòsupraóó.€€The€provisions€ofÐ ª F Ðsection€1956(c)(7)€used€should€correspond€to€the€alleged€date€of€the€offense.€€Further,€many€ofÐ –!2 Ðthe€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€the€definition€ofÐ ‚"  Ð"racketeering€activity,"€contained€in€18€U.S.C.€ðð€1961(1).€€That€statute€has€also€been€amendedÐ n# ! Ðsince€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€November€29,Ð Z$ö" Ð1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ F%â# Ðprovisions€of€section€1961(1)€should€also€be€reviewed.Ð 2&Î$ Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J,€òòinfraóó.€€The€requirement€that€the€defendant€knew€theÐ ”'0!& Ðproperty€involved€in€the€financial€transaction€represented€the€proceeds€of€some€form€of€unlawfulÐ €("' Ðactivity€is€common€to€all€section€1956(a)(1)€offenses.€€"Unlawful€activity"€encompasses€manyÐ l)#( Ðmore€violations€than€"specified€unlawful€activity."€€òòCompareóó€section€1956(c)(1)€òòwithóó€sectionÐ X*ô#) Ð1956(c)(7).€€However,€between€October€27,€1986,€and€November€29,€1990,€it€did€not€includeÐ D+à$* Ðfelony€violations€of€foreign€law.€€òòSeeóó€Note€1,€òòsupraóó.Ð 0,Ì%+ Ðà  à8.€€The€mens€rea€required€under€sections€1956(a)(1)(A),€(a)(2)(A),€and€(a)(3)€offenses€isÐ d Ðmore€restrictive€than€under€sections€1956(a)(1)(B)€and€(a)(2)(B).€€The€former€requires€proof€ofÐ Pì Ðthe€defendant's€intent;€the€latter€merely€requires€that€the€defendant€have€knowledge€of€the€objectÐ <Ø Ðof€the€financial€transaction.€€òòSeeóó€G.€Richard€Strafer,€òòMoney€Laundering:€€The€Crime€of€the€'90'sóó,Ð ( Ä Ð27€Amer.€Crim.€L.€Rev.€149,€162,€172€(1989).€€Ð  ° Ðà  àUnder€sections€1956(a)(1)(A)(i),€1956(a)(2)(a)€and€1956(a)(3),€the€defendant€must€haveÐ v  Ðacted€with€the€intent€to€promote€a€"specified"€unlawful€activity,€as€defined€in€18€U.S.C.Ð b þ Ððð1956(c)(7),€rather€than€the€more€broadly€described€unlawful€activity€defined€in€18€U.S.C.Ð N ê Ððð1956(c)(1).€€òòSeeóó€Note€12,€òòinfraóó.€€Although€the€specified€unlawful€activity€inserted€in€the€secondÐ :Ö  Ðelement,€òòseeóó€Note€6,€òòsupraóó,€will€frequently€be€the€same€set€forth€regarding€the€defendant's€intent,Ð &  Ðthe€two€forms€of€specified€unlawful€activity€need€not€be€the€same,€e.g.,€drug€proceeds€with€whichÐ ®  Ðthe€defendant€conducts€a€transaction€with€the€intent€of€making€a€fraudulent€credit€application.Ð þš  Ðà  àOn€November€18,€1988,€section€1956(a)(1)(A)(ii)€was€added,€creating€a€fourth€objectiveÐ `ü  Ðconstituting€an€offense€under€section€1956(a)(1):€€"[w]ith€intent€to€engage€in€conduct€constitutingÐ Lè  Ða€violation€of€section€7201€or€7206€of€the€Internal€Revenue€Code€of€1986"€(i.e.,€attempt€to€evadeÐ 8Ô  Ðor€defeat€tax€or€making€false€statements,€26€U.S.C.€ðððð€7201€and€7206).€€The€Committee€believesÐ $À Ðthat€section€1956(a)(1)(A)(ii)€prosecutions€will€be€rare;€therefore,€no€instruction€is€included.€€IfÐ ¬ Ðused,€such€an€instruction€should€define€what€constitutes€violations€of€26€U.S.C.€ðð€7201€or€7206,Ð ü˜ Ðas€appropriate.€€The€jury€should€also€be€instructed€that€they€must€consider€a€defendant's€asserted,Ð è„ Ðsubjective€beliefs€that€any€unreported€income€was€not€income€under€the€law€and/or€that€theÐ Ôp Ðdefendant€was€not€a€taxpayer€within€the€meaning€of€the€Internal€Revenue€Code.€€òòSee€Cheek€v.Ð À\ ÐUnited€Statesóó,€498€U.S.€192,€202„03€(1991)€(error€for€trial€court€to€instruct€jury€that€theÐ ¬H Ðdefendant's€subjective€beliefs€should€not€be€considered€in€determining€whether€he€actedÐ ˜4 Ðwillfully);€òòUnited€States€v.€Grunewaldóó,€987€F.2d€531,€535„36€(8th€Cir.€1993).€€The€Court€wouldÐ „  Ðnot€be€required€to€give€a€òòCheekóó€instruction€if€the€facts€demonstrated€that€the€defendantÐ p  Ðchallenged€the€constitutionality€or€validity€of€the€tax€laws,€rather€than€held€a€good€faith€butÐ \ø Ðmistaken€belief€or€misunderstanding€that€the€law€did€not€apply€to€him.€€òòSee€United€States€v.Ð Hä ÐDackóó,€987€F.2d€1282,€1285€(7th€Cir.€1993)€(citing€òòUnited€States€v.€Cheekóó,€931€F.2d€1206,€1208Ð 4 Ð Ð(7th€Cir.€1991)€(on€remand€from€the€Supreme€Court)).€€òòSee€also€United€States€v.€Dykstraóó,€991Ð  !¼ ÐF.2d€450€(8th€Cir.€1993)€(construing€òòCheekóó€and€discussing€when€a€personal€belief€is€not€relevantÐ  "¨ Ðto€the€issue€of€willfulness).Ð ø"”  Ðà  à9.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð Z$ö" Ðà  à10.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(2).€€This€definition€was€included€in€the€October€27,€1986,Ð ¼%X$ Ðversion€of€the€statute€and€has€not€changed€since.Ð ¨&D % Ðà  à11.€€The€supplemental€definitions€and€instructions€contained€in€Instruction€6.18.1956J,Ð  (¦!' Ðòòinfraóó,€should€be€given€in€most€cases.€€Whether€they€are€inserted€in€each€6.18.1956€instruction€orÐ ö(’"( Ðgiven€after€a€series€of€6.18.1956A€through€6.18.1956I€instructions€is€an€option€for€the€court€toÐ â)~#) Ðconsider€based€on€the€number€and€types€of€money€laundering€counts€and€the€ability€of€the€jury€toÐ Î*j$* Ðrelate€the€definitions€to€the€applicable€counts.Ð º+V%+ Ðà  à12.€€òòSee€United€States€v.€Jacksonóó,€935€F.2d€832,€841€(7th€Cir.€1991);€òòsee€also€UnitedÐ d ÐStates€v.€Coronaóó,€885€F.2d€766,€773€(11th€Cir.€1989)€(the€defendant€himself€does€not€have€to€beÐ Pì Ðinvolved€in€the€offense€being€facilitated).€€The€specified€unlawful€activity€which€a€defendantÐ <Ø Ðintends€to€promote€may€be€a€continuing€offense,€may€be€still€underway€or€may€be€an€offense€thatÐ ( Ä Ðwill€be€committed€in€the€future.€€The€financial€transaction€need€not€be€linked€to€a€specific€futureÐ  ° Ðoffense;€it€is€sufficient€if€a€defendant€intended€to€promote€a€specified€unlawful€activity€generally.€Ð  œ ÐFor€example,€issuing€checks€to€vendors€providing€beeper€and€mobile€telephone€services€used€in€aÐ ì ˆ Ðcontinuing€criminal€enterprise€would€qualify,€but€purchases€of€cellular€phones€not€previouslyÐ Ø t Ðused€or€clearly€intended€for€use€in€the€enterprise€would€not.€€Ð Ä ` Ðà  à13.€€If€the€indictment€alleges€the€defendant€did€not€personally€conduct€the€transaction€butÐ &  Ðknew€the€transaction€was€conducted€for€more€than€one€purpose,€use€the€first€set€of€bracketedÐ ®  Ðlanguage.€€If€the€indictment€alleges€the€defendant€personally€engaged€in€the€financial€transaction,Ð þš  Ðuse€the€second€set€of€bracketed€language.€€The€multiple€objective€situation€may€apply€both€toÐ ê†  Ðmultiple€intent€(i.e.,€sections€1956(a)(1)(A)(i)€and€(ii))€and€to€multiple€knowledge€(i.e.,€sectionsÐ Ör  Ð1956(a)(1)(B)(i)€and€(ii))€allegations,€as€well€as€to€allegations€of€violation€of€both€sectionsÐ Â^  Ð1956(a)(1)(A)(i)€and€1956(a)(1)(B)(i).€€òòSee€United€States€v.€Jacksonóó,€935€F.2d€832,€842€(7th€Cir.Ð ®J Ð1991)€(government€should€give€clear€notice€of€the€provision(s)€under€which€it€is€proceeding).€Ð š6 ÐAlthough€there€is€no€case€law€requiring€unanimity€on€objectives,€if€an€instruction€to€that€effect€isÐ †" Ðdesired,€òòseeóó€Instruction€5.06(F),€òòsupraóó.Ð r ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ôp Ðà  àòòSee€generally€United€Ô'NÔeÔStates€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð 6Ò Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Turneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð "¾ ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€òòšaff'd€on€otherÐ ª Ðgroundsóó,€511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð ú– ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ æ‚ Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð Òn ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ ¾Z Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ ª F ÐProsecution€Manualóó€(Feb.€1992).Ð –!2 Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ ø"”! Ðmost€cases.€€Ð  ä#€" ÐÖ€óñì°ÖÓ €Óà@ë ë ìàò òÔ% €† ÔÔ  Ô6.18.1956B.€€MONEY€LAUNDERING€„€FINANCIAL€ˆÐ d Ðà@77 ìàTRANSACTION€TO€CONCEAL€PROCEEDS€(18€U.S.C.€ðð€1956(a)(1)(B)(i))Ô ioújÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[conducting]€[attempting€to€conduct]€an€illegal€financial€transaction,€asÐ ( Ä Ðcharged€in€[Count[s]€_____€of]€the€indictment€has€four€elements,€which€are:Ð Š & Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€[conducted]€[attemptedÐ ì ˆ Ðto€conduct]òò2óó€a€financial€transaction,òò3óó€that€is,€(describe€in€simple€terms,€e.g.,€the€purchase€of€anÐ N ê  Ðautomobile),€which€in€any€way€or€degree€affected€interstate€or€foreign€commerce;òò4óóÐ °L  Ðà  àòòTwoóó,€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financial€transaction€withÐ ®  Ð(describe€the€property,€e.g.,€money,€certificates€of€deposit)€€that€involved€the€proceedsòò5óó€ofÐ t  Ð(describe€the€specified€unlawful€activity,òò6óó€e.g.,€unlawful€distribution€of€cocaine);Ð Ör  Ðà  àòòThreeóó,€at€the€time€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financialÐ 8Ô  Ðtransaction,€the€defendant[s]€knew€the€(describe€property)€represented€the€proceeds€of€some€formÐ š6 Ðof€unlawful€activity;òò7óó€andÐ ü˜ Ðà  àòòFouróó,€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financial€transactionÐ ^ú Ðknowing€that€the€transaction€was€designed€in€whole€or€in€part€to€conceal€or€disguise€the€nature,Ð À\ Ðlocation,€source,€ownership€or€control€of€the€proceeds€of€(describe€the€specified€unlawfulÐ "¾ Ðactivity).òò8óóÐ „  Ðà  à[A€defendant€may€be€found€to€have€attempted€to€conduct€a€financial€transaction€if€[he]Ð æ‚! Ð[she]€intended€to€conduct€a€financial€transaction€and€voluntarily€and€intentionally€carried€outÐ Hä# Ðsome€act€which€was€a€substantial€step€toward€conducting€that€financial€transaction,€even€if€theÐ ª F% Ðtransaction€was€never€completed.]òò9óóÐ  "¨' Ðà  à[The€term€"conducted,"€as€used€in€[this]€[Instruction[s]€_____]€includes€initiating,Ð n# ) Ðconcluding€or€participating€in€initiating€or€concluding€a€transaction.]òò10óóÐ Ð$l+ Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€___€of]€theÐ 2&Î- Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ ”'0!/ Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ ö(’"1 Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ X*ô#3 Ðlaundering€instructions).]òò11óóÐ º+V%5 Ðà  à[You€may€find€that€[the€defendant]€[defendant[s]€(name[s])]€knew€the€purpose€of€theÐ d Ðfinancial€transaction€was€to€conceal€or€disguise€the€nature,€location,€source,€ownership€or€controlÐ Æb Ðof€the€proceeds€of€(describe€the€specified€unlawful€activity)€if€you€find€beyond€a€reasonableÐ ( Ä Ðdoubt€that€(insert€appropriate€language€from€Instruction€7.04).]òò12óóÐ Š & Ðà  à[The€crime€charged€in€[Count[s]€____€of]€the€indictment€alleges€multiple€purposes€for€theÐ ì ˆ Ðcrime,€that€is,€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€transaction€wasÐ N ê  Ð[conducted]€[attempted]€for€the€purposes€of€(list€all€objectives).€€To€find€[the€defendant]Ð °L  Ð[defendant[s]€(name[s])]€guilty€of€the€offense[s],€you€must€agree€unanimously€that€one€or€moreÐ ®  Ðof€the€objectives€charged€were€proved€beyond€a€reasonable€doubt.]òò13óóÐ t  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ Ör  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 8Ô  Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ š6 Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ †" Ðand€Ô'&8>{Ôregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ r ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð ^ú Ðand€1956(a)(2)(B)(ii).Ð Jæ Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ ¬H Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ ˜4 Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ „  Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ p  Ðon€October€27,€1986.Ð\ø (#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð ¾Z" Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð ª F# Ð4378€and€4398€became€effective€November€18,€1988.€€òòInter€aliaóó€it€added€a€new€offense,Ð –!2$ Ðsection€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engage€inÐ ‚"% Ðviolations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ n# & Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ Z$ö' Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).ÐF%â((#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ ¨&D * ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ ”'0!+ Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð €(", Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ l)#- Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ X*ô#. Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ D+à$/ Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ 0,Ì%0 Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ d Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð Pì Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð <Ø Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ ( Ä Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ  ° Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ  œ Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð ì ˆ Ð(Specified€Unlawful€Activity),€òòinfraóó.ÐØ t(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð :Ö  Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ &  Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð ®  Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ þš  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ ê†  Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð Ör  Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ Â^  Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ ®J Ðobject€offenses.€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ š6 Ðconspiracy€to€violate€18€U.S.C.€ðð1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð †" ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ r Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ ^ú Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ Jæ Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ 6Ò Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ð"¾(#(# Ðà  à2.€€Both€types€of€activity€have€been€proscribed€since€original€enactment€of€section€1956.€Ð „  ÐòòSeeóó€18€U.S.C.€ðððð€1956(a)(1),€(a)(2)€and€(a)(3).€€Ð p  Ðà  à3.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€"Financial€transaction"€isÐ Òn Ða€term€of€art€originally€defined€in€18€U.S.C.€ðð€1956(c)(4)€and€subsequently€expanded€andÐ ¾Z Ðclarified€through€amendments.€€It€encompasses€another€statutorily€defined€term€of€art,Ð ª F Ð"transaction,"€which€has€also€been€expanded€since€the€enactment€of€section€1956(c)(3).€€TheÐ –!2 ÐCommittee€recommends€careful€review€to€determine€which€of€the€provisions€of€sectionsÐ ‚"  Ð1956(c)(3)€and€1956(c)(4)€were€in€effect€at€the€time€of€the€alleged€financial€transaction.€€òòSeeóóÐ n# ! ÐNote€1,€òòsupraóó.Ð Z$ö" Ðà  à4.€€òòSeeóó€Instruction€6.18.1956J(2)€(Interstate€and€Foreign€Commerce),€òòinfraóó.€€All€sectionÐ ¼%X$ Ð1956€offenses€require€proof€that€the€financial€transaction€itself€or€the€financial€institution,€if€oneÐ ¨&D % Ðwas€involved,€in€some€way€affected€interstate€or€foreign€commerce.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4);Ð ”'0!& ÐòòUnited€States€v.€Bakeróó,€985€F.2d€1248,€1252€(4th€Cir.€1993)€(element€under€1956(a)(1)(B)(i));Ð €("' ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€n.6€(8th€Cir.€1992)€(expert€witnessÐ l)#( Ðtestified€as€to€issue),€šòòaff'd€on€other€grounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Gonzalez„Ð X*ô#) ÐRodriguezóó,€966€F.2d€918,€924€(5th€Cir.€1992)€(discussing€òòUnited€States€v.€Galloóó,€927€F.2d€815,Ð D+à$* Ð823€(5th€Cir.€1991)€and€òòUnited€States€v.€Hamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.€1991)).€€TheÐ 0,Ì%+ ÐEighth€Circuit€has€not€ruled€whether€the€indictment€must€explicitly€allege€the€interstate/foreignÐ d Ðcommerce€nexus.€€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1219€(8th€Cir.€1991)€(court€was€notÐ Pì Ðrequired€to€reach€the€issue€because€the€indictment€which€alleged€construction€of€a€shoppingÐ <Ø Ðcenter€and€purchase€of€merchandise€could€be€reasonably€construed€to€allege€the€element).€€òòSeeÐ ( Ä Ðalso€United€States€v.€Greenóó,€964€F.2d€365,€374€(5th€Cir.€1992)€(citing€òòLucasóó);€òòUnited€States€v.Ð  ° ÐLovettóó,€964€F.2d€1029,€1038€(10th€Cir.€1992)€(under€section€1957,€the€interstate€commerce€nexusÐ  œ Ðis€jurisdictional€but€not€an€element€of€the€crime€charged)€(citing€òòUnited€States€v.€Kelleyóó,€929€F.2dÐ ì ˆ Ð582,€586€(10th€Cir.€1991)).€€Given€the€lack€of€controlling€law€on€this€issue,€the€CommitteeÐ Ø t Ðrecommends€that€the€nexus€be€alleged€in€the€indictment.€€In€any€case,€a€finding€of€an€effect€onÐ Ä ` Ðinterstate€or€foreign€commerce€of€either€the€transaction€itself€or€the€activities€of€the€financialÐ °L  Ðinstitution,€if€one€was€involved,€is€essential.€€òòSee€United€States€v.€Ben€M.€Hogan€Co.,€Inc.óó,€769Ð œ8  ÐF.2d€1293,€1297€(8th€Cir.€1985)€(reversible€error€for€a€district€court€to€give€an€instruction€whichÐ ˆ$  Ðcould€have€been€understood€to€include€a€conclusive€presumption€of€effect€on€interstateÐ t  Ðcommerce,€where€such€a€finding€by€the€jury€was€essential€in€a€prosecution€under€the€ShermanÐ `ü  ÐAnti„Trust€Act).Ð Lè  Ðà  à5.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds),€òòinfraóó.€€The€term€is€not€defined€in€18€U.S.C.Ð ®J Ððð1956(c).Ð š6 Ðà  à6.€€òòSeeóó€Instruction€6.18.1956J(7)€(Specified€Unlawful€Activity),€òòinfraóó.€€The€term€shouldÐ ü˜ Ðnot€be€confused€with€"unlawful€activity"€in€general€and€has€a€specific,€statutory€meaning,€as€setÐ è„ Ðforth€in€section€1956(c)(7).€€Because€that€section€has€had€numerous€amendments,€and€itselfÐ Ôp Ðincorporates€activities€defined€in€several€other€statutes,€the€Committee€recommends€carefulÐ À\ Ðreview€of€both€the€provisions€of€section€1956(c)(7)€and€of€the€incorporated€statutes€which€wereÐ ¬H Ðin€effect€at€the€time€of€the€alleged€financial€transaction€(section€1956(a)(1))€or€transportation,Ð ˜4 Ðtransmission€or€transfer€(section€1956)(a)(2)).€€Ð „  Ðà  àThroughout€these€instructions,€the€plain€description€of€the€offense€has€been€substitutedÐ æ‚ Ðfor€the€phrase€"specified€unlawful€activity"€(SUA),€which€is€a€term€of€art€specifically€defined€inÐ Òn Ð18€U.S.C.€ðð1956(c)(7),€and€which€incorporates€òòinter€aliaóó€most€of€18€U.S.C.€ðð1961(1).€€If€theÐ ¾Z Ðindictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€to€whether€aÐ ª F Ðparticular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€€SectionÐ –!2 Ð1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€November€18,Ð ‚"  Ð1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€òòsupraóó.€€The€provisions€ofÐ n# ! Ðsection€1956(c)(7)€used€should€correspond€to€the€alleged€date€of€the€offense.€€Further,€many€ofÐ Z$ö" Ðthe€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€the€definition€ofÐ F%â# Ð"racketeering€activity,"€contained€in€18€U.S.C.€ðð€1961(1).€€That€statute€has€also€been€amendedÐ 2&Î$ Ðsince€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€November€29,Ð 'º % Ð1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ  (¦!& Ðprovisions€of€section€1961(1)€should€also€be€reviewed.Ð ö(’"' Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J,€òòinfraóó.€€The€requirement€that€the€defendant€knew€theÐ X*ô#) Ðproperty€involved€in€the€financial€transaction€represented€the€proceeds€of€some€form€of€unlawfulÐ D+à$* Ðactivity€is€common€to€all€section€1956(a)(1)€offenses.€€"Unlawful€activity"€encompasses€manyÐ 0,Ì%+ Ðmore€violations€than€"specified€unlawful€activity."€€òòCompareóó€section€1956(c)(1)€òòwithóó€sectionÐ d Ð1956(c)(7).€€However,€between€October€27,€1986,€and€November€29,€1990,€it€did€not€includeÐ Pì Ðfelony€violations€of€foreign€law.€€òòSeeóó€Note€1,€òòsupraóó.Ð <Ø Ðà  à8.€€A€conviction€under€section€1956(a)(1)(B)(i)€(concealment)€requires€a€design€toÐ ž : Ðconceal€or€disguise€the€nature,€location,€source,€ownership€or€control€of€the€proceeds.€€AÐ Š & Ð"typical"€money€laundering€transaction€involving€purchases€in€third„party€names€frequentlyÐ v  Ðsatisfies€this€element.€€Purchases€in€the€names€of€close€family€members,€however,€areÐ b þ Ðproblematic,€especially€where€the€defendant's€subsequent€use€of€the€asset€is€open€andÐ N ê Ðconspicuous.€€òòCompare€United€States€v.€Sandersóó,€929€F.2d€1466,€1472€(10th€Cir.€1991)Ð :Ö  Ð(contrasting€òòUnited€States€v.€Leeóó,€886€F.2d€998,€1002„03€(8th€Cir.€1989))€òòwith€United€States€v.Ð &  ÐSuteraóó,€933€F.2d€641,€648€(8th€Cir.€1991)€(money€laundering€statute€did€not€require€that€theÐ ®  Ðdefendant€did€a€good€job€of€laundering€the€proceeds;€the€jury€simply€had€to€find€that€theÐ þš  Ðdefendant€intended€to€hide€them)€òòand€United€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661Ð ê†  Ðn.7€(8th€Cir.€1992)€(the€defendant€commingled€legitimate€and€illegitimate€business€receipts€overÐ Ör  Ða€three€year€period;€despite€no€attempt€to€disguise€control€of€the€account,€one€could€infer€fromÐ Â^  Ðher€record€keeping€and€bank€activity€a€design€to€conceal€or€disguise€her€illegal€proceeds),€šòòaff'd€onÐ ®J Ðother€groundsóó,€511€U.S.€513€(1994).Ð š6 Ðà  àIn€a€"mixed€motive"€situation,€a€defendant€may€be€found€guilty€under€both€sectionsÐ ü˜ Ð1956(a)(1)(B)(i)€and€1956(a)(1)(B)(ii),€e.g.,€where€a€transaction€is€designed€in€whole€or€in€part€toÐ è„ Ðconceal€and€the€same€transaction€also€is€designed€to€evade€taxes.€€òòSee€United€States€v.€Isabelóó,€945Ð Ôp ÐF.2d€1193,€1203€(1st€Cir.€1991).€€Similarly,€the€same€transaction€may€support€separate€offensesÐ À\ Ðunder€section€1956(a)(1)(A)(i)€(promoting)€and€1956(a)(1)(B)(i)€(concealing).€€The€indictmentÐ ¬H Ðand€instructions€should€clearly€place€the€defendant,€the€court€and€the€jury€on€notice€whether€theÐ ˜4 ÐgovÔ_ÔernmentÔ_Ô€is€proceeding€under€the€former,€the€latter€or€both.€€òòUnited€States€v.€Jacksonóó,€935€F.2dÐ „  Ðat€842.Ð p  Ðà  à9.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð Òn Ðà  à10.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(2).€€This€definition€was€included€in€the€October€27,€1986,Ð 4 Ð Ðversion€of€the€statute€and€has€not€changed€since.Ð  !¼ Ðà  à11.€€The€supplemental€definitions€and€instructions€contained€in€Instruction€6.18.1956J,Ð ‚"! Ðòòinfraóó,€should€be€given€in€most€cases.€€Whether€they€are€inserted€in€each€6.18.1956€instruction€orÐ n# " Ðgiven€after€a€series€of€6.18.1956A€through€6.18.1956I€instructions€is€an€option€for€the€Court€toÐ Z$ö# Ðconsider€based€on€the€number€and€types€of€money€laundering€counts€and€the€ability€of€the€jury€toÐ F%â$ Ðrelate€the€definitions€to€the€applicable€counts.Ð 2&Î% Ðà  à12.€€òòSeeóó€Instruction€7.04,€òòinfraóó.€€The€1956(a)(1)(B)€"knowing"€requirement€encompassesÐ ”'0!' Ðinstances€of€"willful€blindness."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€6,€10€(1986),€òòconstrued€inóóÐ €("( Ð27€Amer.€Crim.€L.€Rev.€167.€€òòSee€also€United€States€v.€Kaufmannóó,€985€F.2d€884,€897€n.6€(7thÐ l)#) ÐCir.€1993)€("ostrich"€instruction€appropriate€for€counts€requiring€knowledge);€òòUnited€States€v.Ð X*ô#* ÐCampbellóó,€977€F.2d€854,€857„58€(4th€Cir.€1992)€(discussing€a€willful€blindness€instruction€givenÐ D+à$+ Ðin€a€section€1956(a)(1)(B)(i)€trial);€òòUnited€States€v.€Montoyaóó,€945€F.2d€1068,€1076€(9th€Cir.Ð 0,Ì%, Ð1991)€(distinguishing€sections€1956(a)(1)(A)€and€1956(a)(1)(B));€òòUnited€States€v.€Fulleróó,€974Ð d ÐF.2d€1474,€1482€(5th€Cir.€1992)€(deliberate€ignorance€instruction€regarding€conspiracy€to€launderÐ Pì Ðmoney).€€In€òòUnited€States€v.€Barnhartóó,€979€F.2d€647,€651„52€(8th€Cir.€1992),€the€Eighth€CircuitÐ <Ø Ðaddressed€a€willful€blindness€instruction€patterned€on€7.04€and€held€that€such€an€instructionÐ ( Ä Ð"should€not€be€given€unless€there€is€evidence€to€support€the€inference€that€the€defendant€wasÐ  ° Ðaware€of€a€high€probability€of€the€existence€of€the€fact€in€question€and€purposely€contrived€toÐ  œ Ðavoid€learning€all€of€the€facts€in€order€to€have€a€defense€in€the€event€of€a€subsequentÐ ì ˆ Ðprosecution."€€òòId.óó€(quoting€òòUnited€States€v.€Alvaradoóó,€838€F.2d€311,€314€(9th€Cir.€1987)).€€IfÐ Ø t Ðthere€is€evidence€a€defendant€actually€believed€that€the€transaction€was€for€an€innocent€purpose,Ð Ä ` Ðòòseeóó€Instruction€7.04,€òòinfraóó,€nn€3,4.€€òòóóThe€deliberate€ignorance€instruction€should€not€be€givenÐ °L  Ðwhere€the€evidence€points€solely€to€either€actual€knowledge,€or€lack€thereof,€and€where€there€isÐ œ8  Ðno€evidence€that€the€defendant€had€a€conscious€purpose€to€avoid€learning€the€truth.€€Note€5,Ð ˆ$  ÐInstruction€7.04,€òòinfraóó;€òòBarnhartóó,€979€F.2d€at€651.€€The€permissive€rather€than€mandatoryÐ t  Ðphrasing€"you€òòmayóó€find"€comports€with€the€usage€suggested€in€òòKarras€v.€Leapleyóó,€974€F.2d€71,Ð `ü  Ð74€n.6€(8th€Cir.€1992).Ð Lè  Ðà  à13.€€If€the€indictment€alleges€the€defendant€did€not€personally€conduct€the€transaction€butÐ ®J Ðknew€the€transaction€was€conducted€for€more€than€one€purpose,€use€the€first€set€of€bracketedÐ š6 Ðlanguage.€€If€the€indictment€alleges€the€defendant€personally€engaged€in€the€financial€transaction,Ð †" Ðuse€the€second€set€of€bracketed€language.€€The€multiple€objective€situation€may€apply€both€toÐ r Ðmultiple€intent€(i.e.,€1956(a)(1)(A)(i)€and€(ii))€and€to€multiple€knowledge€(i.e.,€1956(a)(1)(B)(i)Ð ^ú Ðand€(ii))€allegations,€as€well€as€to€allegations€of€violation€of€both€1956(a)(1)(A)(i)€andÐ Jæ Ð1956(a)(1)(B)(i).€€òòSeeóó€Note€8,€òòsupraóó.€€òòSee€also€United€States€v.€Jacksonóó,€935€F.2d€832,€842€(7thÐ 6Ò ÐCir.€1991)€(government€should€give€clear€notice€of€the€provision(s)€under€which€it€isÐ "¾ Ðproceeding).€€Although€there€is€no€case€law€requiring€unanimity€on€objectives,€if€an€instruction€toÐ ª Ðthat€effect€is€desired,€òòseeóó€Instruction€5.06(F),€òòsupraóó.Ð ú– ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ \ø Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð ¾Z Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':\,ÄÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð ª F ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ –!2 Ðgroundsóó,€511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð ‚"  ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ n# ! Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð Z$ö" ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ F%â# Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ 2&Î$ ÐProsecution€Manualóó€(Feb.€1992).Ð 'º % Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ €("' Ðmost€cases.Ð  l)#( ÐÖ€õóì±ÖÓ €Óà@êêìàò òÔ% €ˆ ÔÔ  Ô6.18.1956C.€€MONEY€LAUNDERING€„€FINANCIAL€TRANSACTION€ˆÐ d Ðà@22 ìàTO€AVOID€REPORTING€REQUIREMENTS€(18€U.S.C.€ðð1956(a)(1)(B)(ii))Ô hešÉÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[conducting]€[attempting€to€conduct]€an€illegal€financial€transaction,€asÐ ( Ä Ðcharged€in€[Count[s]€_____€of]€the€indictment€has€four€elements,€which€are:Ð Š & Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€[conducted]€[attemptedÐ ì ˆ Ðto€conduct]òò2óó€a€financial€transaction,òò3óó€that€is,€(describe€in€simple€terms,€e.g.,€the€purchase€of€anÐ N ê  Ðautomobile),€which€in€any€way€or€degree€affected€interstate€or€foreign€commerce;òò4óóÐ °L  Ðà  àòòTwoóó,€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financial€transaction€withÐ ®  Ð(describe€the€property,€e.g.,€money,€certificates€of€deposit)€that€involved€the€proceedsòò5óó€ofÐ t  Ð(describe€the€specified€unlawful€activity,òò6óó€e.g.,€unlawful€distribution€of€cocaine);Ð Ör  Ðà  àòòThreeóó,€at€the€time€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financialÐ 8Ô  Ðtransaction,€the€defendant[s]€knew€the€(describe€property)€represented€the€proceeds€of€some€formÐ š6 Ðof€unlawful€activity;òò7óó€and€Ð ü˜ Ðà  àòòFouróó,€the€defendant[s]€[conducted]€[attempted€to€conduct]€the€financial€transactionÐ ^ú Ðknowing€that€the€transaction€was€designed€in€whole€or€in€part€to€avoid€a€transaction€reportingÐ À\ Ðrequirement€under€State€or€Federal€law.òò8óóÐ "¾ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€conduct€a€financial€transaction€if€[he]Ð „  Ð[she]€intended€to€conduct€a€financial€transaction€and€voluntarily€and€intentionally€carried€outÐ æ‚! Ðsome€act€which€was€a€substantial€step€toward€conducting€that€financial€transaction,€even€if€theÐ Hä# Ðtransaction€was€never€completed.]òò9óóÐ ª F% Ðà  à[The€term€"conducted,"€as€used€in€[this]€[Instruction[s]€_____]€includes€initiating,Ð  "¨' Ðconcluding€or€participating€in€initiating€or€concluding€a€transaction.]òò10óóÐ n# ) Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€___€of]€theÐ Ð$l+ Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ 2&Î- Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ ”'0!/ Ðno€confusion€in€adding€the€definitions€cÔ_ÔommonÔ_Ô€to€all€counts€after€all€of€the€substantive€moneyÐ ö(’"1 Ðâ âlaundering€instructions).]òò11óóÐ X*ô#3 Ðà  à[The€Currency€Transaction€Reporting€(CTR)€requirement€of€federal€lawòò12óó€requiresÐ d Ðâ âfinancial€institutions€to€file€a€report€for€each€deposit,€withdrawal,€exchange€of€currency,€or€otherÐ Æb Ðpayment€or€transfer,€by,€through,€or€to€such€financial€institution€which€involves€a€transaction€inÐ ( Ä Ðcurrency€of€more€than€$10,000.€€Multiple€currency€transactions€are€treated€as€a€single€transactionÐ Š & Ðif€the€financial€institution€has€knowledge€that€they€are€by€or€on€behalf€of€any€person€and€result€inÐ ì ˆ Ðeither€cash€in€or€cash€out€totaling€more€than€$10,000€during€any€one€business€day.€€A€financialÐ N ê  Ðinstitution€includes€all€of€its€domestic€branch€offices€for€purposes€of€this€requirement.€€TheÐ °L  Ðphrase€"financial€institution"€includes€(insert€appropriate€institution€from€31€C.F.R.€ðð103.11(i),Ð ®  Ðsuch€as€"bank"€or€"savings€&€loan").]òò13óóÐ t  Ðà  à[You€may€find€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€purpose€of€theÐ Ör  Ðtransaction€was€to€avoid€the€CTR€reporting€requirement€if€you€find€beyond€a€reasonable€doubtÐ 8Ô  Ðthat€(insert€appropriate€language€from€Instruction€7.04).]òò14óóÐ š6 Ðà  à[The€crime€charged€in€[Count[s]€____€of]€the€indictment€alleges€multiple€purposes€for€theÐ ü˜ Ðcrime,€that€is,€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€transaction€wasÐ ^ú Ð[conducted]€[attempted]€for€the€purposes€of€(list€all€objectives).€€To€find€[the€defendant]Ð À\ Ð[defendant[s]€(name[s])]€guilty€of€the€offense[s],€you€must€agree€unanimously€that€one€or€moreÐ "¾ Ðof€the€objectives€charged€were€proved€beyond€a€reasonable€doubt.]òò15óóÐ „   Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ æ‚" ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Hä$ Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ ª F& Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ –!2' Ðand€Ô'&HLÝÔregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ ‚"( ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð n# ) Ðand€1956(a)(2)(B)(ii).Ð Z$ö* Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ ¼%X, Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ ¨&D - Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ ”'0!. Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ €("/ Ðon€October€27,€1986.Ðl)#0(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð Î*j$2 Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð º+V%3 Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ d Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ Pì Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ <Ø Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ ( Ä Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ð °(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ v  ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ b þ Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€on€November€29,Ð N ê Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ :Ö  Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ &  Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ ®  Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ þš  Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ ê†  Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð Ör  Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð Â^  Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ ®J Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ š6 Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ †" Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð r Ð(Specified€Unlawful€Activity),€òòinfraóó.Ð^ú(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð À\ Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ ¬H Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð ˜4 Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ „  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ p  Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð \ø Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ Hä Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ 4 Ð Ðobject€offenses.€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ  !¼ Ðconspiracy€to€violate€18€U.S.C.€ðð1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð  "¨ ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ ø"”  Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ ä#€! Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ Ð$l" Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ ¼%X# Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ш&D $(#(# Ðà  à2.€€Both€types€of€activity€have€been€proscribed€since€original€enactment€of€section€1956.€Ð  (¦!& ÐòòSeeóó€18€U.S.C.€ðððð€1956(a)(1),€(a)(2)€and€(a)(3).€€Ð ö(’"' Ðà  à3.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€"Financial€transaction"€isÐ X*ô#) Ða€term€of€art€originally€defined€in€18€U.S.C.€ðð€1956(c)(4)€and€subsequently€expanded€andÐ D+à$* Ðclarified€through€amendments.€€It€encompasses€another€statutorily€defined€term€of€art,Ð 0,Ì%+ Ð"transaction,"€which€has€also€been€expanded€since€the€enactment€of€section€1956(c)(3).€€TheÐ d ÐCommittee€recommends€careful€review€to€determine€which€of€the€provisions€of€sectionsÐ Pì Ð1956(c)(3)€and€1956(c)(4)€were€in€effect€at€the€time€of€the€alleged€financial€transaction.€€òòSeeóóÐ <Ø ÐNote€1,€òòsupraóó.Ð ( Ä Ðà  à4.€€òòSeeóó€Instruction€6.18.1956J,€òòinfraóó.€€All€section€1956€offenses€require€proof€that€theÐ Š & Ðfinancial€transaction€itself€or€the€financial€institution,€if€one€was€involved,€in€some€way€affectedÐ v  Ðinterstate€or€foreign€commerce.€€òòSeeóó€18€U.S.C.€ðð1956(c)(4);€òòUnited€States€v.€Bakeróó,€985€F.2dÐ b þ Ð1248,€1252€(4th€Cir.€1993)€(element€under€1956(a)(1)(B)(i));€òòUnited€States€v.€Posters€'N'€ThingsÐ N ê ÐLtd.óó,€969€F.2d€652,€661€n.6€(8th€Cir.€1992)€(expert€witness€testified€as€to€issue),€šòòaff'd€on€otherÐ :Ö  Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Gonzalez„Rodriguezóó,€966€F.2d€918,€924€(5th€Cir.Ð &  Ð1992)€(discussing€òòUnited€States€v.€Galloóó,€927€F.2d€815,€823€(5th€Cir.€1991)€and€òòUnited€States€v.Ð ®  ÐHamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.€1991)).€€The€Eighth€Circuit€has€not€ruled€whetherÐ þš  Ðthe€indictment€must€explicitly€allege€the€interstate/foreign€commerce€nexus.€€òòUnited€States€v.Ð ê†  ÐLucasóó,€932€F.2d€1210,€1219€(8th€Cir.€1991)€(court€was€not€required€to€reach€the€issue€because€theÐ Ör  Ðindictment€which€alleged€construction€of€a€shopping€center€and€purchase€of€merchandise€couldÐ Â^  Ðbe€reasonably€construed€to€allege€the€element).€€òòSee€also€United€States€v.€Greenóó,€964€F.2d€365,Ð ®J Ð374€(5th€Cir.€1992)€(citing€òòLucasóó);€òòUnited€States€v.€Lovettóó,€964€F.2d€1029,€1038€(10th€Cir.€1992)Ð š6 Ð(under€section€1957,€the€interstate€commerce€nexus€is€jurisdictional€but€not€an€element€of€theÐ †" Ðcrime€charged)€(citing€òòUnited€States€v.€Kelleyóó,€929€F.2d€582,€586€(10th€Cir.€1991)).€€Given€theÐ r Ðlack€of€controlling€law€on€this€issue,€the€Committee€recommends€that€the€nexus€be€alleged€in€theÐ ^ú Ðindictment.€€In€any€case,€a€finding€of€an€effect€on€interstate€or€foreign€commerce€of€either€theÐ Jæ Ðtransaction€itself€or€the€activities€of€the€financial€institution,€if€one€was€involved,€is€essential.€€òòSeeÐ 6Ò ÐUnited€States€v.€Ben€M.€Hogan€Co.,€Inc.óó,€809€F.2d€480€(8òòthóó€Cir.€1987)€(failure€to€instruct€jury€thatÐ "¾ Ðit€must€find€an€interstate€commerce€connection€can€be€harmless€error).Ð ª Ðà  à5.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds),€òòinfraóó.€€The€term€is€not€defined€in€18€U.S.C.Ð p  Ððð1956(c).Ð \ø Ðà  à6.€€òòSeeóó€Instruction€6.18.1956J(7)€(Specified€Unlawful€Activity),€òòinfraóó.€€The€term€shouldÐ ¾Z Ðnot€be€confused€with€"unlawful€activity"€in€general€and€has€a€specific,€statutory€meaning,€as€setÐ ª F Ðforth€in€section€1956(c)(7).€€Because€that€section€has€had€numerous€amendments,€and€itselfÐ –!2 Ðincorporates€activities€defined€in€several€other€statutes,€the€Committee€recommends€carefulÐ ‚"  Ðreview€of€both€the€provisions€of€section€1956(c)(7)€and€of€the€incorporated€statutes€which€wereÐ n# ! Ðin€effect€at€the€time€of€the€alleged€financial€transaction€(1956(a)(1))€or€transportation,Ð Z$ö" Ðtransmission€or€transfer€(1956)(a)(2)).€Ð F%â# Ðà  àThroughout€these€instructions,€the€plain€description€of€the€offense€has€been€substitutedÐ ¨&D % Ðfor€the€phrase€"specified€unlawful€activity"€(SUA),€which€is€a€term€of€art€specifically€defined€inÐ ”'0!& Ð18€U.S.C.€ðð1956(c)(7),€and€which€incorporates€òòinter€aliaóó€most€of€18€U.S.C.€ðð1961(1).€€If€theÐ €("' Ðindictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€to€whether€aÐ l)#( Ðparticular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€€SectionÐ X*ô#) Ð1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€November€18,Ð D+à$* Ð1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€òòsupraóó.€€The€provisions€ofÐ 0,Ì%+ Ðsection€1956(c)(7)€used€should€correspond€to€the€alleged€date€of€the€offense.€€Further,€many€ofÐ d Ðthe€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€the€definition€ofÐ Pì Ð"racketeering€activity,"€contained€in€18€U.S.C.€ðð€1961(1).€€That€statute€has€also€been€amendedÐ <Ø Ðsince€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€November€29,Ð ( Ä Ð1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ  ° Ðprovisions€of€section€1961(1)€should€also€be€reviewed.Ð  œ Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J,€òòinfraóó.€€The€requirement€that€the€defendant€knew€theÐ b þ Ðproperty€involved€in€the€financial€transaction€represented€the€proceeds€of€some€form€of€unlawfulÐ N ê Ðactivity€is€common€to€all€section€1956(a)(1)€offenses.€€"Unlawful€activity"€encompasses€manyÐ :Ö  Ðmore€violations€than€"specified€unlawful€activity."€€òòCompareóó€section€1956(c)(1)€òòwithóó€sectionÐ &  Ð1956(c)(7).€€However,€between€October€27,€1986,€and€November€29,€1990,€it€did€not€includeÐ ®  Ðfelony€violations€of€foreign€law.€€òòSeeóó€Note€1,€òòsupraóó.Ð þš  Ðà  à8.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction).€€Determination€of€theÐ `ü  Ðtransaction€reporting€requirements€in€effect€on€the€date€of€the€alleged€transaction€requiresÐ Lè  Ðreviewing€the€provisions€of€both€31€U.S.C.€ðððð€5311„5327€and€31€C.F.R.€Chapter€103,€in€effectÐ 8Ô  Ðon€that€date.€€Further,€if€the€alleged€financial€transaction€involves€the€use€of€a€"financialÐ $À Ðinstitution,"€both€31€U.S.C.€ðð€5312(a)(2)€and€the€regulations€promulgated€thereunder,€should€beÐ ¬ Ðreviewed€to€ensure€that€the€entity€was€a€financial€institution.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(6)Ð ü˜ Ð(incorporating€by€reference€31€U.S.C.€ðð5312(a)(2)€and€its€regulations).Ð è„ Ðà  àThe€decision€in€òòRatzlaf€v.€United€Statesóó,€510€U.S.€135€(1994)€is€not€likely€applicable€toÐ Jæ Ðviolations€of€18€U.S.C.€ðð€1956.€€òòRatzlafóó€involved€an€interpretation€of€31€U.S.C.€ðð5324€and€theÐ 6Ò Ðmental€state€required€under€that€statute.€€Because€the€mental€state€requirements€of€18€U.S.C.Ð "¾ Ððð1956€are€clearly€different,€the€applicability€of€òòRatzlafóó€is€doubtful.Ð ª Ðà  à9.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð p  Ðà  à10.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(2).€€This€definition€was€included€in€the€October€27,€1986,Ð Òn Ðversion€of€the€statute€and€has€not€changed€since.Ð ¾Z Ðà  à11.€€The€supplemental€definitions€and€instructions€contained€in€Instruction€6.18.1956JÐ  !¼  Ðshould€be€given€in€most€cases.€€Whether€they€are€inserted€in€each€6.18.1956€instruction€or€givenÐ  "¨! Ðafter€a€series€of€6.18.1956A€through€6.18.1956I€instructions€is€an€option€for€the€court€to€considerÐ ø"”" Ðbased€on€the€number€and€types€of€money€laundering€counts€and€the€ability€of€the€jury€to€relate€theÐ ä#€# Ðdefinitions€to€the€applicable€counts.Ð Ð$l$ Ðà  à12.€€Use€with€18€U.S.C.€ðð€1956(a)(1)(B)(ii).€€In€addition€to€Currency€Transaction€ReportÐ 2&Î& Ð(CTR)€requirements€under€31€U.S.C.€ðð5313,€two€other€common€reporting€requirements€areÐ 'º ' ÐCurrency€and€Monetary€Instrument€Reports€(CMIR)€under€31€U.S.C.€ðð€5316€and€Forms€8300,Ð  (¦!( Ðunder€26€U.S.C.€ðð6050I.€€Analogous€instructions€about€those€reporting€requirements€and€theirÐ ö(’") Ðapplicable€provisions€can€be€tailored€for€such€cases.Ð â)~#* Ðà  à13.€€òòSeeóó€31€U.S.C.€ðð€5313;€31€C.F.R.€ðð€103.22.€€Care€should€be€taken€to€use€the€versionsÐ D+à$, Ðof€the€statutes€and€regulations€in€effect€on€the€date€of€the€transaction.€€For€CMIRs€the€applicableÐ 0,Ì%- Ðreferences€are€31€U.S.C.€ðð€5316€and€31€C.F.R.€ðð€103.23.€€For€Forms€8300,€òòseeóó€26€U.S.C.Ð d Ððð6050I.€Ð Pì Ðà  à14.€€òòSeeóó€Instruction€7.04,€òòinfraóó.€€The€1956(a)(1)(B)€"knowing"€requirement€encompassesÐ ²N Ðinstances€of€"willful€blindness."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€6,€10€(1986)€òòconstrued€inóóÐ ž : Ð27€Amer.€Crim.€L.€Rev.€167.€€òòSee€also€United€States€v.€Kaufmannóó,€985€F.2d€884,€897€n.6€(7thÐ Š & ÐCir.€1993)€("ostrich"€instruction€appropriate€for€counts€requiring€knowledge);€òòUnited€States€v.Ð v  ÐCampbellóó,€977€F.2d€854,€857„58€(4th€Cir.€1992)€(discussing€a€willful€blindness€instruction€givenÐ b þ Ðin€a€section€1956(a)(1)(B)(i)€trial);€òòUnited€States€v.€Montoyaóó,€945€F.2d€1068,€1076€(9th€Cir.Ð N ê Ð1991)€(distinguishing€sections€1956(a)(1)(A)€and€1956(a)(1)(B));€òòUnited€States€v.€Fulleróó,€974Ð :Ö  ÐF.2d€1474,€1482€(5th€Cir.€1992)€(deliberate€ignorance€instruction€regarding€conspiracy€to€launderÐ &  Ðmoney).€€In€òòUnited€States€v.€Barnhartóó,€979€F.2d€647,€651„52€(8th€Cir.€1992),€the€Eighth€CircuitÐ ®  Ðaddressed€a€willful€blindness€instruction€patterned€on€Instruction€7.04,€òòinfraóó,€and€held€that€suchÐ þš  Ðan€instruction€"should€not€be€given€unless€there€is€evidence€to€support€the€inference€that€theÐ ê†  Ðdefendant€was€aware€of€a€high€probability€of€the€existence€of€the€fact€in€question€and€purposelyÐ Ör  Ðcontrived€to€avoid€learning€all€of€the€facts€in€order€to€have€a€defense€in€the€event€of€a€subsequentÐ Â^  Ðprosecution."€€òòId.óó€(quoting€òòUnited€States€v.€Alvaradoóó,€838€F.2d€311,€314€(9th€Cir.€1987).€€If€thereÐ ®J Ðis€evidence€a€defendant€actually€believed€that€the€transaction€was€for€an€innocent€purpose,€òòseeóóÐ š6 ÐInstruction€7.04,€òòinfraóó,€nn€3,4.€€The€deliberate€ignorance€instruction€should€not€be€given€whereÐ †" Ðthe€evidence€points€solely€to€either€actual€knowledge,€or€lack€thereof,€and€where€there€is€noÐ r Ðevidence€that€the€defendant€had€a€conscious€purpose€to€avoid€learning€the€truth.€€Note€5,Ð ^ú ÐInstruction€7.04,€òòinfraóó;€òòBarnhartóó,€979€F.2d€at€651.€€The€permissive€rather€than€mandatoryÐ Jæ Ðphrasing€"you€òòmayóó€find"€comports€with€the€usage€suggested€in€òòKarras€v.€Leapleyóó,€974€F.2d€71,Ð 6Ò Ð74€n.6€(8th€Cir.€1992).Ð "¾ Ðà  à15.€€If€the€indictment€alleges€the€defendant€did€not€personally€conduct€the€transaction€butÐ „  Ðknew€the€transaction€was€conducted€for€more€than€one€purpose,€use€the€first€set€of€bracketedÐ p  Ðlanguage.€€If€the€indictment€alleges€the€defendant€personally€engaged€in€the€financial€transaction,Ð \ø Ðuse€the€second€set€of€bracketed€language.€€The€multiple€objective€situation€may€apply€both€toÐ Hä Ðmultiple€intent€(i.e.,€1956(a)(1)(A)(i)€and€(ii))€and€to€multiple€knowledge€(i.e.,€1956(a)(1)(B)(i)Ð 4 Ð Ðand€(ii))€allegations,€as€well€as€to€allegations€of€violation€of€both€1956(a)(1)(A)(i)€andÐ  !¼ Ð1956(a)(1)(B)(i).€€òòSee€United€States€v.€Jacksonóó,€935€F.2d€832,€842€(7th€Cir.€1991)€(governmentÐ  "¨ Ðshould€give€clear€notice€of€the€provision(s)€under€which€it€is€proceeding).€€Although€there€is€noÐ ø"”  Ðcase€law€requiring€unanimity€on€objectives,€if€an€instruction€to€that€effect€is€desired,€òòseeóóÐ ä#€! ÐInstruction€5.06(F),€òòsupraóó.Ð Ð$l" ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ 2&Î$ Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð ”'0!& Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':2&$ÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð €("' ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ l)#( Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð X*ô#) ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ D+à$* Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð 0,Ì%+ ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ d Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ Pì ÐProsecution€Manualóó€(Feb.€1992).Ð <Ø Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ ž : Ðmost€cases.Ð  Š & ÐÖ€÷õì²ÖÓ €Óà@³³ ìàò òÔ% €‹ ÔÔ  Ô6.18.1956D.€€MONEY€LAUNDERING€„€MOVEMENT€OF€MONETARY€à@@?? ìàINSTRUMENTS€ˆÐ d Ðà@OOìàAND€FUNDS€TO€PROMOTE€SPECIFIED€UNLAWFUL€ACTIVITYˆÐ Pì Ðà@||ìà(18€U.S.C.€ðð€1956(a)(2)(A))Ô €dŒ)Ôó óˆÐ <Ø ÐÌà  àÓ€ÓThe€crime€of€illegally€[attempting€to]€[transport[ing]]€[transmit[ting]]€[transfer[ring]]€aÐ  ° Ðmonetary€instrument,€as€charged€in€[Count[s]€____€of]€the€indictment€has€three€elements€whichÐ v  Ðare:Ð Ø t Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€knowingly€[attemptedÐ :Ö  Ðto]òò2óó€[transport[ed]]€[transmit[ted]]€[transfer[red]]òò3óó€[a]€[monetary€instrument[s]]òò4óó€[funds];òò5óóÐ œ8  Ðà  àòòTwoóó,€the€defendant[s]€did€so€with€intent€to€promote€the€carrying€on€of€(describe€theÐ þš  Ðspecified€unlawful€activity)òò6óó;€andÐ `ü  Ðà  àòòThreeóó,€the€[attempted]€act€was€[from€a€place€in€the€United€States€to€or€through€a€placeÐ Â^  Ðoutside€the€United€States]€[to€a€place€in€the€United€States€from€or€through€a€place€outside€theÐ $À ÐUnited€States].€€Ð †" Ðà  à[A€defendant€may€be€found€to€have€attempted€to€[transport]€[transmit]€[transfer]€[a]Ð è„ Ð[monetary€instrument[s]]€[funds]€if€[he]€[she]€intended€to€commit€the€offense€and€voluntarily€andÐ Jæ Ðintentionally€carried€out€some€act€which€was€a€substantial€step€toward€conducting€that€offense,Ð ¬H Ðeven€if€the€[transportation]€[transmission]€[transfer]€was€never€completed.]òò7óóÐ ª Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ p   Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ Òn" Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ 4 Ð$ Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ –!2& Ðlaundering€instructions).]òò8óóÐ ø"”( Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ Z$ö* ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¼%X, Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ 'º . Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ  (¦!/ Ðand€Ô'&¼%%3Ôregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ ö(’"0 ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð â)~#1 Ðâ âand€1956(a)(2)(B)(ii).Ð Î*j$2 Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ d Ðâ â(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ Pì Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ <Ø Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ ( Ä Ðon€October€27,€1986.Ð °(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð v  Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð b þ Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ N ê Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ :Ö  Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ &  Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ ®  Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ðþš (#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ `ü  ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ Lè  Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð 8Ô  Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ $À Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ ¬ Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ ü˜ Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ è„ Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ Ôp Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð À\ Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð ¬H Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ ˜4 Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ „  Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"sÔ_ÔtateÔ_Ô,"€and€added€agenciesÐ p  Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð \ø Ð(Specified€Unlawful€Activity),€òòinfraóó.ÐHä(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð ª F Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ –!2 Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð ‚"  Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ n# ! Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ Z$ö" Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð F%â# Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ 2&Î$ Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ 'º % Ðobject€offenses.€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ  (¦!& Ðconspiracy€to€violate€18€U.S.C.€ðð1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð ö(’"' ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ â)~#( Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ Î*j$) Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ º+V%* Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ d Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).ÐPì(#(# Ðà  à2.€€òòSeeóó€Note€2,€Instruction€6.18.1956A,€òòsupraóó.Ð ²N Ðà  à3.€€The€terms€"transmit"€and€"transfer"€were€added,€effective€November€18,€1988.€€òòSeeóóÐ  ° ÐNote€2,€òòsupraóó.€€Prior€to€that€time€at€least€one€circuit€had€held€that€an€international€wire€transferÐ  œ Ðconstituted€"transportation"€of€funds€within€the€meaning€of€1956(a)(2).€€òòUnited€States€v.€Monroeóó,Ð ì ˆ Ð943€F.2d€1007,€1015„16€(9th€Cir.€1991).Ð Ø t Ðà  à4.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(5).€€òòSee€alsoóó€Instruction€6.18.1956J(4)€(MonetaryÐ :Ö  ÐInstrument),€òòinfraóó..€€The€present€definition€became€effective€November€29,€1990.€€Although€notÐ &  Ðlisted€in€section€1956(c)(5),€cashier's€checks€are€negotiable€instruments€in€"such€form€that€titleÐ ®  Ðthereto€passes€upon€delivery."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€13€(1986).€€This€definitionÐ þš  Ðwas€explicitly€clarified,€effective€May€8,€1987,€when€"cashier's€checks"€was€added€to€theÐ ê†  Ðdefinition€of€"monetary€instruments"€in€31€C.F.R.€ðð103.11(j)(iii).€€òòSeeóó€52€Fed.€Reg.€11436Ð Ör  Ð(1987)€(Final€Rule).Ð Â^  Ðà  à5.€€òòSeeóó€Instruction€6.18.1956J(3)€(Funds),€òòinfraóó.Ð $À Ðà  à6.€€òòSeeóó€Note€6€and€12,€Instruction€6.18.1956A,€òòsupraóó,€and€6.18.1956J(7)€(SpecifiedÐ †" ÐUnlawful€Activity),€òòinfraóó.€Ð r Ðà  à7.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð Ôp Ðà  à8.€€òòSeeóó€Note€11,€Instruction€6.18.1956A,€òòsupraóó.Ð 6Ò ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˜4 Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir€1993);€òòUnited€States€v.€Peeryóó,Ð ú– Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':˜ýMÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð æ‚ ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ Òn Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð ¾Z  ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ ª F! Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð –!2" ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ ‚"# Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€aÔ_ÔlsoÔ_Ôóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ n# $ ÐProsecution€Manualóó€(Feb.€1992).Ð Z$ö% Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ ¼%X' Ðmost€cases.Ð  ¨&D ( ÐÖ€ù÷ì³ÖÓ €ÓÖ€úùì´ÖÑ8€w,XXdìXXdì8Ñà@¯¯ìàò òÔ% € ÔÔ  Ô6.18.1956E.€€MONEY€LAUNDERING€„€MOVEMENT€OF€MONETARY€ˆÐ d Ðà@ææìàINSTRUMENTS€AND€FUNDS€TO€CONCEAL€PROCEEDS€(18€U.S.C.€ðð1956(a)(2)(B)(i))Ô €o×SÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€illegally€[attempting€to]€[transport[ing]]€[transmit[ting]]€[transfer[ring]]€aÐ ( Ä Ðmonetary€instrument€as€charged€in€[Count[s]€____€of]€the€indictment€has€four€elements€whichÐ Š & Ðare:Ð ì ˆ Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€knowingly€[attemptedÐ N ê  Ðto]òò2óó€[transport[ed]]€[transmit[ted]]€[transfer[red]]òò3óó€[a]€[monetary€instrument[s]]òò4óó€[funds];òò5óó€€Ð °L  Ðà  àòòTwoóó,€at€the€time€of€the€[attempted]€act€described€in€element€one,€above,€the€defendant[s]Ð ®  Ðknewòò6óó€the€[monetary€instrument[s]]€[funds]€represented€the€proceedsòò7óó€of€some€form€of€unlawfulÐ t  Ðactivityòò8óó];Ð Ör  Ðà  àòòThreeóó,€at€the€same€time,€the€defendant[s]€knewòò6óó€that€the€[attempted]€act€was€designed€inÐ 8Ô  Ðwhole€or€in€part€to€conceal€or€disguise€the€nature,€location,€source,€ownership€or€control€of€theÐ š6 Ðproceeds€of€(describe€the€specified€unlawful€activity);òò9óó€and€Ð ü˜ Ðà  àòòFouróó,€the€[attempted]€act€was€[from€a€place€in€the€United€States€to€or€through€a€placeÐ ^ú Ðoutside€the€United€States]€[to€a€place€in€the€United€States€from€or€through€a€place€outside€theÐ À\ ÐUnited€States].Ð "¾ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€[transport]€[transmit]€[transfer]€[[a]Ð „  Ð[monetary€instrument[s]]€[funds]€if€[he]€[she]€intended€to€commit€the€offense€and€voluntarily€andÐ æ‚! Ðintentionally€carried€out€some€act€which€was€a€substantial€step€toward€conducting€that€offense,Ð Hä# Ðeven€if€the€[transportation]€[transmission]€[transfer]€was€never€completed.]òò10óóÐ ª F% Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ  "¨' Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ n# ) Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ Ð$l+ Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ 2&Î- Ðlaundering€instructions).]òò11óóÐ ”'0!/ Ðà  à[You€may€find€that€[the€defendant]€[defendant[s]€(name[s])]€knew€the€purpose€of€theÐ ö(’"1 Ðâ â[attempted]€act€was€to€conceal€or€disguise€the€nature,€location,€source,€ownership€or€control€ofÐ X*ô#3 Ðthe€proceeds€of€(describe€the€specified€unlawful€activity)òò9óó€if€you€find€beyond€a€reasonable€doubtÐ d Ðthat€(insert€appropriate€language€from€Instruction€7.04).]òò12óóÐ Æb Ðâ âà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ( Ä ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Š & Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ ì ˆ Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ Ø t  Ðand€Ô'&Š ¶`Ôregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ Ä `  ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð °L  Ðand€1956(a)(2)(B)(ii).Ð œ8  Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ þš  Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ ê†  Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ Ör  Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ Â^  Ðon€October€27,€1986.ЮJ(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð ¬ Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð ü˜ Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ è„ Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ Ôp Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ À\ Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ ¬H Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).И4(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ ú– ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ æ‚ Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð Òn Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ ¾Z Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ ª F  Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ –!2! Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ ‚"" Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ n# # Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð Z$ö$ Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð F%â% Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ 2&Î& Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ 'º ' Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ  (¦!( Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð ö(’") Ð(Specified€Unlawful€Activity),€òòinfraóó.Ðâ)~#*(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð D+à$, Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ 0,Ì%- Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð d Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ Pì Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ <Ø Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð ( Ä Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ  ° Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ  œ Ðobject€offenses.€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ ì ˆ Ðconspiracy€to€violate€18€U.S.C.€ðð1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð Ø t ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ Ä ` Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ °L  Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ œ8  Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€GuidelineÐ ˆ$  Ððð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ðt (#(# Ðà  à2.€€òòSeeóó€Note€2,€Instruction€6.18.1956A,€òòsupraóó.Ð Ör  Ðà  à3.€€The€terms€"transmit"€and€"transfer"€were€added,€effective€November€18,€1988.€€òòSeeóóÐ 8Ô  ÐNote€2,€òòsupraóó.€€Prior€to€that€time€at€least€one€circuit€had€held€that€an€international€wire€transferÐ $À Ðconstituted€"transportation"€of€funds€within€the€meaning€of€1956(a)(2).€€òòUnited€States€v.€Monroeóó,Ð ¬ Ð943€F.2d€1007,€1015„16€(9th€Cir.€1991).Ð ü˜ Ðà  à4.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(5).€€òòSee€alsoóó€Instruction€6.18.1956J(4)€(MonetaryÐ ^ú ÐInstrument),€òòinfraóó.€€The€present€definition€became€effective€November€29,€1990.€€Although€notÐ Jæ Ðlisted€in€section€1956(c)(5),€cashier's€checks€are€negotiable€instruments€in€"such€form€that€titleÐ 6Ò Ðthereto€passes€upon€delivery."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€13€(1986).€€This€definitionÐ "¾ Ðwas€explicitly€clarified,€effective€May€8,€1987,€when€"cashier's€checks"€was€added€to€theÐ ª Ðdefinition€of€"monetary€instruments"€in€31€C.F.R.€ðð103.11(j)(iii).€€òòSeeóó€52€Fed.€Reg.€11436Ð ú– Ð(1987)€(Final€Rule).Ð æ‚ Ðà  à5.€€òòSeeóó€Instruction€6.18.1956J(3)€(Funds),€òòinfraóó.Ð Hä Ðà  à6.€€òòSeeóó€Note€8,€Instruction€6.18.1956A,€òòsupraóó;€Instruction€6.18.1956J(8)€(Knowledge),Ð ª F Ðòòinfraóó.€€òòSee€generally,€Cuellar€v.€United€Statesóó,€553€U.S.€__,€128€S.€Ct.€1994€(2008),€where€theÐ –!2  ÐCourt€held€that€a€conviction€under€this€statute€requires€proof€that€the€transportationððs€purpose€„„Ð ‚"! Ðnot€merely€its€effect€„„€was€to€conceal€or€disguise,€in€whole€or€in€part,€one€of€the€listed€attributesÐ n# " Ð(the€fundsðð€nature,€location,€source,€ownership,€or€control).€€The€Court€held€that€the€prosecutionÐ Z$ö# Ðdid€not€have€to€prove€that€a€defendant€intended€to€create€the€appearance€of€legitimate€wealth.€€Ð F%â$ Ðà  àThe€defendant€need€not€have€known€the€actual€source€of€the€monetary€instruments€orÐ ¨&D & Ðfunds,€as€long€as€the€defendant€knew€that€they€represented€"some€form€of€unlawful€activity."€€18Ð ”'0!' ÐU.S.C.€ðð1956(a)(1).€€Section€1956(c)(1)€defines€the€term€broadly€to€require€only€that€"the€personÐ €("( Ðknew€the€property€involved€in€the€transaction€represented€proceeds€from€some€form,€though€notÐ l)#) Ðnecessarily€which€form,€of€activity€that€constitutes€a€felony€under€State,€Federal,€or€foreign€law,Ð X*ô#* Ðregardless€of€whether€or€not€such€activity€is€specified€in€paragraph€[1956(c)](7)."€€Although€theÐ D+à$+ Ðmost€common€situation€will€be€that€the€defendant's€knowledge€and€the€actual€source€of€theÐ 0,Ì%, Ðproceeds€coincide,€where€the€evidence€shows€that€the€defendant€thought€that€the€property€wasÐ d Ðproceeds€from€a€different€unlawful€activity,€the€instruction€should€be€tailored€to€reflect€theÐ Pì Ðdefendant's€knowledge,€e.g.,€"at€the€time€the€defendant€transmitted€the€funds,€he€believed€that€theÐ <Ø Ðmoney€he€used€represented€the€proceeds€of€unlawful€[prostitution]€[dogfighting]€[gambling]."€Ð ( Ä ÐòòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Longóó,€977€F.2d€1264,€1277€(8th€Cir.€1992)€(discussing€the€launderingÐ  ° Ðof€"any€proceeds€from€a€myriad€of€specified€unlawful€activities,"€and€how€that€results€in€differentÐ  œ Ðoffense€levels€under€section€2S1.1€of€the€Sentencing€Guidelines).Ð ì ˆ Ðà  àIf€the€monetary€instrument€or€funds€were€not€actually€proceeds€of€some€form€of€unlawfulÐ N ê Ðactivity€but€were€represented€as€such€in€a€"sting"€by€law€enforcement€officers,€this€InstructionÐ :Ö  Ð6.18.1956E€should€be€modified€appropriately€to€address€the€meaning€and€method€of€proof€thatÐ &  Ðthe€defendant€"knew"€the€source€of€the€monetary€instrument€or€funds€and€the€purpose€of€theirÐ ®  Ðactual€or€attempted€transportation,€transmission€or€transfer.€€òòSeeóó€Instructions€6.18.1956G,€H€&€I,Ð þš  Ðòòinfraóó;€òòsee€alsoóó€Note€12,€Instruction€6.18.1956B,€òòsupraóó€(situations€where€Instruction€7.04,€òòinfraóó,Ð ê†  Ðon€willful€blindness€is€appropriate).Ð Ör  Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J(3)€(Funds),€òòinfraóó.Ð 8Ô  Ðà  à8.€€òòSeeóó€Note€7,€Instruction€6.18.1956A,€òòsupraóó,€and€6.18.1956J(7)€(Specified€UnlawfulÐ š6 ÐActivity),€òòinfraóó.Ð †" Ðà  à9.€€òòSeeóó€Note€8,€Instruction€6.18.1956B,€òòsupraóó.Ð è„ Ðà  à10.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð Jæ Ðà  à11.€€òòSeeóó€Note€11,€Instruction€6.18.1956A,€òòsupraóó.Ð ¬H Ðà  à12.€€òòSeeóó€Note€12,€Instruction€6.18.1956B,€òòsupraóó.Ð ª ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ p  Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð Òn Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':p¶ˆÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð ¾Z  ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ ª F! Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð –!2" ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUÔ_ÔnitedÔ_Ô€States€v.€Martinóó,€933€F.2dÐ ‚"# Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð n# $ ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ Z$ö% Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ F%â& ÐProsecution€Manualóó€(Feb.€1992).Ð 2&Î' Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ ”'0!) Ðmost€cases.šÐ  €("* ÐÖ€üúìµÖÓ €Óà@¿¿ ìàò òÔ% €’ ÔÔ  Ô6.18.1956F.€€MONEY€LAUNDERING€„€MOVEMENT€OF€MONETARY€INSTRUMENTS€ˆÐ d Ðà@ÜÜìàAND€FUNDS€TO€AVOID€REPORTING€REQUIREMENTS€(18€U.S.C.€ðð€1956(a)(2)(B)(ii))Ô erEŽÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€illegally€[attempting€to]€[transport[ing]]€[transmit[ting]]€[transfer[ring]€aÐ ( Ä Ðmonetary€instrument€as€charged€in€[Count[s]€____€of]€the€indictment€has€four€elements€whichÐ Š & Ðare:Ð ì ˆ Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€knowingly€[attemptedÐ N ê  Ðto]òò2óó€[transport[ed]]€[transmit[ted]]€[transfer[red]]òò3óó€[a]€[monetary€instrument[s]]òò4óó€[funds];òò5óóÐ °L  Ðà  àòòTwoóó,€at€the€time€of€the€[attempted]€act€described€in€element€one,€above,€the€defendant[s]Ð ®  Ðknewòò6óó€the€[monetary€instrument[s]]€[funds]€represented€the€proceedsòò7óó€of€some€form€of€unlawfulÐ t  Ðactivityòò8óó];Ð Ör  Ðà  àòòThreeóó,€at€the€same€time,€the€defendant[s]€knewòò6óó€that€the€[attempted]€act€was€designed€inÐ 8Ô  Ðwhole€or€in€part€to€avoid€a€transaction€reporting€requirement€under€State€or€Federal€law;òò9óó€andÐ š6 Ðà  àòòFouróó,€the€[attempted]€act€was€[from€a€place€in€the€United€States€to€or€through€a€placeÐ ü˜ Ðoutside€the€United€States]€[to€a€place€in€the€United€States€from€or€through€a€place€outside€theÐ ^ú ÐUnited€States].Ð À\ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€[transport]€[transmit]€[transfer]€[a]Ð "¾ Ð[monetary€instrument[s]]€[funds]€if€[he]€[she]€intended€to€commit€the€offense€and€voluntarily€andÐ „  Ðintentionally€carried€out€some€act€which€was€a€substantial€step€toward€conducting€that€offense,Ð æ‚! Ðeven€if€the€[transportation]€[transmission]€[transfer]€was€never€completed.]òò10óóÐ Hä# Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€____€of]€theÐ ª F% Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ  "¨' Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ n# ) Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ Ð$l+ Ðlaundering€instructions).]òò11óóÐ 2&Î- Ðà  à[The€Currency€Transaction€Reporting€(CTR)€requirement€of€federal€lawòò12óó€requiresÐ ”'0!/ Ðfinancial€institutions€to€file€a€report€for€each€deposit,€withdrawal,€exchange€of€currency,€or€otherÐ ö(’"1 Ðpayment€or€transfer,€by,€through,€or€to€such€financial€institution€which€involves€a€transaction€inÐ X*ô#3 Ðcurrency€of€more€than€$10,000.€€Multiple€currency€transactions€are€treated€as€a€single€transactionÐ º+V%5 Ðif€the€financial€institution€has€knowledge€that€they€are€by€or€on€behalf€of€any€person€and€result€inÐ d Ðeither€cash€in€or€cash€out€totaling€more€than€$10,000€during€any€one€business€day.€€A€financialÐ Æb Ðinstitution€includes€all€of€its€domestic€branch€offices€for€purposes€of€this€requirement.€€TheÐ ( Ä Ðphrase€"financial€institution"€includes€(insert€appropriate€institution€from€31€C.F.R.€ðð103.11(i),Ð Š & Ðsuch€as€"bank"€or€"savings€&€loan").]òò13óóÐ ì ˆ Ðà  à[You€may€find€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€purpose€of€theÐ N ê  Ð[attempted]€act€was€to€avoid€the€CTR€reporting€requirement€if€you€find€beyond€a€reasonableÐ °L  Ðdoubt€that€(insert€appropriate€language€from€Instruction€7.04).]òò14óóÐ ®  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ t  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ör  Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ 8Ô  Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ $À Ðand€Ô'&ÖFžÔregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ ¬ ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð ü˜ Ðand€1956(a)(2)(B)(ii).Ð è„ Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ Jæ Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ 6Ò Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ "¾ Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ ª Ðon€October€27,€1986.Ðú–(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð \ø  Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð Hä! Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ 4 Ð" Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ  !¼# Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ  "¨$ Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ ø"”% Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ðä#€&(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ F%â( ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ 2&Î) Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð 'º * Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ  (¦!+ Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ ö(’", Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ â)~#- Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ Î*j$. Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ º+V%/ Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð d Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð Pì Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ <Ø Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ ( Ä Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ  ° Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð  œ Ð(Specified€Unlawful€Activity),€òòinfraóó.Ðì ˆ(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð N ê Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ :Ö  Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð &  Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ ®  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ þš  Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð ê†  Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ Ör  Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ Â^  Ðobject€offenses.€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ ®J Ðconspiracy€to€violate€18€U.S.C.€ðð1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð š6 ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ †" Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ r Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ ^ú Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ Jæ Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ð6Ò(#(# Ðà  à2.€€òòSeeóó€Note€2,€Instruction€6.18.1956A,€òòsupraóó.Ð ˜4 Ðà  à3.€€The€terms€"transmit"€and€"transfer"€were€added,€effective€November€18,€1988.€€òòSeeóóÐ ú– ÐNote€2,€òòsupraóó.€€Prior€to€that€time€at€least€one€circuit€had€held€that€an€international€wire€transferÐ æ‚ ÐconsÔ_ÔtitutedÔ_Ô€"transportation"€of€funds€within€the€meaning€of€1956(a)(2).€€òòUnited€States€v.€Monroeóó,Ð Òn Ð943€F.2d€1007,€1015„16€(9th€Cir.€1991).Ð ¾Z Ðà  à4.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(5).€€òòSee€alsoóó€Instruction€6.18.1956J(4)€(MonetaryÐ  !¼ ÐInstrument),€òòinfraóó.€€The€present€definition€became€effective€November€29,€1990.€€Although€notÐ  "¨  Ðlisted€in€section€1956(c)(5),€cashier's€checks€are€negotiable€instruments€in€"[s]uch€form€that€titleÐ ø"”! Ðthereto€passes€upon€delivery."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€13€(1986).€€This€definitionÐ ä#€" Ðwas€explicitly€clarified,€effective€May€8,€1987,€when€"cashier's€checks"€was€added€to€theÐ Ð$l# Ðdefinition€of€"monetary€instruments"€in€31€C.F.R.€ðð103.11(j)(iii).€€òòSeeóó€52€Fed.€Reg.€11436Ð ¼%X$ Ð(1987)€(Final€Rule).Ð ¨&D % Ðà  à5.€€òòSeeóó€Instruction€6.18.1956J(3)€(Funds),€òòinfraóó.Ð  (¦!' Ðà  à6.€€òòSeeóó€Note€8,€Instruction€6.18.1956A,€òòsupraóó;€Instruction€6.18.1956J(8)€(Knowledge),Ð l)#) Ðòòinfraóó.€€Effective€November€29,€1990,€section€1956(a)(2)€was€amended€to€permit€the€defendant'sÐ X*ô#* Ð"knowledge"€to€be€established€by€"proof€that€a€law€enforcement€officer€represented€the€matterÐ D+à$+ Ðspecified€in€subparagraph€(B)€as€true,€and€the€defendant's€subsequent€statements€or€actionsÐ 0,Ì%, Ðindicate€that€the€defendant€believed€such€representations€to€be€true."€€This€"sting"€provision€forÐ d Ðsection€1956(a)(2)€was€added€after€Congress€enacted€section€1956(a)(3)€("sting"€provisionÐ Pì Ðregarding€financial€transactions)€effective€November€18,€1988.€€The€term€"represented"€is€notÐ <Ø Ðdefined€in€section€1956(a)(2),€but€has€been€in€section€1956(a)(3)€since€November€18,€1988,€andÐ ( Ä Ðwas€specifically€made€applicable€to€section€1956(a)(2)€on€November€29,€1990.€€TheÐ  ° Ðrepresentation€must€be€made€by€a€law€enforcement€officer€or€by€another€person,€e.g.,€anÐ  œ Ðinformant€or€cooperating€witness€at€the€direction€of€a€federal€official€authorized€to€investigate€orÐ ì ˆ Ðprosecute€section€1956€violations.Ð Ø t Ðà  àThe€defendant€need€not€have€known€the€actual€source€of€the€monetary€instruments€orÐ :Ö  Ðfunds,€as€long€as€the€defendant€knew€that€they€represented€"some€form€of€unlawful€activity."€€18Ð &  ÐU.S.C.€ðð1956(a)(1).€€Section€1956(c)(1)€defines€the€term€broadly€to€require€only€that€"the€personÐ ®  Ðknew€the€property€involved€in€the€transaction€represented€proceeds€from€some€form,€though€notÐ þš  Ðnecessarily€which€form,€of€activity€that€constitutes€a€felony€under€State,€Federal,€or€foreign€law,Ð ê†  Ðregardless€of€whether€or€not€such€activity€is€specified€in€paragraph€[1956(c)](7)."€€Although€theÐ Ör  Ðmost€common€situation€will€be€that€the€defendant's€knowledge€and€the€actual€source€of€theÐ Â^  Ðproceeds€coincide,€where€the€evidence€shows€that€the€defendant€thought€that€the€property€wasÐ ®J Ðproceeds€from€a€different€unlawful€activity,€the€instruction€should€be€tailored€to€reflect€theÐ š6 Ðdefendant's€knowledge,€e.g.,€"at€the€time€the€defendant€transmitted€the€funds,€he€believed€that€theÐ †" Ðmoney€he€used€represented€the€proceeds€of€unlawful€[prostitution]€[dogfighting]€[gambling]."€Ð r ÐòòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Longóó,€977€F.2d€1264,€1277€(8th€Cir.€1992)€(discussing€the€launderingÐ ^ú Ðof€"any€proceeds€from€a€myriad€of€specified€unlawful€activities,"€and€how€that€results€in€differentÐ Jæ Ðoffense€levels€under€section€2S1.1€of€the€Sentencing€Guidelines).Ð 6Ò Ðà  àIf€the€monetary€instrument€or€funds€were€not€actÔ_ÔuallyÔ_Ô€proceeds€of€some€form€of€unlawfulÐ ˜4 Ðactivity€but€were€represented€as€such€in€a€"sting"€by€law€enforcement€officers,€InstructionÐ „  Ð6.18.1956B,€òòsupraóó,€should€be€modified€appropriately€to€address€the€meaning€and€method€ofÐ p  Ðproof€that€the€defendant€"knew"€the€source€of€the€monetary€instrument€or€funds€and€the€purposeÐ \ø Ðof€their€actual€or€attempted€transportation,€transmission€or€transfer.€€òòSeeóó€Instructions€6.18.1956G,Ð Hä ÐH€&€I,€òòinfraóó;€òòsee€alsoóó€Note€12,€Instruction€6.18.1956B,€òòsupraóó€(situations€where€Instruction€7.04,Ð 4 Ð Ðòòinfraóó,€on€willful€blindness€is€appropriate).Ð  !¼ Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds),€òòinfraóó.Ð ‚"  Ðà  à8.€€òòSeeóó€Note€7,€Instruction€6.18.1956A,€òòsupraóó,€and€6.18.1956J(7)€(Specified€UnlawfulÐ ä#€" ÐActivity),€òòinfraóó.€€The€phrase€"unlawful€activity"€as€used€in€this€instruction€is€broader€than€theÐ Ð$l# Ðphrase€"specified€unlawful€activity"€as€used€in€18€U.S.C.€ðð€1956.Ð ¼%X$ Ðà  à9.€€òòSeeóó€Notes€8,€12„15€and€text€preceding€them,€Instruction€6.18.1956C,€òòsupraóó.Ð 'º & Ðà  à10.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð €("( Ðà  à11.€€òòSeeóó€Note€11,€Instruction€6.18.1956A,€òòsupraóó.Ð â)~#* Ðà  à12.€€òòSeeóó€Note€12,€Instruction€6.18.1956C,€òòsupraóó.Ð D+à$, Ðà  à13.€€òòSeeóó€Note€13,€Instruction€6.18.1956C,€òòsupraóó.Ð d Ðà  à14.€€òòSeeóó€Note€14,€Instruction€6.18.1956C,€òòsupraóó.Ð Æb ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ( Ä Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó;€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð Š & Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':( XÊÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð v  ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ b þ Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð N ê  ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ :Ö  Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð &  ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ ®  Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ þš  ÐProsecution€Manualóó€(Feb.€1992).Ð ê†  Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ Lè  Ðmost€cases.Ð  8Ô  ÐÖ€üì¶ÖÓ €Óà@%% ìàò òÔ% €” ÔÔ  Ô6.18.1956G.€€MONEY€LAUNDERING€"STING"€„€FINANCIAL€TRANSACTION€ˆÐ d Ðà@¾¾ìàWITH€INTENT€TO€PROMOTE€SPECIFIED€UNLAWFUL€ACTIVITY€ˆÐ Pì Ðà@||ìà(18€U.S.C.€ðð1956(a)(3)(A))Ô  ÆÏÔó óˆÐ <Ø ÐÌà  àÓ€ÓThe€crime€of€[conducting]€[attempting€to€conduct]€an€illegal€financial€transaction,€asÐ  ° Ðcharged€in€[Count[s]€____€of]€the€indictment€has€three€elements,€which€are:Ð v  Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€[conducted]€[attemptedÐ Ø t Ðto€conduct]òò2óó€a€financial€transaction,òò3óó€that€is,€(describe€in€simple€terms,€e.g.,€the€purchase€of€anÐ :Ö  Ðautomobile),€which€in€any€way€or€degree€affected€interstate€or€foreign€commerce;òò4óóÐ œ8  Ðà  àòòTwoóó,€the€financial€transaction€involved€(describe€the€"property,"€e.g.,€money)€which€wasÐ þš  Ðrepresentedòò5óó€to€the€defendant[s]€by€[a€law€enforcement€officer]€[a€person€acting€at€the€direction€ofÐ `ü  Ðor€with€the€approval€of€an€agent€of€the€(name€of€agency,€òòseeóó€18€U.S.C.€ðð€1956(e))]€to€be€theÐ Â^  Ðproceedsòò6óó€of€(describe€the€specified€unlawful€activity,òò7óó€e.g.,€unlawful€distribution€of€cocaine);€andÐ $À Ðà  àòòThreeóó,€the€defendant€[conducted]€[attempted€to€conduct]€the€financial€transaction€with€theÐ †" Ðintent€to€promote€the€carrying€on€of€(describe€the€specified€unlawful€activity).òò8óóÐ è„ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€conduct€a€financial€transaction€if€[he]Ð Jæ Ð[she]€intended€to€conduct€a€financial€transaction€and€voluntarily€and€intentionally€carried€outÐ ¬H Ðsome€act€which€was€a€substantial€step€toward€conducting€that€financial€transaction,€even€if€theÐ ª Ðtransaction€was€never€completed.]òò9óóÐ p   Ðà  à[The€term€"conducted,"€as€used€in€[this]€[Instruction[s]€_____]€includes€initiating,Ð Òn" Ðconcluding€or€participating€in€initiating€or€concluding€a€transaction.]òò10óóÐ 4 Ð$ Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€___€of]€theÐ –!2& Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ ø"”( Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ Z$ö* Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ ¼%X, Ðlaundering€instructions).]òò11óóÐ 'º . Ðà  à[It€is€not€necessary€to€show€that€[a]€[the]€defendant€intended€to€commit€(specifyÐ €("0 Ðâ âadditional€crime)€[himself]€[herself];òò12óó€it€is€sufficient€that€in€[conducting]€[attempting€to€conduct]Ð â)~#2 Ðthe€financial€transaction,€[a]€[the]€defendant€[himself]€[herself]€intended€to€make€the€unlawfulÐ d Ðactivity€easier€or€less€difficult.]Ð Æb Ðâ âà  à[The€crime€charged€in€[Count[s]€____€of]€the€indictment€alleges€multiple€purposes€for€theÐ ( Ä Ðcrime,€that€is,€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€transaction€wasÐ Š & Ð[conducted]€[attempted]€for€the€purposes€of€(list€all€objectives).€€To€find€[the€defendant]Ð ì ˆ Ð[defendant[s]€(name[s])]€guilty€of€the€offense[s],€you€must€agree€unanimously€that€one€or€moreÐ N ê  Ðof€the€objectives€charged€were€proved€beyond€a€reasonable€doubt.]òò13óóÐ °L  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ®  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ t  Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ Ör  Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ Â^  Ðand€Ô'&t,ßÔregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ ®J ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð š6 Ðand€1956(a)(2)(B)(ii).Ð †" Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ è„ Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ Ôp Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ À\ Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ ¬H Ðon€October€27,€1986.И4(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð ú– Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð æ‚ Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ Òn  Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ ¾Z! Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ ª F" Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ –!2# Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ђ"$(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ ä#€& ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ Ð$l' Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð ¼%X( Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ ¨&D ) Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ ”'0!* Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ €("+ Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ l)#, Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð€1956(c)(1)),€amended€theÐ X*ô#- Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð D+à$. Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð 0,Ì%/ Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ d Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ Pì Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ <Ø Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð ( Ä Ð(Specified€Unlawful€Activity),€òòinfraóó..Ð °(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð v  Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ b þ Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð N ê Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ :Ö  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ &  Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð ®  Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D)),€and€createdÐ þš  Ðthe€offense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€asÐ ê†  Ðthe€object€offenses.€€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ Ör  Ðconspiracy€to€violate€18€U.S.C.€ðð1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð Â^  ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ ®J Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ š6 Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ †" Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ r Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ð^ú(#(# Ðà  à2.€€Both€types€of€activity€have€been€proscribed€since€original€enactment€of€section€1956.€Ð À\ ÐòòSeeóó€18€U.S.C.€ðððð€1956(a)(1),€(a)(2)€and€(a)(3).€€Ð ¬H Ðà  à3.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€"Financial€transaction"€isÐ ª Ða€term€of€art€originally€defined€in€18€U.S.C.€ðð€1956(c)(4)€and€subsequently€expanded€andÐ ú– Ðclarified€through€amendments.€€It€encompasses€another€statutorily€defined€term€of€art,Ð æ‚ Ð"transaction,"€which€has€also€been€expanded€since€the€enactment€of€section€1956(c)(3).€€TheÐ Òn ÐCommittee€recommends€careful€review€to€determine€which€of€the€provisions€of€sectionsÐ ¾Z Ð1956(c)(3)€and€1956(c)(4)€were€in€effect€at€the€time€of€the€alleged€financial€transaction.€€òòSeeóóÐ ª F ÐNote€1,€òòsupraóó.Ð –!2 Ðà  à4.€€òòSeeóó€Instruction€6.18.1956J(2)€(Interstate€and€Foreign€Commerce),€òòinfraóó.€€All€sectionÐ ø"”! Ð1956€offenses€require€proof€that€the€financial€transaction€itself€or€the€financial€institution,€if€oneÐ ä#€" Ðwas€involved,€in€some€way€affected€interstate€or€foreign€commerce.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4);Ð Ð$l# ÐòòUnited€States€v.€Bakeróó,€985€F.2d€1248,€1252€(4th€Cir.€1993)€(element€under€sectionÐ ¼%X$ Ð1956(a)(1)(B)(i));€òòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€n.6€(8th€Cir.€1992)Ð ¨&D % Ð(expert€witness€testified€as€to€issue),€šòòaff'd€on€other€grounds,€óó511€U.S.€513€(1994);€òòUnited€StatesÐ ”'0!& Ðv.€Gonzalez„Rodriguezóó,€966€F.2d€918,€924€(5th€Cir.€1992)€(discussing€òòUnited€States€v.€Galloóó,€927Ð €("' ÐF.2d€815,€823€(5th€Cir.€1991)€and€òòUnited€States€v.€Hamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.Ð l)#( Ð1991)).€€The€Eighth€Circuit€has€not€ruled€whether€the€indictment€must€explicitly€allege€theÐ X*ô#) Ðinterstate/foreign€commerce€nexus.€€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1219€(8th€Cir.€1991)Ð D+à$* Ð(court€was€not€required€to€reach€the€issue€because€the€indictment€which€alleged€construction€of€aÐ 0,Ì%+ Ðshopping€center€and€purchase€of€merchandise€could€be€reasonably€construed€to€allege€theÐ d Ðelement).€€òòSee€also€United€States€v.€Greenóó,€964€F.2d€365,€374€(5th€Cir.€1992)€(citing€òòLucasóó);Ð Pì ÐòòUnited€States€v.€Lovettóó,€964€F.2d€1029,€1038€(10th€Cir.€1992)€(under€section€1957,€the€interstateÐ <Ø Ðcommerce€nexus€is€jurisdictional€but€not€an€element€of€the€crime€charged)€(citing€òòUnited€StatesÐ ( Ä Ðv.€Kelleyóó,€929€F.2d€582,€586€(10th€Cir.€1991)).€€Given€the€lack€of€controlling€law€on€this€issue,Ð  ° Ðthe€Committee€recommends€that€the€nexus€be€alleged€in€the€indictment.€€In€any€case,€a€finding€ofÐ  œ Ðan€effect€on€interstate€or€foreign€commerce€of€either€the€transaction€itself€or€the€activities€of€theÐ ì ˆ Ðfinancial€institution,€if€one€was€involved,€is€essential.€€òòSee€United€States€v.€Ben€M.€Hogan€Co.,Ð Ø t ÐInc.óó,€809€F.2d€480€(8òòthóó€Cir.€1987)€(failure€to€instruct€jury€that€it€must€find€an€interstate€commerceÐ Ä ` Ðconnection€can€be€harmless€error).Ð °L  Ðà  à5.€€On€the€issue€of€what€constitutes€a€sufficient€representation,€the€Seventh€Circuit€hasÐ ®  Ðstated,€"[i]t€is€enough€that€the€government€prove€that€an€enforcement€officer€or€authorized€personÐ þš  Ðmade€the€defendant€aware€of€circumstances€from€which€a€reasonable€person€would€infer€that€theÐ ê†  Ðproperty€was€drug€proceeds."€€òòUnited€States€v.€Kaufmannóó,€985€F.2d€884,€893€(7th€Cir.€1993).Ð Ör  Ðà  à6.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds).€€The€term€is€not€defined€in€18€U.S.C.Ð 8Ô  Ððð1956(c).€€In€the€event€that€the€representation€was€that€the€property€"was€used€to€conduct€orÐ $À Ðfacilitate€specified€unlawful€activity"€rather€than€"constituted€proceeds,"€the€following€languageÐ ¬ Ðmight€be€used:€€"property€used€to€[conduct]€[facilitate]€(describe€the€specified€unlawful€activity)."€Ð ü˜ ÐThere€is€some€ambiguity€as€to€whether€this€a€crime€as€the€statute€is€written.€€òòSee€MoneyÐ è„ ÐLaundering€Federal€Prosecution€Manualóó,€p.277.Ð Ôp Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J(7)€(Specified€Unlawful€Activity),€òòinfraóó.€€The€term€shouldÐ 6Ò Ðnot€be€confused€with€"unlawful€activity"€in€general€and€has€a€specific,€statutory€meaning,€as€setÐ "¾ Ðforth€in€section€1956(c)(7).€€Because€that€section€has€had€numerous€amendments,€and€itselfÐ ª Ðincorporates€activities€defined€in€several€other€statutes,€the€Committee€recommends€carefulÐ ú– Ðreview€of€both€the€provisions€of€section€1956(c)(7)€and€of€the€incorporated€statutes€which€wereÐ æ‚ Ðin€effect€at€the€time€of€the€alleged€financial€transaction€(1956(a)(1))€or€transportation,Ð Òn Ðtransmission€or€transfer€(1956)(a)(2)).€Ð ¾Z Ðà  àThroughout€these€instructions,€the€plain€description€of€the€offense€has€been€substitutedÐ  !¼ Ðfor€the€phrase€"specified€unlawful€activity"€(SUA),€which€is€a€term€of€art€specifically€defined€inÐ  "¨  Ð18€U.S.C.€ðð€1956(c)(7),€and€which€incorporates€òòinter€aliaóó€most€of€18€U.S.C.€ðð€1961(1).€€If€theÐ ø"”! Ðindictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€to€whether€aÐ ä#€" Ðparticular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€€SectionÐ Ð$l# Ð1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€November€18,Ð ¼%X$ Ð1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€òòsupraóó.€€The€provisions€ofÐ ¨&D % Ðsection€1956(c)(7)€used€should€correspond€to€the€alleged€date€of€the€offense.€€Further,€many€ofÐ ”'0!& Ðthe€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€the€definition€ofÐ €("' Ð"racketeering€activity,"€contained€in€18€U.S.C.€ðð€1961(1).€€That€statute€has€also€been€amendedÐ l)#( Ðsince€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€November€29,Ð X*ô#) Ð1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ D+à$* Ðprovisions€of€section€1961(1)€should€also€be€reviewed.Ð 0,Ì%+ Ðà  à8.€€The€mens€rea€required€under€sections€1956(a)(1)(A),€(a)(2)(A),€and€(a)(3)€offenses€isÐ d Ðmore€restrictive€than€under€sections€1956(a)(1)(B)€and€(a)(2)(B).€€The€former€requires€proof€ofÐ Pì Ðthe€defendant's€intent;€the€latter€merely€requires€that€the€defendant€have€knowledge€of€the€objectÐ <Ø Ðof€the€financial€transaction.€€òòSeeóó€G.€Richard€Strafer,€òòMoney€Laundering:€€The€Crime€of€the€'90'sóó,Ð ( Ä Ð27€Amer.€Crim.€L.€Rev.€149,€162,€172€(1989).€€Ð  ° Ðà  àUnder€sections€1956(a)(1)(A)(i),€1956(a)(2)(a)€and€1956(a)(3),€the€defendant€must€haveÐ v  Ðacted€with€the€intent€to€promote€a€"specified"€unlawful€activity,€as€defined€in€18€U.S.C.Ð b þ Ððð1956(c)(7),€rather€than€the€more€broadly€described€unlawful€activity€defined€in€18€U.S.C.Ð N ê Ððð1956(c)(1).€€òòSeeóó€Note€11,€òòinfraóó.€€Although€the€specified€unlawful€activity€inserted€in€the€secondÐ :Ö  Ðelement,€òòseeóó€Note€6,€òòsupraóó,€will€frequently€be€the€same€set€forth€regarding€the€defendant's€intent,Ð &  Ðthe€two€forms€of€specified€unlawful€activity€need€not€be€the€same,€e.g.,€drug€proceeds€with€whichÐ ®  Ðthe€defendant€conducts€a€transaction€with€the€intent€of€making€a€fraudulent€credit€application.Ð þš  Ðà  à9.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð `ü  Ðà  à10.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(2).€€This€definition€was€included€in€the€October€27,€1986,Ð Â^  Ðversion€of€the€statute€and€has€not€changed€since.Ð ®J Ðà  à11.€€The€supplemental€definitions€and€instructions€contained€in€Instruction€6.18.1956J,Ð ¬ Ðòòinfraóó,€should€be€given€in€most€cases.€€Whether€they€are€inserted€in€each€6.18.1956€instruction€orÐ ü˜ Ðgiven€after€a€series€of€6.18.1956A€through€6.18.1956I€instructions€is€an€option€for€the€court€toÐ è„ Ðconsider€based€on€the€number€and€types€of€money€laundering€counts€and€the€ability€of€the€jury€toÐ Ôp Ðrelate€the€definitions€to€the€applicable€counts.Ð À\ Ðà  à12.€€òòSee€United€States€v.€Jacksonóó,€935€F.2d€832,€841€(7th€Cir.€1991);€òòUnited€States€v.Ð "¾ ÐRogersóó,€788€F.2d€1472,€1476€(11th€Cir.€1986)€(facilitating€the€promotion€of€unlawful€activity€inÐ ª Ðthe€context€of€18€U.S.C.€ðð1952(a)(3)€("Travel€Act")€cases€is€satisfied€by€proof€the€defendant'sÐ ú– Ðaction€made€the€unlawful€activity€easy€or€less€difficult);€òòsee€also€United€States€v.€Coronaóó,€885Ð æ‚ ÐF.2d€766,€773€(11th€Cir.€1989)€(the€defendant€himself€does€not€have€to€be€involved€in€the€offenseÐ Òn Ðbeing€facilitated).€€The€specified€unlawful€activity€which€a€defendant€intends€to€promote€may€beÐ ¾Z Ða€continuing€offense,€may€be€still€underway€or€may€be€an€offense€that€will€be€committed€in€theÐ ª F Ðfuture.€€The€financial€transaction€need€not€be€linked€to€a€specific€future€offense;€it€is€sufficient€ifÐ –!2  Ða€defendant€intended€to€promote€a€specified€unlawful€activity€generally.€€For€example,€issuingÐ ‚"! Ðchecks€to€vendors€providing€beeper€and€mobile€telephone€services€used€in€a€continuing€criminalÐ n# " Ðenterprise€would€qualify,€but€purchases€of€cellular€phones€not€previously€used€or€clearly€intendedÐ Z$ö# Ðfor€use€in€the€enterprise€would€not.€€Ð F%â$ Ðà  à13.€€The€multiple€objective€situation€may€apply€to€multiple€intent€allegations,€i.e.,Ð ¨&D & Ðsections€1956(a)(3)(A),€(B)€and€(C).€€The€indictment,€and€the€government,€should€provide€noticeÐ ”'0!' Ðof€the€provisions€that€are€meant€to€apply€in€a€particular€case.€€òòSee€United€States€v.€Jacksonóó,€935Ð €("( ÐF.2d€832,€842€(7th€Cir.€1991).€€Although€there€is€no€case€law€requiring€unanimity€on€objectives,Ð l)#) Ðâ âif€an€instruction€to€that€effect€is€desired,€òòseeóó€Instruction€5.06(F),€òòsupraóó.Ð X*ô#* ÐÔ& : Ôâ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð Æb Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':döÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð ²N ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ ž : Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð Š & ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ v  Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð b þ ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ N ê Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ :Ö  ÐProsecution€Manualóó€(Feb.€1992).Ð &  Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ ˆ$  Ðmost€cases.€€Ð  t  ÐÖ€ì·ÖÓ €Óà@$$ ìàò òÔ% €– ÔÔ  Ô6.18.1956H.€€MONEY€LAUNDERING€"STING"€„€FINANCIAL€TRANSACTION€ˆÐ d Ðà@]]ìàWITH€INTENT€TO€CONCEAL€NATURE€OF€PROPERTY€(18€U.S.C.€ðð€1956(a)(3)(B))Ô €1p#Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[conducting]€[attempting€to€conduct]€an€illegal€financial€transaction,€asÐ ( Ä Ðcharged€in€[Count[s]€____€of]€the€indictment€has€three€elements,€which€are:Ð Š & Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€[conducted]€[attemptedÐ ì ˆ Ðto€conduct]òò2óó€a€financial€transaction,òò3óó€that€is,€(describe€in€simple€terms,€e.g.,€the€purchase€of€anÐ N ê  Ðautomobile),€which€in€any€way€or€degree€affected€interstate€or€foreign€commerce;òò4óóÐ °L  Ðà  àòòTwoóó,€the€financial€transaction€involved€(describe€the€"property,"€e.g.,€money)€which€wasÐ ®  Ðrepresentedòò5óó€to€the€defendant[s]€by€[a€law€enforcement€officer]€[a€person€acting€at€the€direction€ofÐ t  Ðor€with€the€approval€of€an€agent€of€the€(name€of€agency,€òòseeóó€18€U.S.C.€ðð€1956(e))]€to€be€theÐ Ör  Ðproceedsòò6óó€of€(describe€the€specified€unlawful€activity,òò7óó€e.g.,€unlawful€distribution€of€cocaine);€andÐ 8Ô  Ðà  àòòThreeóó,€the€defendant€[conducted]€[attempted€to€conduct]€the€financial€transaction€with€theÐ š6 Ðintent€to€conceal€and€disguiseòò8óó€the€nature,€location,€source,€ownership€or€control€of€(describe€theÐ ü˜ Ð"property")€which€the€defendant€believedòò9óó€to€be€the€proceeds€of€(describe€the€specified€unlawfulÐ ^ú Ðactivity).Ð À\ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€conduct€a€financial€transaction€if€[he]Ð "¾ Ð[she]€intended€to€conduct€a€financial€transaction€and€voluntarily€and€intentionally€carried€outÐ „  Ðsome€act€which€was€a€substantial€step€toward€conducting€that€financial€transaction,€even€if€theÐ æ‚! Ðtransaction€was€never€completed.]òò10óóÐ Hä# Ðà  à[The€term€"conducted,"€as€used€in€[this]€[Instruction[s]€_____]€includes€initiating,Ð ª F% Ðconcluding€or€participating€in€initiating€or€concluding€a€transaction.]òò11óóÐ  "¨' Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€___€of]€theÐ n# ) Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ Ð$l+ Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ 2&Î- Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ ”'0!/ Ðlaundering€instructions).]òò12óóÐ ö(’"1 Ðà  à[It€is€not€necessary€to€show€that€[a]€[the]€defendant€intended€to€commit€(specifyÐ X*ô#3 Ðadditional€crime)€[himself]€[herself],€it€is€sufficient€that€in€[conducting]€[attempting€to€conduct]Ð º+V%5 Ðthe€financial€transaction,€[a]€[the]€defendant€[himself]€[herself]€intended€to€make€the€unlawfulÐ d Ðactivity€easier€or€less€difficult.].òò13óóÐ Æb Ðà  à[The€crime€charged€in€[Count[s]€____€of]€the€indictment€alleges€multiple€purposes€for€theÐ ( Ä Ðcrime,€that€is,€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€transaction€wasÐ Š & Ð[conducted]€[attempted]€for€the€purposes€of€(list€all€objectives).€€To€find€[the€defendant]Ð ì ˆ Ð[defendant[s]€(name[s])]€guilty€of€the€offense[s],€you€must€agree€unanimously€that€one€or€moreÐ N ê  Ðof€the€objectives€charged€were€proved€beyond€a€reasonable€doubt.]òò14óóÐ °L  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ®  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ t  Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ Ör  Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ Â^  Ðand€Ô'&t?3Ôregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ ®J ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð š6 Ðand€1956(a)(2)(B)(ii).Ð †" Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ è„ Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ Ôp Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ À\ Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ ¬H Ðon€October€27,€1986.И4(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð ú– Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð æ‚ Ð4378€and€4398€became€effective€November€18,€1988.€€òòInter€aliaóó€it€added€a€new€offense,Ð Òn  Ðsection€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engage€inÐ ¾Z! Ðviolations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ ª F" Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ –!2# Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ђ"$(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ ä#€& ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ Ð$l' Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€November€29,Ð ¼%X( Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ ¨&D ) Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ ”'0!* Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ €("+ Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ l)#, Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð1956(c)(1)),€amended€theÐ X*ô#- Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð D+à$. Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð 0,Ì%/ Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ d Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ Pì Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ <Ø Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð ( Ä Ð(Specified€Unlawful€Activity),€òòinfraóó.Ð °(#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð v  Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ b þ Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð N ê Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ :Ö  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ &  Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð ®  Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ þš  Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ ê†  Ðobject€offenses.€€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ Ör  Ðconspiracy€to€violate€18€U.S.C.€ðð€1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð Â^  ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ ®J Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ š6 Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ †" Ðwho€had€significant€prior€criminal€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ r Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ð^ú(#(# Ðà  à2.€€Both€types€of€activity€have€been€proscribed€since€original€enactment€of€section€1956.€Ð À\ ÐòòSeeóó€18€U.S.C.€ðððð€1956(a)(1),€(a)(2)€and€(a)(3).€€Ð ¬H Ðà  à3.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€"Financial€transaction"€isÐ ª Ða€term€of€art€originally€defined€in€18€U.S.C.€ðð€1956(c)(4)€and€subsequently€expanded€andÐ ú– Ðclarified€through€amendments.€€It€encompasses€another€statutorily€defined€term€of€art,Ð æ‚ Ð"transaction,"€which€has€also€been€expanded€since€the€enactment€of€section€1956(c)(3).€€TheÐ Òn ÐCommittee€recommends€careful€review€to€determine€which€of€the€provisions€of€sectionsÐ ¾Z Ð1956(c)(3)€and€1956(c)(4)€were€in€effect€at€the€time€of€the€alleged€financial€transaction.€€òòSeeóóÐ ª F ÐNote€1,€òòsupraóó.Ð –!2 Ðà  à4.€€òòSeeóó€Instruction€6.18.1956J(2)€(Interstate€and€Foreign€Commerce),€òòinfraóó.€€All€sectionÐ ø"”! Ð1956€offenses€require€proof€that€the€financial€transaction€itself€or€the€financial€institution,€if€oneÐ ä#€" Ðwas€involved,€in€some€way€affected€interstate€or€foreign€commerce.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4);Ð Ð$l# ÐòòUnited€States€v.€Bakeróó,€985€F.2d€1248,€1252€(4th€Cir.€1993)€(element€under€sectionÐ ¼%X$ Ð1956(a)(1)(B)(i));€òòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€n.6€(8th€Cir.€1992)Ð ¨&D % Ð(expert€witness€testified€as€to€issue),€šòòaff'd€on€other€groundsóó,€511€U.S.€513€(1994);€òòUnited€StatesÐ ”'0!& Ðv.€Gonzalez„Rodriguezóó,€966€F.2d€918,€924€(5th€Cir.€1992)€(discussing€òòUnited€States€v.€Galloóó,€927Ð €("' ÐF.2d€815,€823€(5th€Cir.€1991)€and€òòUnited€States€v.€Hamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.Ð l)#( Ð1991)).€€The€Eighth€Circuit€has€not€ruled€whether€the€indictment€must€explicitly€allege€theÐ X*ô#) Ðinterstate/foreign€commerce€nexus.€€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1219€(8th€Cir.€1991)Ð D+à$* Ð(court€was€not€required€to€reach€the€issue€because€the€indictment€which€alleged€construction€of€aÐ 0,Ì%+ Ðshopping€center€and€purchase€of€merchandise€could€be€reasonably€construed€to€allege€theÐ d Ðelement).€€òòSee€also€United€States€v.€Greenóó,€964€F.2d€365,€374€(5th€Cir.€1992)€(citing€òòLucasóó);Ð Pì ÐòòUnited€States€v.€Lovettóó,€964€F.2d€1029,€1038€(10th€Cir.€1992)€(under€section€1957,€the€interstateÐ <Ø Ðcommerce€nexus€is€jurisdictional€but€not€an€element€of€the€crime€charged)€(citing€òòUnited€StatesÐ ( Ä Ðv.€Kelleyóó,€929€F.2d€582,€586€(10th€Cir.€1991)).€€Given€the€lack€of€controlling€law€on€this€issue,Ð  ° Ðthe€Committee€recommends€that€the€nexus€be€alleged€in€the€indictment.€€In€any€case,€a€finding€ofÐ  œ Ðan€effect€on€interstate€or€foreign€commerce€of€either€the€transaction€itself€or€the€activities€of€theÐ ì ˆ Ðfinancial€institution,€if€one€was€involved,€is€essential.€€òòSee€United€States€v.€Ben€M.€Hogan€Co.,Ð Ø t ÐInc.óó,€769€F.2d€1293,€1297€(8th€Cir.€1985)€(reversible€error€for€a€district€court€to€give€anÐ Ä ` Ðinstruction€which€could€have€been€understood€to€include€a€conclusive€presumption€of€effect€onÐ °L  Ðinterstate€commerce,€where€such€a€finding€by€the€jury€was€essential€in€a€prosecution€under€theÐ œ8  ÐSherman€Anti„Trust€Act).Ð ˆ$  Ðà  à5.€€On€the€issue€of€what€constitutes€a€sufficient€representation,€the€Seventh€Circuit€hasÐ ê†  Ðstated,€"[i]t€is€enough€that€the€government€prove€that€an€enforcement€officer€or€authorized€personÐ Ör  Ðmade€the€defendant€aware€of€circumstances€from€which€a€reasonable€person€would€infer€that€theÐ Â^  Ðproperty€was€drug€proceeds."€€òòUnited€States€v.€Kaufmannóó,€985€F.2d€884,€893€(7th€Cir.€1993).Ð ®J Ðà  à6.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds),€òòinfraóó.€€The€term€is€not€defined€in€18€U.S.C.Ð ¬ Ððð€1956(c).€€In€the€event€that€the€representation€was€that€the€property€"was€used€to€conduct€orÐ ü˜ Ðfacilitate€specified€unlawful€activity"€rather€than€"constituted€proceeds,"€the€following€languageÐ è„ Ðmight€be€used:€€"property€used€to€[conduct]€[facilitate]€(describe€the€specified€unlawful€activity)."€Ð Ôp ÐThere€is€some€ambiguity€as€to€whether€this€is€a€crime€as€the€statute€is€written.€€òòSee€MoneyÐ À\ ÐLaundering€Federal€Prosecution€Manualóó,€p.277.Ð ¬H Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J(7)€(Specified€Unlawful€Activity),€òòinfraóó.€€The€term€shouldÐ ª Ðnot€be€confused€with€"unlawful€activity"€in€general€and€has€a€specific,€statutory€meaning,€as€setÐ ú– Ðforth€in€section€1956(c)(7).€€Because€that€section€has€had€numerous€amendments,€and€itselfÐ æ‚ Ðincorporates€activities€defined€in€several€other€statutes,€the€Committee€recommends€carefulÐ Òn Ðreview€of€both€the€provisions€of€section€1956(c)(7)€and€of€the€incorporated€statutes€which€wereÐ ¾Z Ðin€effect€at€the€time€of€the€alleged€financial€transaction€(section€1956(a)(1))€or€transportation,Ð ª F Ðtransmission€or€transfer€(section€1956)(a)(2)).€€Ð –!2 Ðà  àThroughout€these€instructions,€the€plain€description€of€the€offense€has€been€substitutedÐ ø"”! Ðfor€the€phrase€"specified€unlawful€activity"€(SUA),€which€is€a€term€of€art€specifically€defined€inÐ ä#€" Ð18€U.S.C.€ðð€1956(c)(7),€and€which€incorporates€òòinter€aliaóó€most€of€18€U.S.C.€ðð€1961(1).€€If€theÐ Ð$l# Ðindictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€to€whether€aÐ ¼%X$ Ðparticular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€€SectionÐ ¨&D % Ð1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€November€18,Ð ”'0!& Ð1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€òòsupraóó.€€The€provisions€ofÐ €("' Ðsection€1956(c)(7)€used€should€correspond€to€the€alleged€date€of€the€offense.€€Further,€many€ofÐ l)#( Ðthe€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€the€definition€ofÐ X*ô#) Ð"racketeering€activity,"€contained€in€18€U.S.C.€ðð1961(1).€€That€statute€has€also€been€amendedÐ D+à$* Ðsince€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€November€29,Ð 0,Ì%+ Ð1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ d Ðprovisions€of€section€1961(1)€should€also€be€reviewed.Ð Pì Ðà  à8.€€There€must€be€proof€of€a€design€to€conceal€or€disguise€the€nature,€location,€source,Ð ²N Ðownership€or€control€of€the€proceeds.€€A€"typical"€money€laundering€transaction€involvingÐ ž : Ðpurchases€in€third„party€names€frequently€satisfies€this€element.€€Purchases€in€the€names€of€closeÐ Š & Ðfamily€members,€however,€are€problematic,€especially€where€the€defendant's€subsequent€use€ofÐ v  Ðthe€asset€is€open€and€conspicuous.€€òòCompare€United€States€v.€Sandersóó,€929€F.2d€1466,€1472Ð b þ Ð(10th€Cir.€1991)€(contrasting€òòUnited€States€v.€Leeóó,€886€F.2d€998,€1002„03€(8th€Cir.€1989))€òòwithÐ N ê ÐUnited€States€v.€Suteraóó,€933€F.2d€641,€648€(8th€Cir.€1991)€(money€laundering€statute€did€notÐ :Ö  Ðrequire€that€the€defendant€did€a€good€job€of€laundering€the€proceeds;€the€jury€simply€had€to€findÐ &  Ðthat€the€defendant€intended€to€hide€them)€òòand€United€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2dÐ ®  Ð652,€661€n.7€(8th€Cir.€1992)€(the€defendant€commingled€legitimate€and€illegitimate€businessÐ þš  Ðreceipts€over€a€three€year€period;€despite€no€attempt€to€disguise€control€of€the€account,€one€couldÐ ê†  Ðinfer€from€her€record€keeping€and€bank€activity€a€design€to€conceal€or€disguise€her€illegalÐ Ör  Ðproceeds),€òòaff'd€on€other€groundsóó,€511€U.S.€513€(1994).Ð Â^  Ðà  à9.€€The€government€must€prove€that€the€defendant€believed€that€the€"property"€was€in€factÐ $À Ðproceeds€of€specified€unlawful€activity€when€prosecuting€under€section€1956(a)(3)(B).€€òòUnitedÐ ¬ ÐStates€v.€Kaufmannóó,€985€F.2d€884,€896„97€(7th€Cir.€1993).€€"Knowledge"€and€"belief"€areÐ ü˜ Ðseparate€concepts,€and€a€"willful€blindness"€or€"deliberate€ignorance"€theory€cannot€be€used€toÐ è„ Ðestablish€belief€in€the€way€it€can€be€used€to€establish€knowledge.€€òòUnited€States€v.€Kaufmannóó.€Ð Ôp Ðà  à10.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð 6Ò Ðà  à11.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(2).€€This€definition€was€included€in€the€October€27,€1986,Ð ˜4 Ðversion€of€the€statute€and€has€not€changed€since.€€Ð „  Ðà  à12.€€The€supplemental€definitions€and€instructions€contained€in€Instruction€6.18.1956J,Ð æ‚ Ðòòinfraóó,€should€be€given€in€most€cases.€€Whether€they€are€inserted€in€each€6.18.1956€instruction€orÐ Òn Ðgiven€after€a€series€of€6.18.1956A€through€6.18.1956I€instructions€is€an€option€for€the€court€toÐ ¾Z Ðconsider€based€on€the€number€and€types€of€money€laundering€counts€and€the€ability€of€the€jury€toÐ ª F Ðrelate€the€definitions€to€the€applicable€counts.Ð –!2  Ðà  à13.€€òòSee€United€States€v.€Jacksonóó,€935€F.2d€832,€841€(7th€Cir.€1991);€òòUnited€States€v.Ð ø"”" ÐRogersóó,€788€F.2d€1472,€1476€(11th€Cir.€1986)€(facilitating€the€promotion€of€unlawful€activity€inÐ ä#€# Ðthe€context€of€18€U.S.C.€ðð1952(a)(3)€("Travel€Act")€cases€is€satisfied€by€proof€the€defendant'sÐ Ð$l$ Ðaction€made€the€unlawful€activity€easy€or€less€difficult);€òòsee€also€United€States€v.€Coronaóó,€885Ð ¼%X% ÐF.2d€766,€773€(11th€Cir.€1989)€(the€defendant€himself€does€not€have€to€be€involved€in€the€offenseÐ ¨&D & Ðbeing€facilitated).€€The€specified€unlawful€activity€which€a€defendant€intends€to€promote€may€beÐ ”'0!' Ða€continuing€offense,€may€be€still€underway€or€may€be€an€offense€that€will€be€committed€in€theÐ €("( Ðfuture.€€The€financial€transaction€need€not€be€linked€to€a€specific€future€offense;€it€is€sufficient€ifÐ l)#) Ða€defendant€intended€to€promote€a€specified€unlawful€activity€generally.€€For€example,€issuingÐ X*ô#* Ðâ âchecks€to€vendors€providing€beeper€and€mobile€telephone€services€used€in€a€continuing€criminalÐ D+à$+ Ðenterprise€would€qualify,€but€purchases€of€cellular€phones€not€previously€used€or€clearly€intendedÐ d Ðfor€use€in€the€enterprise€would€not.€€Ð Pì Ðâ âà  à14.€€The€multiple€objective€situation€may€apply€to€multiple€intent€allegations,€i.e.,Ð ²N Ðsections€1956(a)(3)(A),€(B)€and€(C).€€The€indictment,€and€the€government,€should€provide€noticeÐ ž : Ðof€the€provisions€that€are€meant€to€apply€in€a€particular€case.€€òòSee€United€States€v.€Jacksonóó,€935Ð Š & ÐF.2d€832,€842€(7th€Cir.€1991).€€Although€there€is€no€case€law€requiring€unanimity€on€objectives,Ð v  Ðif€an€instruction€to€that€effect€is€desired,€òòseeóó€Instruction€5.06(F),€òòsupraóó.Ð b þ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ä `  Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð &  Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':Ä ¡uÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð ®  ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ þš  Ðgroundsóó,€511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð ê†  ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ Ör  Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð Â^  ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ ®J Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ š6 ÐProsecution€Manualóó€(Feb.€1992).Ð †" Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ è„ Ðmost€cases.Ð  Ôp ÐÖ€ì¸ÖÓ €Óà@KK ìàò òÔ% €˜ ÔÔ  Ô6.18.1956I.€€MONEY€LAUNDERING€"STING"€„€FINANCIAL€TRANSACTION€ˆÐ d Ðà@……ìàWITH€INTENT€TO€AVOID€TRANSACTION€REPORTING€REQUIREMENT€ˆÐ Pì Ðà@||ìà(18€U.S.C.€ðð€1956(a)(3)(C))Ô n"{Ôó óˆÐ <Ø ÐÌà  àÓ€ÓThe€crime€of€[conducting]€[attempting€to€conduct]€an€illegal€financial€transaction,€asÐ  ° Ðcharged€in€[Count[s]€____€of]€the€indictment€has€three€elements,€which€are:Ð v  Ðà  àòòOneóó,€on€or€about€(date),òò1óó€[the€defendant]€[defendant[s]€(name[s])]€[conducted]€[attemptedÐ Ø t Ðto€conduct]òò2óó€a€financial€transaction,òò3óó€that€is,€(describe€in€simple€terms,€e.g.,€the€purchase€of€anÐ :Ö  Ðautomobile),€which€in€any€way€or€degree€affected€interstate€or€foreign€commerce;òò4óóÐ œ8  Ðà  àòòTwoóó,€the€financial€transaction€involved€(describe€the€"property,"€e.g.,€money)€which€wasÐ þš  Ðrepresentedòò5óó€to€the€defendant[s]€by€[a€law€enforcement€officer]€[a€person€acting€at€the€direction€ofÐ `ü  Ðor€with€the€approval€of€an€agent€of€the€(name€of€agency,€òòseeóó€18€U.S.C.€ðð€1956(e))]€to€be€theÐ Â^  Ðproceedsòò6óó€of€(describe€the€specified€unlawful€activity,òò7óó€e.g.,€unlawful€distribution€of€cocaine);€andÐ $À Ðà  àòòThreeóó,€the€defendant€[conducted]€[attempted€to€conduct]€the€financial€transaction€with€theÐ †" Ðintent€to€avoid€a€transaction€reporting€requirement€of€State€or€Federal€law.òò8óóÐ è„ Ðà  à[A€defendant€may€be€found€to€have€attempted€to€conduct€a€financial€transaction€if€[he]Ð Jæ Ð[she]€intended€to€conduct€a€financial€transaction€and€voluntarily€and€intentionally€carried€outÐ ¬H Ðsome€act€which€was€a€substantial€step€toward€conducting€that€financial€transaction,€even€if€theÐ ª Ðtransaction€was€never€completed.]òò9óóÐ p   Ðà  à[The€term€"conducted,"€as€used€in€[this]€[Instruction[s]€_____]€includes€initiating,Ð Òn" Ðconcluding€or€participating€in€initiating€or€concluding€a€transaction.]òò10óóÐ 4 Ð$ Ðà  à[You€are€further€instructed€regarding€the€crime[s]€charged€in€[Count[s]€___€of]€theÐ –!2& Ðindictment€that€the€following€definitions€apply:€€(Insert€applicable€portions€of€InstructionÐ ø"”( Ð6.18.1956J,€unless€the€indictment€charges€multiple€money€laundering€violations€and€there€will€beÐ Z$ö* Ðno€confusion€in€adding€the€definitions€common€to€all€counts€after€all€of€the€substantive€moneyÐ ¼%X, Ðlaundering€instructions).]òò11óóÐ 'º . Ðà  à[The€Currency€Transaction€RepÔ_ÔortingÔ_Ô€(CTR)€requirement€of€federal€lawòò12óó€requiresÐ €("0 Ðfinancial€institutions€to€file€a€report€for€each€deposit,€withdrawal,€exchange€of€currency,€or€otherÐ â)~#2 Ðpayment€or€transfer,€by,€through,€or€to€such€financial€institution€which€involves€a€transaction€inÐ D+à$4 Ðcurrency€of€more€than€$10,000.€€Multiple€currency€transactions€are€treated€as€a€single€transactionÐ d Ðif€the€financial€institution€has€knowledge€that€they€are€by€or€on€behalf€of€any€person€and€result€inÐ Æb Ðeither€cash€in€or€cash€out€totaling€more€than€$10,000€during€any€one€business€day.€€A€financialÐ ( Ä Ðinstitution€includes€all€of€its€domestic€branch€offices€for€purposes€of€this€requirement.€€TheÐ Š & Ðphrase€"financial€institution"€includes€(insert€appropriate€institution€from€31€C.F.R.€ðð103.11(i),Ð ì ˆ Ðsuch€as€"bank"€or€"savings€&€loan").]òò13óóÐ N ê  Ðà  à[The€crime€charged€in€[Count[s]€____€of]€the€indictment€alleges€multiple€purposes€for€theÐ °L  Ðcrime,€that€is,€that€[the€defendant]€[defendant[s]€(name[s])]€knew€that€the€transaction€wasÐ ®  Ð[conducted]€[attempted]€for€the€purposes€of€(list€all€objectives).€€To€find€[the€defendant]Ð t  Ð[defendant[s]€(name[s])]€guilty€of€the€offense[s],€you€must€agree€unanimously€that€one€or€moreÐ Ör  Ðof€the€objectives€charged€were€proved€beyond€a€reasonable€doubt.]òò14óóÐ 8Ô  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ š6 ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ü˜ Ðà  à1.€€The€statutes€and€implementing€regulations€have€been€amended€frequently.€€The€date€ofÐ ^ú Ðthe€offense€is€critical€in€verifying€that€the€criminal€conduct€charged€was€covered€by€the€statuteÐ Jæ Ðand€Ô'&üÛŒÔregulation€in€effect€on€that€date.€€Additionally,€changes€in€reporting€requirements€underÐ 6Ò ÐTreasury€regulations€(31€C.F.R.)€may€affect€offenses€charged€under€sections€1956(a)(1)(B)(ii)Ð "¾ Ðand€1956(a)(2)(B)(ii).Ð ª Ðà0  àà ` àa.€€The€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€Subtitle€HÐ p   Ð(Money€Laundering€Control€Act€of€1986),€ðð1352(a),€100€Stat.€3207„18€to€22,€addedÐ \ø! Ðsections€1956€and€1957€to€Title€18€of€the€United€States€Code.€€The€Anti„Drug€Abuse€ActÐ Hä" Ðof€1986,€including€the€newly€added€sections€1956€and€1957€of€Title€18,€became€effectiveÐ 4 Ð# Ðon€October€27,€1986.Ð !¼$(#(# Ðà0  àà ` àb.€€The€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6183,Ð ‚"& Ð6465,€6469(a)(1)€and€6471(a)„(b),€and€Title€VII,€ðð€7031,€102€Stat.€4354,€4375,€4377,Ð n# ' Ð4378€and€4398€became€effective€on€November€18,€1988.€€òòInter€aliaóó€it€added€a€newÐ Z$ö( Ðoffense,€section€1956(a)(1)(A)(ii),€conducting€a€financial€transaction€with€intent€to€engageÐ F%â) Ðin€violations€of€the€tax€code€(26€U.S.C.€ðððð€7201€or€7206),€expanded€the€scope€of€sectionÐ 2&Î* Ð1956(a)(2),€added€a€"sting"€section,€1956(a)(3),€and€added€a€number€of€"specifiedÐ 'º + Ðunlawful€activity"€predicate€offenses€as€defined€in€section€1956(c)(7).Ð (¦!,(#(# Ðà0  àà ` àc.€€The€Crime€Control€Act€of€1990,€Pub.€L.€No.€101„647,€Title€I,€ðððð€105„108,€TitleÐ l)#. ÐXII,€ðð€1205(j),€Title€XIV,€ðððð€1402€and€1404,€Title€XXV,€ðð€2506€and€Title€XXXV,€ððÐ X*ô#/ Ð3557,€104€Stat.€4791„92,€4831,€4835,€4862€and€4927€became€effective€on€November€29,Ð D+à$0 Ð1990.€€òòInter€aliaóó€it€amended€the€provisions€of€section€1956(a)(2)(B)€to€permit€theÐ 0,Ì%1 Ðgovernment€to€establish€the€defendant's€knowledge€of€the€illegality€of€his€actions€throughÐ d Ðthe€law€enforcement€officer's€representations€and€the€defendant's€subsequent€statementsÐ Pì Ðor€actions€indicating€the€defendant€believed€the€representation,€added€violations€ofÐ <Ø Ðforeign€law€to€the€definition€of€"unlawful€activity"€(18€U.S.C.€ðð1956(c)(1)),€amended€theÐ ( Ä Ðdefinition€of€"financial€transaction"€(section€1956(c)(4))€and€"monetary€instruments"Ð  ° Ð(section€1956(c)(5))€to€emphasize€the€alternative€means€of€meeting€the€definitions,Ð  œ Ðrevised€and€expanded€the€scope€of€the€term€"specified€unlawful€activity"€(SUA)€(sectionsÐ ì ˆ Ð1956(c)(7)(A)€and€(D),€added€as€predicate€SUA€several€"environmental"€offenses€(sectionÐ Ø t Ð1956(c)(7)(E)),€added€a€new€section,€1956(c)(8),€defining€"state,"€and€added€agenciesÐ Ä ` Ðauthorized€to€investigate€section€1956€violations.€€òòSeeóó€Instruction€6.18.1956J(7)Ð °L  Ð(Specified€Unlawful€Activity).Ðœ8 (#(# Ðà0  àà ` àd.€€Effective€October€28,€1992,€Pub.€L.€102„550,€Title€XV,€ðððð€1504(c),€1524,Ð þš  Ð1526(a),€1527(a),€1530,€1531,€1534€and€1536,€106€Stat.€4055€and€4064„67€added,€òòinterÐ ê†  Ðaliaóó,€use€of€a€safe€deposit€box€to€the€definition€of€"transaction"€(section€1956(c)(3)),Ð Ör  Ðadded€transfer€of€title€to€real€property,€vehicles,€vessels€or€aircraft€to€the€definitions€ofÐ Â^  Ð"financial€transaction"€(section€1956(c)(4)),€expanded€the€scope€of€the€term€"specifiedÐ ®J Ðunlawful€activity"€regarding€offenses€against€foreign€nations€(section€1956(c)(7)(B)),Ð š6 Ðdeleted€and€added€several€predicate€SUA€offenses€(section€1956(c)(7)(D))€and€created€theÐ †" Ðoffense€of€conspiracy€to€violate€sections€1956€or€1957,€carrying€the€same€penalties€as€theÐ r Ðobject€offenses.€€Instead€of€a€statutory€five„year€maximum€under€18€U.S.C.€ðð371,€aÐ ^ú Ðconspiracy€to€violate€18€U.S.C.€ðð€1956€now€carries€a€20„year€statutory€maximum.€€òòSeeóó€18Ð Jæ ÐU.S.C.€ðð€1956(g).€€Prior€to€the€amendment,€the€five„year€statutory€maximum€forÐ 6Ò Ðconspiracy€would€have€precluded€imposition€of€a€sentence€corresponding€to€theÐ "¾ Ðsentencing€guideline€range€for€the€defendants€who€conspired€to€launder€large€sums€orÐ ª Ðwho€had€significant€prior€cÔ_ÔriminalÔ_Ô€histories.€€òòSeeóó€United€States€Sentencing€Guideline€ððÐ ú– Ð2S1.1€and€Chapter€5,€Part€A€(Sentencing€Table).Ðæ‚(#(# Ðà  à2.€€Both€types€of€activity€have€been€proscribed€since€original€enactment€of€section€1956.€Ð Hä ÐòòSeeóó€18€U.S.C.€ðððð€1956(a)(1),€(a)(2)€and€(a)(3).€€Ð 4 Ð Ðà  à3.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€"Financial€transaction"€isÐ –!2 Ða€term€of€art€originally€defined€in€18€U.S.C.€ðð€1956(c)(4)€and€subsequently€expanded€andÐ ‚"  Ðclarified€through€amendments.€€It€encompasses€another€statutorily€defined€term€of€art,Ð n# ! Ð"transaction,"€which€has€also€been€expanded€since€the€enactment€of€section€1956(c)(3).€€TheÐ Z$ö" ÐCommittee€recommends€careful€review€to€determine€which€of€the€provisions€of€sectionsÐ F%â# Ð1956(c)(3)€and€1956(c)(4)€were€in€effect€at€the€time€of€the€alleged€financial€transaction.€€òòSeeóóÐ 2&Î$ ÐNote€1,€òòsupraóó.Ð 'º % Ðà  à4.€€òòSeeóó€Instruction€6.18.1956J(2)€(Interstate€and€Foreign€Commerce),€òòinfraóó.€€All€sectionÐ €("' Ð1956€offenses€require€proof€that€the€financial€transaction€itself€or€the€financial€institution,€if€oneÐ l)#( Ðwas€involved,€in€some€way€affected€interstate€or€foreign€commerce.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4);Ð X*ô#) ÐòòUnited€States€v.€Bakeróó,€985€F.2d€1248,€1252€(4th€Cir.€1993)€(element€under€1956(a)(1)(B)(i));Ð D+à$* ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€n.6€(8th€Cir.€1992)€(expert€witnessÐ 0,Ì%+ Ðtestified€as€to€issue),€šòòaff'd€on€other€groundsóó,€511€U.S.€513€(1994);€òòUnited€States€v.€Gonzalez„Ð d ÐRodriguezóó,€966€F.2d€918,€924€(5th€Cir.€1992)€(discussing€òòUnited€States€v.€Galloóó,€927€F.2d€815,Ð Pì Ð823€(5th€Cir.€1991)€and€òòUnited€States€v.€Hamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.€1991)).€€TheÐ <Ø ÐEighth€Circuit€has€not€ruled€whether€the€indictment€must€explicitly€allege€the€interstate/foreignÐ ( Ä Ðcommerce€nexus.€€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1219€(8th€Cir.€1991)€(court€was€notÐ  ° Ðrequired€to€reach€the€issue€because€the€indictment€which€alleged€construction€of€a€shoppingÐ  œ Ðcenter€and€purchase€of€merchandise€could€be€reasonably€construed€to€allege€the€element).€€òòSeeÐ ì ˆ Ðalso€United€States€v.€Greenóó,€964€F.2d€365,€374€(5th€Cir.€1992)€(citing€òòLucasóó);€òòUnited€States€v.Ð Ø t ÐLovettóó,€964€F.2d€1029,€1038€(10th€Cir.€1992)€(under€section€1957,€the€interstate€commerce€nexusÐ Ä ` Ðis€jurisdictional€but€not€an€element€of€the€crime€charged)€(citing€òòUnited€States€v.€Kelleyóó,€929€F.2dÐ °L  Ð582,€586€(10th€Cir.€1991)).€€Given€the€lack€of€controlling€law€on€this€issue,€the€CommitteeÐ œ8  Ðrecommends€that€the€nexus€be€alleged€in€the€indictment.€€In€any€case,€a€finding€of€an€effect€onÐ ˆ$  Ðinterstate€or€foreign€commerce€of€either€the€transaction€itself€or€the€activities€of€the€financialÐ t  Ðinstitution,€if€one€was€involved,€is€essential.€€òòSee€United€States€v.€Ben€M.€Hogan€Co.,€Inc.óó,€769Ð `ü  ÐF.2d€1293,€1297€(8th€Cir.€1985)€(reversible€error€for€a€district€court€to€give€an€instruction€whichÐ Lè  Ðcould€have€been€understood€to€include€a€conclusive€presumption€of€effect€on€interstateÐ 8Ô  Ðcommerce,€where€such€a€finding€by€the€jury€was€essential€in€a€prosecution€under€the€ShermanÐ $À ÐAnti„Trust€Act).Ð ¬ Ðà  à5.€€On€the€issue€of€what€constitutes€a€sufficient€representation,€the€Seventh€Circuit€hasÐ r Ðstated,€"[i]t€is€enough€that€the€government€prove€that€an€enforcement€officer€or€authorized€personÐ ^ú Ðmade€the€defendant€aware€of€circumstances€from€which€a€reasonable€person€would€infer€that€theÐ Jæ Ðproperty€was€drug€proceeds."€€òòUnited€States€v.€Kaufmannóó,€985€F.2d€884,€893€(7th€Cir.€1993).Ð 6Ò Ðà  à6.€€òòSeeóó€Instruction€6.18.1956J(6)€(Proceeds),€òòinfraóó.€€The€term€is€not€defined€in€18€U.S.C.Ð ˜4 Ððð1956(c).€€In€the€event€that€the€representation€was€that€the€property€"was€used€to€conduct€orÐ „  Ðfacilitate€specified€unlawful€activity"€rather€than€"constituted€proceeds,"€the€following€languageÐ p  Ðmight€be€used:€€"property€used€to€[conduct]€[facilitate]€(describe€the€specified€unlawful€activity)."€Ð \ø ÐThere€is€some€ambiguity€as€to€whether€this€is€a€crime€as€the€statute€is€written.€€òòSee€MoneyÐ Hä ÐLaundering€Federal€Prosecution€Manualóó,€p.277.Ð 4 Ð Ðà  à7.€€òòSeeóó€Instruction€6.18.1956J(7)€(Specified€Unlawful€Activity),€òòinfraóó.€€The€term€shouldÐ –!2 Ðnot€be€confused€with€"unlawful€activity"€in€general€and€has€a€specific,€statutory€meaning,€as€setÐ ‚"  Ðforth€in€section€1956(c)(7).€€Because€that€section€has€had€numerous€amendments,€and€itselfÐ n# ! Ðincorporates€activities€defined€in€several€other€statutes,€the€Committee€recommends€carefulÐ Z$ö" Ðreview€of€both€the€provisions€of€section€1956(c)(7)€and€of€the€incorporated€statutes€which€wereÐ F%â# Ðin€effect€at€the€time€of€the€alleged€financial€transaction€(section€1956(a)(1))€or€transportation,Ð 2&Î$ Ðtransmission€or€transfer€(section€1956)(a)(2)).€€Ð 'º % Ðà  àThroughout€these€instructions,€the€plain€description€of€the€offense€has€been€substitutedÐ €("' Ðfor€the€phrase€"specified€unlawful€activity"€(SUA),€which€is€a€term€of€art€specifically€defined€inÐ l)#( Ð18€U.S.C.€ðð1956(c)(7),€and€which€incorporates€òòinter€aliaóó€most€of€18€U.S.C.€ðð1961(1).€€If€theÐ X*ô#) Ðindictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€to€whether€aÐ D+à$* Ðparticular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€€SectionÐ 0,Ì%+ Ð1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€November€18,Ð d Ð1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€òòsupraóó.€€The€provisions€ofÐ Pì Ðsection€1956(c)(7)€used€should€correspond€to€the€alleged€date€of€the€offense.€€Further,€many€ofÐ <Ø Ðthe€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€the€definition€ofÐ ( Ä Ð"racketeering€activity,"€contained€in€18€U.S.C.€ðð1961(1).€€That€statute€has€also€been€amendedÐ  ° Ðsince€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€November€29,Ð  œ Ð1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ ì ˆ Ðprovisions€of€section€1961(1)€should€also€be€reviewed.Ð Ø t Ðà  à8.€€òòSeeóó€Instruction€6.18.1956J(1)€(Financial€Transaction),€òòinfraóó.€€Determination€of€theÐ :Ö  Ðtransaction€reporting€requirements€in€effect€on€the€date€of€the€alleged€transaction€requiresÐ &  Ðreviewing€the€provisions€of€both€31€U.S.C.€ðððð5311„5327€and€31€C.F.R.€Chapter€103,€in€effectÐ ®  Ðon€that€date.€€Further,€if€the€alleged€financial€transaction€involves€the€use€of€a€"financialÐ þš  Ðinstitution,"€both€31€U.S.C.€ðð€5312(a)(2)€and€the€regulations€promulgated€thereunder,€should€beÐ ê†  Ðreviewed€to€ensure€that€the€entity€was€a€financial€institution.€€òòSeeóó€18€U.S.C.€ðð1956(c)(6)Ð Ör  Ð(incorporating€by€reference€31€U.S.C.€ðð5312(a)(2)€and€its€regulations).Ð Â^  Ðà  àThe€decision€in€òòRatzlaf€v.€United€Statesóó,€510€U.S.€135€(1994)€is€not€likely€applicable€toÐ $À Ðviolations€of€18€U.S.C.€ðð€1956.€€òòRatzlafóó€involved€an€interpretation€of€31€U.S.C.€ðð€5324€and€theÐ ¬ Ðmental€state€required€under€that€statute.€€Because€the€mental€state€requirements€of€18€U.S.C.Ð ü˜ Ððð1956€are€clearly€different,€the€applicability€of€òòRatzlafóó€is€doubtful.Ð è„ Ðà  à9.€€òòSeeóó€Instruction€8.01,€òòinfraóó.Ð Jæ Ðà  à10.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(2).€€This€definition€was€included€in€the€October€27,€1986,Ð ¬H Ðversion€of€the€statute€and€has€not€changed€since.Ð ˜4 Ðà  à11.€€The€supplemental€definitions€and€instructions€contained€in€Instruction€6.18.1956J,Ð ú– Ðòòinfraóó,€should€be€given€in€most€cases.€€Whether€they€are€inserted€in€each€6.18.1956€instruction€orÐ æ‚ Ðgiven€after€a€series€of€6.18.1956A€through€6.18.1956I€instructions€is€an€option€for€the€court€toÐ Òn Ðconsider€based€on€the€number€and€types€of€money€laundering€counts€and€the€ability€of€the€jury€toÐ ¾Z Ðrelate€the€definitions€to€the€applicable€counts.Ð ª F Ðà  à12.€€In€addition€to€Currency€Transaction€Report€(CTR)€requirements€under€31€U.S.C.Ð  "¨! Ððð5313,€two€other€common€reporting€requirements€are€Currency€and€Monetary€InstrumentÐ ø"”" ÐReports€(CMIR)€under€31€U.S.C.€ðð5316€and€Forms€8300,€under€26€U.S.C.€ðð€6050I.€€AnalogousÐ ä#€# Ðinstructions€about€those€reporting€requirements€and€their€applicable€provisions€can€be€tailored€forÐ Ð$l$ Ðsuch€cases.Ð ¼%X% Ðà  à13.€€òòSeeóó€31€U.S.C.€ðð€5313;€31€C.F.R.€ðð€103.22.€€Care€should€be€taken€to€use€the€versionsÐ 'º ' Ðof€the€statutes€and€regulations€in€effect€on€the€date€of€the€transaction.€€For€CMIRs€the€applicableÐ  (¦!( Ðreferences€are€31€U.S.C.€ðð€5316€and€31€C.F.R.€ðð€103.23.€€For€Forms€8300,€òòseeóó€26€U.S.C.Ð ö(’") Ððð6050I.€Ð â)~#* Ðà  à14.€€The€multiple€objective€situation€may€apply€to€multiple€intent€allegations,€i.e.,Ð D+à$, Ðsections€1956(a)(3)(A),€(B)€and€(C).€€The€indictment,€and€the€government,€should€provide€noticeÐ 0,Ì%- Ðof€the€provisions€that€are€meant€to€apply€in€a€particular€case.€€òòSee€United€States€v.€Jacksonóó,€935Ð d ÐF.2d€832,€842€(7th€Cir.€1991).€€Although€there€is€no€case€law€requiring€unanimity€on€objectives,Ð Pì Ðif€an€instruction€to€that€effect€is€desired,€òòseeóó€Instruction€5.06(F),€òòsupraóó.Ð <Ø ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ž : Ðà  àòòSeeóó€òògenerally€United€States€v.€Cruzóó,€993€F.2d€164€(8th€Cir.€1993);€òòUnited€States€v.€Peeryóó,Ð  œ Ð977€F.2d€1230,€1234€(8th€Cir.€1992);€òòUnited€States€v.€Ô':ž EÊÔTurneróó,€975€F.2d€490,€497€(8th€Cir.€1992);Ð ì ˆ ÐòòUnited€States€v.€Posters€'N'€Things€Ltd.óó,€969€F.2d€652,€661€(8th€Cir.€1992),€šòòaff'd€on€otherÐ Ø t Ðgrounds,€óó511€U.S.€513€(1994);€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€782€(8th€Cir.€1992);Ð Ä `  ÐòòUnited€States€v.€Suteraóó,€933€F.2d€641,€644„46€(8th€Cir.€1991);€òòUnited€States€v.€Martinóó,€933€F.2dÐ °L  Ð609,€610€(8th€Cir.€1991);€òòUnited€States€v.€Lucasóó,€932€F.2d€1210,€1214€n.3,€1219€(8th€Cir.€1991);Ð œ8  ÐòòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòUnited€States€v.€Leeóó,€886€F.2dÐ ˆ$  Ð998,€1002„03€(8th€Cir.€1989).€€òòSee€alsoóó€U.S.€Dept.€of€Justice,€òòMoney€Laundering€FederalÐ t  ÐProsecution€Manualóó€(Feb.€1992).Ð `ü  Ðà  àòòSeeóó€Instruction€6.18.1956J,€òòinfraóó,€for€additional€instructions€which€should€be€given€inÐ Â^  Ðmost€cases.Ð  ®J ÐÖ€ ì¹ÖÓ €Óà@` ` ìàò òÔ% €š ÔÔ  Ô6.18.1956J.€€SUPPLEMENTAL€INSTRUCTIONSÔ ³ÏÔ€òò1óóó óˆÐ d ÐÌÓ€Óà@±±ìàò ò(1)€Financial€Transactionó óˆÐ <Ø Ðà  à[The€phrase€"financial€transaction,"€as€used€in€[this]€[Instruction[s]€_____]€meansòò2óó€[aÐ ž : Ðtransaction€which€in€any€way€or€degree€affects€interstate€or€foreign€commerce€[involving€theÐ  œ Ðmovement€of€funds€by€wire€or€other€means.]€[involving€one€or€more€monetary€instruments.]òò3óóÐ b þ Ð[involving€the€transfer€of€title€to€any€[real€property]€[vehicle]€[vessel]€[aircraft.]]òò4óó€[a€transactionÐ Ä `  Ðinvolving€the€use€of€a€financial€institutionòò5óó€which€is€engaged€in,€or€the€activities€of€which€affect,Ð &  Ðinterstate€or€foreign€commerce€in€any€way€or€degree.]òò6óóÐ ˆ$  Ðà  àThe€term€"transaction,"€as€used€above,€meansòò7óó€[a€purchase,€sale,€loan,€pledge,€gift,Ð ê†  Ðtransfer,€delivery,€or€other€disposition€of€property]€[with€respect€to€a€financial€institution,€aÐ Lè  Ðdeposit,€withdrawal,€transfer€between€accounts,€exchange€of€currency,€loan,€extension€of€credit,Ð ®J Ðpurchase€or€sale€of€any€stock,€bond,€certificate€of€deposit,€or€other€monetary€instrument,€[use€of€aÐ ¬ Ðsafe€deposit€box]òò8óó€or€any€other€payment,€transfer,€or€delivery€by,€through,€or€to€a€financialÐ r Ðinstitution,€by€whatever€means.]]Ð Ôp ÐÔ& Ä Ôà@¹ ¹ ìàò ò(2)€Interstate€and€Foreign€Commerceó óˆÐ 6Ò ÐÔ'Ä6·ÕÔà  à[The€phrase€"interstate€commerce,"€as€used€above,€means€commerce€between€anyÐ ˜4 Ðcombination€of€states,€territories,€and€possessions€of€the€United€States,€including€the€District€ofÐ ú–  ÐColumbia.]òò9€óóÐ \ø" Ðà  à[The€phrase€"foreign€commerce,"€as€used€above,€means€commerce€between€any€state,Ð ¾Z$ Ðterritory€or€possession€of€the€United€States€and€a€foreign€country.]òò9óóÐ  !¼& Ðà  à[The€term€"commerce"€includes,€among€other€things,€travel,€trade,€transportation€andÐ ‚"( Ðcommunication.]òò10óóÐ ä#€* Ðà  à[It€is€not€necessary€for€the€government€to€show€that€[the€defendant]€[defendant[s]Ð F%â, Ð(name[s])]€actually€intended€or€anticipated€an€effect€on€interstate€or€foreign€commerce.€€All€thatÐ ¨&D . Ðis€necessary€is€that€interstate€or€foreign€commerce€was€affected€as€a€natural€and€probableÐ  (¦!0 Ðconsequence€of€[the€defendant's]€[defendant[s]€(name['s][s'])]€actions.]òò11óó€€Ð l)#2 Ðà  à[You€may€find€an€effect€on€[interstate]€[foreign]€commerce€has€been€proven€if€you€findÐ Î*j$4 Ðfrom€the€evidence€beyond€a€reasonable€doubt:€€(describe€government's€evidence€at€trial€of€effectÐ 0,Ì%6 Ðon€interstate€or€foreign€commerce,€òòe.g.óó€that€currency€is€printed€in€Washington€D.C.,€that€theÐ d Ðgemstones€came€from€another€country.)]òò12óóÐ Æb Ðà  à[It€is€not€necessary€for€the€government€to€show€that€[the€defendant's]€[defendant[s]Ð ( Ä Ð(name['s][s'])]€transaction€with€a€financial€institution,€that€is€with€(name€institution)€itselfÐ Š & Ðaffected€interstate€or€foreign€commerce.€€All€that€is€necessary€is€that€at€the€time€of€the€allegedÐ ì ˆ Ðoffense€(name€institution)€was€engaged€in€or€had€other€activities€which€affected€interstate€orÐ N ê  Ðforeign€commerce€in€any€way€or€degree.]òò13óóÐ °L  Ðà  à[You€may€find€that€the€transaction€involved€the€use€of€a€financial€institution€whichÐ ®  Ðengaged€in€or€the€activities€of€which€affected€interstate€or€foreign€commerce€in€any€way€orÐ t  Ðdegree€if€you€find€from€the€evidence€beyond€a€reasonable€doubt:€€(describe€government'sÐ Ör  Ðevidence€at€trial€that€the€financial€institution€engaged€in€or€affected€interstate€or€foreignÐ 8Ô  Ðcommerce,€òòe.g.óó,€that€it€sent€checks€for€clearing€to€another€state€or€transferred€funds€to€anotherÐ š6 Ðcountry).]]òò14óóÐ ü˜ ÐÔ& Ä Ôà@TT&ìàò ò(3)€Fundsó óˆÐ ^ú ÐÔ'Ä^‹àÔà  à[The€term€funds€includes€(specify€the€property€involved€which€the€court€determinesÐ À\ Ðconstitutes€"funds"€under€the€statute).]òò15óóÐ "¾ ÐÔ& Ä Ôà@¿¿ìàò ò(4)€Monetary€Instrumentó óˆÐ „   ÐÔ'Ä„™áÔà  à[The€phrase€"monetary€instrument,"€means,€among€other€things,€[coin€or€currency€of€theÐ æ‚" ÐUnited€States€[or€of€any€other€country]]€[traveler's€checks]€[cashier's€checks]€[personal€checks]Ð Hä$ Ð[bank€checks]€[money€orders]€[investment€securities]€[[negotiable€instruments]€in€bearer€form€orÐ ª F& Ðotherwise€in€such€form€that€title€thereto€passes€upon€delivery.]òò16óóÐ  "¨( ÐÔ& ˆ Ôà@óóìàò ò(5)€Financial€Institutionó óˆÐ n# * Ðà  à[The€phrase€"financial€institution,"€means,€among€other€things,€(insert€applicableÐ Ð$l, Ðdefinitions€from€31€U.S.C.€ðð5312(a)(2)(A)„(Y)€and€31€C.F.R.€ðð€103.11(Ô_ÔiÔ_Ô).]òò17óóÐ 2&Î. ÐÔ'ˆn#¼ãÔà  à[The€phrase€"financial€institution,"€includes€each€agent,€agency,€branch€or€office€withinÐ ”'0!0 Ðthe€United€States€of€any€person€doing€business,€whether€or€not€on€a€regular€basis€or€as€anÐ ö(’"2 Ðorganized€business€concern,€as€a[n]€(insert€appropriate€reference€from€31€C.F.R.€ðð€103.11(i)).]€Ð X*ô#4 Ð[Individuals,€groups€of€individuals,€and€businesses€not€formally€established€as€financialÐ º+V%6 Ðinstitutions,€may€in€fact€be€a€financial€institution€if€they€act€in€one€of€the€capacities€I€haveÐ d Ðlisted.]òò18óó€€[In€this€case,€the€government€alleges€that€(name€of€individual,€group€or€entity)€was€aÐ Æb Ðfinancial€institution€in€that€(name)€acted€in€the€capacity€of€(insert€one€of€the€categories€from€31Ð ( Ä ÐC.F.R.€ðð€103.11(i)).€€If€you€find€beyond€a€reasonable€doubt€that€(name€of€individual,€group€orÐ Š & Ðentity)€did€act€as€a€(insert€appropriate€reference€from€31€C.F.R.€ðð€103.11(i)),€whether€or€notÐ ì ˆ Ð(name)€did€so€on€a€regular€basis€or€as€an€organized€business€concern,€then€you€may€find€that€theÐ N ê  Ðgovernment€has€established€that€the€transaction€in€this€case€involved€a€financial€institution.]]òò19óóÐ °L  ÐÔ& Ä Ôà@ââ$ìàò ò(6)€Proceedsó óˆÐ ®  ÐÔ'Ä9êÔà  à[The€term€"proceeds"€means€any€property,€or€any€interest€in€property,€that€someoneÐ t  Ðderives€from,€or€obtains€or€retains,€either€directly€or€indirectly,€as€a€result€of€the€commission€ofÐ Ör  Ð(describe€the€specified€unlawful€activity).òò20óó€€[It€includes€the€gross€receipts€of€(describe€theÐ 8Ô  Ðspecified€unlawful€activity).]òò21óó€€[Proceeds€can€be€any€kind€of€property,€not€just€money.€€It€canÐ š6 Ðinclude€personal€property,€like€a€car€or€a€piece€of€jewelry,€or€real€property,€like€an€interest€inÐ ü˜ Ðland.]òò22óó€€[So,€for€example:€]€[If€someone€robs€a€bank,€the€money€he€takes€from€the€teller€is€theÐ ^ú Ðproceeds€of€the€bank€robbery.]€€[If€someone€steals€a€car,€the€car€is€the€proceeds€of€the€theft.]€€[IfÐ À\ Ðsomeone€commits€a€fraud€scheme€and€thereby€acquires€an€interest€in€land,€or€shares€of€stock,€or€aÐ "¾ Ðjoint€interest€in€a€bank€account,€that€interest,€whatever€it€may€be,€is€the€proceeds€of€the€crime.]€Ð „   Ð[If€someone€sells€drugs€for€cash€and€uses€the€cash€to€buy€a€cashier's€check,€the€cash€received€isÐ æ‚" Ðproceeds€and€the€cashier's€check€is€still€proceeds€of€the€crime.]òò23óó€€Ð Hä$ Ðà  à[It€does€not€matter€whether€or€not€the€person€who€committed€the€underlying€crime,€andÐ ª F& Ðthereby€acquired€or€retained€the€proceeds,€was€[the]€[a]€defendant.€€It€is€a€crime€to€[conduct€aÐ  "¨( Ðfinancial€transaction]€[transport,€transmit€or€transfer€monetary€instruments€or€funds]òò24óó€involvingÐ n# * Ðproperty€that€is€the€proceeds€of€a€crime,€even€if€that€crime€was€committed€by€another€person,€asÐ Ð$l, Ðlong€as€all€of€the€elements€of€the€offense€are€satisfied.]òò25óóÐ 2&Î. Ðà  à[The€government€is€not€required€to€trace€the€property€it€alleges€to€be€proceeds€ofÐ ”'0!0 Ð(describe€the€specified€unlawful€activity)€to€a€particular€underlying€offense.€€It€is€sufficient€if€theÐ ö(’"2 Ðgovernment€proves€that€the€property€was€the€proceeds€of€(describe€the€specified€unlawfulÐ X*ô#4 Ðactivity)€generally.òò26óó€€[For€example,€in€a€case€involving€alleged€drug€proceeds,€the€governmentÐ º+V%6 Ðwould€not€have€to€trace€the€money€to€a€particular€drug€offense,€but€could€satisfy€the€requirementÐ d Ðby€proving€that€the€money€was€the€proceeds€of€drug€trafficking€generally.]òò27óóÐ Æb Ðà  à[The€government€need€not€prove€that€all€of€the€property€involved€in€the€[transaction]Ð ( Ä Ð[transportation,€transmission€or€transfer]òò23óó€was€the€proceeds€of€(describe€the€unlawful€activity).€€ItÐ Š & Ðis€sufficient€if€the€government€proves€that€at€least€part€of€the€property€represents€suchÐ ì ˆ Ðproceeds.]]òò26óóÐ N ê  ÐÔ& Ä Ôà@ÈÈìàò ò(7)€Specified€Unlawful€Activityó óˆÐ °L  ÐÔ'Ä°öÔà  à[The€phrase€"specified€unlawful€activity,"€means€any€one€of€a€large€variety€of€offensesÐ ®  Ðdefined€by€statute.€€I€instruct€you€as€a€matter€of€law€that€(describe€the€specified€unlawful€activity)Ð t  Ðfalls€within€the€definition.€€To€assist€you€in€determining€whether€someone€[committed]Ð Ör  Ð[attempted€to€commit]€(describe€the€specified€unlawful€activity),€you€are€advised€that€theÐ 8Ô  Ðelements€of€(name€offense)€are:€€(set€out€elements).]òò28óóÐ š6 ÐÔ& Ä Ôà@$ìàò ò(8)€Knowledgeó óˆÐ ü˜ ÐÔ'Äü£øÔà  à[The€phrase€"knew€the€(describe€property)€represented€the€proceeds€of€some€form€ofÐ ^ú Ðunlawful€activity,"€means€that€[the€defendant]€[defendant[s]€(name[s])]€knew€the€propertyÐ À\ Ðinvolved€in€the€transaction€represented€proceeds€from€some€form,€though€not€necessarily€whichÐ "¾ Ðform,€of€activity€that€constitutes€a€felony€offense€under€[State€or€Federal]€[or]€[foreign]€law.òò29óó€Ð „   ÐThus,€the€government€need€not€prove€that€the€defendant€specifically€knew€that€the€(describeÐ æ‚" Ðproperty)€involved€in€the€financial€transaction€represented€the€proceeds€of€(describe€the€specifiedÐ Hä$ Ðunlawful€activity€which€is€the€predicate€offense)€or€any€other€specific€offense;€it€need€only€proveÐ ª F& Ðthat€[he]€[she]€[they]€knew€it€represented€the€proceeds€of€some€form,€though€not€necessarilyÐ  "¨( Ðwhich€form,€of€felony€under€[state]€[or]€[federal]€[or]€[foreign]€law.€€[I€instruct€you€as€a€matter€ofÐ n# * Ðlaw€(describe€offense)€is€a€felony€under€(insert€applicable€jurisdiction)€law.]]Ð Ð$l, ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 2&Î. Ðà  à1.€€The€Committee€recommends€the€Court€explain€the€terms€set€forth€in€this€instructionÐ ”'0!0 Ðwhich€are€applicable€to€the€section€1956€count[s]€in€the€indictment.€€They€should,€of€course,€beÐ €("1 Ðtailored€to€Ô'&2&¥ýÔthe€facts€of€the€particular€case.Ð l)#2 Ðâ âà  à2.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4).Ð Î*j$4 Ðà0  àSection€1956(c)(4)€defines€the€term€"financial€transaction"€very€broadly.€€Because€of€theÐ d Ðâ âbroad€definition€of€the€term€"transaction"€[òòseeóó€Note€6,€òòinfraóó]€in€section€[1956](c)(3),€theÐ Pì Ðterm€"financial€transaction"€is€not€limited€to€transactions€involving€financial€institutions.€Ð <Ø ÐIt€includes€all€forms€of€commercial€activity.€€The€only€requirement€is€that€the€transactionÐ ( Ä Ðmust€"affect€interstate€or€foreign€commerce"€or€be€conducted€through€or€by€a€financialÐ  ° Ðinstitution€"which€is€engaged€in€or€the€activities€of€which€affect€interstate€or€foreignÐ  œ Ðcommerce,"€in€any€way€or€degree.€€S.€Rep.€No.€433,€99th€Cong.€2d€Sess€13€(1986).Ðì ˆ(#(# Ðà  à3.€€Use€where€the€transaction€involves€monetary€instruments.€€"Transaction"€includes€theÐ N ê Ðpurchase,€sale€or€disposition€of€any€kind€of€property€as€long€as€the€disposition€involves€aÐ :Ö  Ðmonetary€instrument.€€òòSee€United€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);Ð &  ÐòòUnited€States€v.€Leeóó,€886€F.2d€998,€1002„03€(8th€Cir.€1989).€€A€"financial€transaction"€includesÐ ®  Ðtransferring€cash€from€one€person€to€another€without€involvement€of€a€financial€institution,€asÐ þš  Ðlong€as€it€affects€interstate€or€foreign€commerce.€€òòSee€United€States€v.€Kaufmannóó,€985€F.2d€884,Ð ê†  Ð892€n.3€(7th€Cir.€1993)€("financial€transaction"€found€for€cash€sale€of€car);€òòUnited€States€v.Ð Ör  ÐIsabelóó,€945€F.2d€1193,€1201€(1st€Cir.€1991)€(giving€a€check€in€exchange€for€cash);€òòUnited€StatesÐ Â^  Ðv.€Hamiltonóó,€931€F.2d€1046,€1051„52€(5th€Cir.€1991)€(sending€cash€through€the€mail);€òòUnitedÐ ®J ÐStates€v.€Galloóó,€927€F.2d€815,€822€(5th€Cir.€1991)€(transfer€of€a€box€of€currency€betweenÐ š6 Ðindividuals).€€It€may€also€include€merely€writing€a€check.€€òòSee€United€States€v.€Jacksonóó,€935€F.2dÐ †" Ð832,€841€(7th€Cir.€1991);€òòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990).Ð r Ðà  àAlthough€not€listed€in€section€1956(c)(5),€cashier's€checks€are€negotiable€instruments€inÐ Ôp Ð"[s]uch€form€that€title€thereto€passes€upon€delivery."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€13Ð À\ Ð(1986).€€This€definition€was€explicitly€clarified,€effective€May€8,€1987,€when€"cashier's€checks"Ð ¬H Ðwas€added€to€the€definition€of€"monetary€instruments"€in€31€C.F.R.€ðð€103.11(j)(iii).€€òòSeeóó€52€Fed.Ð ˜4 ÐReg.€11436€(1987)€(Final€Rule).Ð „  Ðà  à4.€€This€third€alternative€definition€involving€the€transfer€of€titles€became€effectiveÐ æ‚ ÐOctober€28,€1992.€€Previously,€only€the€other€two€types€of€transactions€affecting€interstate€orÐ Òn Ðforeign€commerce€applied.€€òòSeeóó€Note€1,€Instruction€6.18.1956A,€òòsupraóó.Ð ¾Z Ðà  à5.€€òòSeeóó€Notes€17„19,€òòinfraóó.€€The€term€"financial€institution"€is€generally€defined€forÐ  !¼ Ðpurposes€of€Title€18€in€18€U.S.C.€ðð€20.€€However,€18€U.S.C.€ðð€1956(c)(6)€specificallyÐ  "¨  Ðincorporates€for€section€1956€purposes€the€somewhat€different€definition€found€in€31€U.S.C.Ð ø"”! Ððð5312(a)(2)€òòandóó€its€implementing€regulations,€òòe.g.óó€31€C.F.R.€ðð€103.11(i).€€The€scope€is€quiteÐ ä#€" Ðbroad€and€includes€insurance€companies,€pawnbrokers,€travel€agencies,€vehicle€dealers,€realtors,Ð Ð$l# Ðthe€United€States€Postal€Service€and€a€number€of€other€entities€which€a€lay€person€might€notÐ ¼%X$ Ðconsider€to€be€a€financial€institution.€€Because€of€the€periodic€amendments€to€section€5312(a)(2)Ð ¨&D % Ðand€to€31€C.F.R.€ðð€103.11€the€Committee€recommends€reviewing€the€versions€applicable€at€theÐ ”'0!& Ðtime€of€the€alleged€transaction.€€Ð €("' Ðà  à6.€€As€defined€in€18€U.S.C.€ðð€1956(c)(4),€the€financial€transaction€may€itself€affectÐ â)~#) Ðinterstate€or€foreign€commerce.€€Alternatively,€the€transaction,€regardless€of€whether€it€itself€hasÐ Î*j$* Ðsuch€a€nexus,€may€involve€the€use€of€a€"financial€institution"€which€supplies€the€nexus.€€SectionÐ º+V%+ Ð1956(a)(1)€does€not€require€that€the€use€of€the€financial€institution,€i.e.,€the€financial€transaction,Ð d Ðwith€the€interstate€commerce€nexus,€be€a€part€of€or€even€contribute€to€or€facilitate€the€requisiteÐ Pì Ðdesign€to€conceal€the€nature,€ownership€or€source€of€the€proceeds.€€òòSee€United€States€v.€Kolleróó,Ð <Ø Ð956€F.2d€1408,€1412€(7th€Cir.€1992)€(the€defendant€purchased€money€order€at€a€bank€which€heÐ ( Ä Ðthen€took€to€the€probation€officer€to€satisfy€his€girlfriend's€restitution).Ð  ° Ðà  à7.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(3).€€According€to€the€legislative€history,€the€term€"alsoÐ v  Ðincludes€activities€not€involving€banks€such€as€the€purchase,€sale€or€other€disposition€of€propertyÐ b þ Ðof€all€kinds€.€.€.€.€€[E]ach€transaction€involving€"dirty€money"€is€intended€to€be€a€separateÐ N ê Ðoffense."€€S.€Rep.€No.€433,€99th€Cong.,€2d€Sess.€13€(1986).€€The€history€uses€the€example€of€aÐ :Ö  Ðdrug€dealer€who€takes€$1€million€in€cash€from€drug€sales,€deposits€portions€in€ten€different€banks,Ð &  Ðwithdraws€some€and€then€uses€the€money€withdrawn€to€purchase€a€luxury€item.€€There€are€twelveÐ ®  Ðviolations,€ten€for€the€deposits,€one€for€the€withdrawal€and€one€for€the€purchase.€€òòId.óóÐ þš  Ðà  à8.€€Until€the€October€28,€1992,€amendments,€merely€depositing€money€in€a€safe€depositÐ `ü  Ðbox€in€a€financial€institution€was€not€a€transaction.€€òòSeeóó€Instruction€6.18.1956A,€òòsupraóó,€Note€1;Ð Lè  ÐòòUnited€States€v.€Bellóó,€936€F.2d€337,€340„41€(7th€Cir.€1991)€(holding€that€use€of€a€safe€deposit€boxÐ 8Ô  Ðto€hold€the€proceeds€of€specified€unlawful€activity€did€not€constitute€a€"transaction").€€Since€thatÐ $À Ðdate,€mere€"use€of€a€safe€deposit€box"€with€respect€to€a€financial€institution€is€explicitly€included.Ð ¬ Ðà  à9.€€òòSeeóó€18€U.S.C.€ðð€10;€18€U.S.C.€ðð€1951(b)(3);€18€U.S.C.€ðð1956(c)(8)€(definition€ofÐ r Ð"state").€€The€terms€"interstate,"€"foreign"€and€"commerce"€are€not€specifically€defined€in€18Ð ^ú ÐU.S.C.€ðð€1956.€€The€statutory€definitions€in€other€portions€of€Title€18€define€them€consistentlyÐ Jæ Ðwith€the€ordinary€meanings€of€the€terms.€€Optional€definitions€are€included€for€use€if€the€facts€ofÐ 6Ò Ðthe€case€raise€an€issue€in€this€regard€or€if€the€jury€should€have€a€question.Ð "¾ Ðà  à10.€€The€term€"commerce"€as€used€throughout€Title€18€was€intended€to€avoid€theÐ „  Ðnarrower€connotation€of€the€word€"transportation."€€18€U.S.C.€ðð€10,€Revision€Notes.Ð p  Ðà  à11.€€Use€where€the€transaction€itself€affected€interstate€or€foreign€commerce.€€òòSee€UnitedÐ Òn ÐStates€v.€Evansóó,€272€F.3d€1069€(8òòthóó€Cir.€2001).€€The€legislative€history€of€section€1956€indicatesÐ ¾Z Ðthat€the€phrase€was€derived€from€the€Hobbs€Act,€18€U.S.C.€ðð1951,€and€"intended€to€reflect€theÐ ª F Ðfull€exercise€of€Congress's€power€under€the€Commerce€Clause."€€S.€Rep.€No.€433,€99th€Cong.€2dÐ –!2  ÐSess.€13€(1986).€€òòSee€also€United€States€v.€Perezóó,€402€U.S.€146,€154€(1971)€(loan€sharking).€€Ð ‚"! Ðà  à12.€€Because€there€is€no€clear€requirement€that€the€commerce€nexus€be€alleged€in€theÐ ä#€# Ðdetail€required€under€the€Hobbs€Act,€the€wording€of€Instruction€6.18.1951,€òòsupraóó,€is€different.€€IfÐ Ð$l$ Ðthis€instruction€does€not€precede€a€paragraph€describing€the€government's€burden€of€proof,€theÐ ¼%X% ÐCommittee€recommends€adding€"otherwise,€you€must€find€[the]€[that€particular]€defendant€notÐ ¨&D & Ðguilty€[under€Count[s]€____]."€€òòSeeóó€Instruction€3.09,€òòsupraóó.Ð ”'0!' Ðà  à13.€€òòSeeóó€18€U.S.C.€ðð€1956(c)(4).€€Use€when€a€"financial€institution"€[òòseeóó€Note€5,€òòsupraóó]€isÐ ö(’") Ðinvolved,€regardless€of€whether€the€transaction€itself€had€an€effect€on€interstate€or€foreignÐ â)~#* Ðâ âcommerce.Ð Î*j$+ Ðà  à14.€€Because€the€requirement€under€the€Hobbs€Act€is€somewhat€different,€the€wording€ofÐ d Ðâ âInstruction€6.18.1951,€òòsupraóó,€is€different.€€If€this€instruction€does€not€precede€a€paragraphÐ Pì Ðdescribing€the€government's€burden€of€proof,€the€Committee€recommends€adding,€"[o]therwise,Ð <Ø Ðyou€must€find€[the]€[that€particular]€defendant€not€guilty€[under€Count[s]€____]."€€TheÐ ( Ä ÐCommittee€has€been€unable€to€find€a€definition€specifically€applicable€to€sections€1956€and€1957.Ð  ° Ðà  à15.€€òòSee€generallyóó€Black's€Law€Dictionary€673€(6th€ed.€1990)€("monies€and€much€more,Ð v  Ðsuch€as€notes,€bills,€checks,€drafts,€stocks€and€bonds....")€€For€use€where€the€financial€transactionÐ b þ Ðinvolved€the€movement€of€funds€rather€than€monetary€instruments€or€the€transfer€of€title€toÐ N ê Ðproperty.€€òòSeeóó€Notes€2„4,€òòsupraóó.Ð :Ö  Ðà  à16.€€For€use€where€the€financial€transaction€involved€the€use€of€a€monetary€instrument.€Ð œ8  ÐòòSeeóó€Notes€2„4,€òòsupraóó.Ð ˆ$  Ðà  à17.€€òòSeeóó€Note€5,€òòsupraóó.€€For€use€in€response€to€a€question€by€the€jury€or€where€the€natureÐ ê†  Ðof€the€financial€institution€is€not€intuitive.€€Section€5312(a)(2)€was€already€in€effect€on€OctoberÐ Ör  Ð27,€1986,€and€was€amended€November€18,€1988.€€Section€103.11€was€effective€October€27,Ð Â^  Ð1986,€and€amended€May€8,€1987,€òòinter€aliaóó€adding€cashier€checks€to€the€definition€of€"monetaryÐ ®J Ðinstruments."Ð š6 Ðà  à18.€€òòSeeóó€31€C.F.R.€ðð€103.11(a).€€This€portion€of€the€regulation€was€already€in€effect€onÐ ü˜ ÐOctober€27,€1986.€€òòSeeóó€50€Fed.€Reg.€42691€(1985)€and€corrected€at€50€Fed.€Reg.€47390€(1985)Ð è„ Ð(Final€Rule).€€On€May€8,€1987,€the€definition€was€expanded€to€include€persons€whether€or€not€onÐ Ôp Ða€regular€basis€or€as€an€organized€business€concern.€€òòSeeóó€52€Fed.€Reg.€11436€(1987)€(Final€Rule).€Ð À\ ÐòòSee€also€United€States€v.€Tannebaumóó,€934€F.2d€8,€11„12€(2d€Cir.€1991)€(an€individual€can€be€aÐ ¬H Ðfinancial€institution);€òòUnited€States€v.€Gollottóó,€939€F.2d€255,€258€(5th€Cir.€1991)€(group€ofÐ ˜4 Ðindividuals€laundering€cash€for€undercover€agent€was€a€financial€institution€required€to€fileÐ „  ÐCurrency€Transaction€Reports).Ð p  Ðà  à19.€€This€optional€expansion€of€the€instruction€may€be€given€when€this€is€an€issue.Ð Òn Ðà  à20.€€Before€May€20,€2009,€"proceeds"€was€not€defined€in€18€U.S.C.€ðð€1956(c).€€TheÐ 4 Ð Ðdefinition€of€the€term€was€based€on€18€U.S.C.€ðð1957(f)(2),€which€referred€to€"any€propertyÐ  !¼  Ðòòconstituting,€or€derived€fromóó,€proceeds€obtained€from€a€criminal€offense"€(emphasis€added),€onÐ  "¨! Ð18€U.S.C.€ðð853(A)(1),€and€on€limited€case€law.Ð ø"”" Ðà  àThe€Supreme€Court€considered€the€definition€of€ð ðproceedsðð€in€òòUnited€States€v.€Santosóó,Ð Z$ö$ Ð553€U.S.€507€(2008),€a€case€involving€an€illegal€lottery€operatorððs€payments€to€his€winners€andÐ F%â% Ðrunners€using€the€receipts€from€his€lottery€operation.€€A€plurality€of€the€Supreme€Court€found€thatÐ 2&Î& Ðthe€term€ð ðproceedsðð€in€section€1956(a)(1)(A)(i)€applied€only€to€criminal€profits,€not€criminalÐ 'º ' Ðreceipts.€€Justice€Stevens,€in€a€concurring€opinion€which€was€the€determinative€opinion,Ð  (¦!( Ðconcluded€that€the€term€"proceeds"€did€not€include€revenue€used€to€pay€essential€operatingÐ ö(’") Ðexpenses€in€a€gambling€business,€but€it€did€include€gross€revenue€from€the€sale€of€contraband€andÐ â)~#* Ðâ âthe€operation€of€organized€crime€syndicates.€€Ð Î*j$+ Ðà  à21.€€Do€not€use€this€bracketed€language€in€illegal€gambling€cases€charging€conduct€priorÐ d Ðâ âto€May€20,€2009.€€òòSeeóó€òòUnited€States€v.€Santosóó,€553€U.S.€507€(2008).€€Ð Pì Ðà  àIn€response€to€the€decision€in€òòSantosóó,€Congress€amended€the€statute€May€20,€2009,€addingÐ ²N Ða€definition€of€ð ðproceeds.ðð€€18€U.S.C.€ðð€1956(c)(9)€(ð ðthe€term€ððproceedsðð€means€any€propertyÐ ž : Ðderived€from€or€obtained€or€retained,€directly€or€indirectly,€through€some€form€of€unlawfulÐ Š & Ðactivity,€including€the€gross€receipts€of€such€activityðð).€Ð v  Ðà  àòòSantosóó€involved€an€illegal€gambling€operation€that€did€not€involve€contraband.€€AsÐ Ø t Ðdiscussed€in€òòUnited€States€v.€Williamsóó,€605€F.3d€556,€568„69€(8th€Cir.€2010),€the€Court€dividedÐ Ä `  Ðon€the€definition€of€ð ðproceedsðð€in€certain€money€laundering€contexts:€€four€in€the€majority€heldÐ °L  Ðthat€ð ðproceedsðð€means€ð ðprofitsðð€in€all€contexts;€the€four€in€dissent€held€that€ð ðproceedsðð€alwaysÐ œ8  Ðmeans€ð ðgross€receipts,ðð€Justice€Stevens,€who€cast€the€decisive€vote€for€the€majority€in€hisÐ ˆ$  Ðconcurrence,€concluded€that€ð ðproceedsðð€means€profits€in€some€cases€and€gross€receipts€in€others,Ð t  Ðdepending€on€the€legislative€history.€€ð ðBecause€òòSantosóó€was€a€plurality€opinion,€its€precedent€isÐ `ü  Ðthe€narrowest€holding€that€garnered€five€votes.ðð€€That€is€Justice€Stevensðð€concurrence€that€ð ð[t]heÐ Lè  Ðrevenue€generated€by€a€gambling€business€that€is€used€to€pay€the€essential€expenses€of€operatingÐ 8Ô  Ðthat€business€is€not€ððproceedsðð€within€the€meaning€of€the€money€laundering€statute.ðð€€òòUnitedÐ $À ÐStates€v.€Spencer,óó€592€F.3d€866,€879€(8th€Cir.€2010)€(quoting€òòSantosóó,€553€U.S.€at___,€128€S.€Ct.Ð ¬ Ðat€2033).€€Accordingly,€this€Circuit€and€many€others€have€limited€the€precedential€value€ofÐ ü˜ ÐòòSantosóó€to€an€illegal€gambling€charge.€€òòSpenceróó,€592€F.3d€at€879„880.Ð è„ Ðà  àMoreover,€the€amendment€to€the€statute€on€May€20,€2009,€adding€a€definition€ofÐ Jæ Ðð ðproceeds,ðð€was€designed€to€correct€the€problem€the€Supreme€Court€found€with€the€statutoryÐ 6Ò Ðdefinition€by€clearly€defining€the€term€ð ðproceeds.ðð€€The€ruling€in€òòSantosóó€thus€is€limited€to€moneyÐ "¾ Ðlaundering€charges€relating€to€illegal€gambling€activities€before€May€20,€2009.€Ð ª Ðà  à22.€€These€optional€expansions€of€the€definition€should€be€tailored€to€the€facts€of€aÐ p  Ðspecific€case.€€For€an€example€where€the€court€found€that€proceeds€can€include€other€than€moneyÐ \ø Ðor€cash€equivalents,€even€where€that€property€was€not€purchased€with€the€monetary€proceeds€ofÐ Hä Ðunlawful€activity,€òòsee€United€States€v.€Werberóó,€787€F.€Supp.€353,€357€(S.D.N.Y.€1992).Ð 4 Ð Ðà  à23.€€Use€with€Instructions€6.18.1956D,€E€&€F€(18€U.S.C.€ðð1956(a)(2)).Ð –!2  Ðà  à24.€€òòSee€United€States€v.€Attersonóó,€926€F.2d€649,€656€(7th€Cir.€1991)€(the€defendant€wasÐ ø"”" Ðgirlfriend€of€a€drug€dealer€who€wired€cash€for€him);€òòUnited€States€v.€Isabelóó,€945€F.2d€1193,€1202„Ð ä#€# Ð03€(1st€Cir.€1991)€(the€defendant€issued€false€paycheck€in€return€for€cash€received€from€personÐ Ð$l$ Ðwho€said€he€was€a€drug€dealer).Ð ¼%X% Ðà  à25.€€The€statute€merely€requires€that€the€transaction€"involves"€the€proceeds.€€òòSee€UnitedÐ 'º ' ÐStates€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990);€òòaccord€United€States€v.€Jacksonóó,€983Ð  (¦!( ÐF.2d€757,€766€(7th€Cir.€1993)€(citing€òòBlackmanóó);€òòUnited€States€v.€Isabelóó,€945€F.2d€1193,€1201Ð ö(’") Ð(1st€Cir.€1991)€(citing€òòBlackmanóó€and€òòUnited€States€v.€Jacksonóó,€935€F.2d€832,€840€(8th€Cir.Ð â)~#* Ðâ â1991)).Ð Î*j$+ Ðà  à26.€€This€optional€example,€which€should€be€tailored€to€the€facts€of€the€case,€is€based€onÐ d Ðâ âfacts€in€òòUnited€States€v.€Blackmanóó,€904€F.2d€1250,€1257€(8th€Cir.€1990).€Ð Pì Ðà  à27.€€The€requirement€that€the€financial€transaction€"involves€the€proceeds"€of€unlawfulÐ ²N Ðactivity€does€not€require€that€the€government€prove€that€the€transaction€involved€only€illegallyÐ ž : Ðderived€proceeds.€€The€sanction€of€the€statute€cannot€be€avoided€by€commingling€funds.€€òòSeeÐ Š & ÐUnited€States€v.€Jacksonóó,€983€F.2d€757,€765€(7th€Cir.€1993)€(citing€òòUnited€States€v.€Jacksonóó,€935Ð v  ÐF.2d€832,€840€(7th€Cir.€1991)).€€Nor€need€the€evidence€of€criminally€derived€funds€be€direct.€€òòSeeÐ b þ ÐUnited€States€v.€Turneróó,€975€F.2d€490,€497€(8th€Cir.€1992)€(reasonable€for€jury€to€infer€thatÐ N ê Ðmoney€used€to€purchase€and€renovate€a€building€came€from€drug€sales,€where€there€wasÐ :Ö  Ðextensive€testimony€about€the€defendant's€drug€operations€and€evidence€that€his€expenses€farÐ &  Ðexceeded€his€income).€€òòBut€Cf.€United€States€v.€Bakeróó,€985€F.2d€1248,€1254,€1261„62€(4th€Cir.Ð ®  Ð1993)€(reversal€of€jury's€verdict€in€absence€of€specific€evidence€identifying€the€boat€purchased€byÐ þš  Ða€third€party,€identifying€the€defendant€as€the€owner€or€possessor€of€the€boat,€showing€that€theÐ ê†  Ðmoney€used€by€the€third€party€belonged€to€the€defendant€and€that€the€money€was€the€product€ofÐ Ör  Ðdrug€transactions).Ð Â^  Ðà  à28.€€Throughout€these€instructions,€the€plain€description€of€the€offense€has€beenÐ $À Ðsubstituted€for€the€phrase€"specified€unlawful€activity"€(SUA)€which€is€a€term€of€art€specificallyÐ ¬ Ðdefined€in€18€U.S.C.€ðð1956(c)(7),€and€which€incorporates€òòinter€aliaóó€most€of€18€U.S.C.€ððÐ ü˜ Ð1961(1).€€If€the€indictment€is€read€to€the€jury€and€contains€the€phrase,€any€inquiry€by€the€jury€as€toÐ è„ Ðwhether€a€particular€offense€is€"specified€unlawful€activity"€can€be€answered€as€a€matter€of€law.€Ð Ôp ÐSection€1956(c)(7)€as€originally€enacted€effective€October€27,€1986,€was€amended€on€NovemberÐ À\ Ð18,€1988,€on€November€29,€1990,€and€on€October€28,€1992.€€òòSeeóó€Note€1,€Instruction€6.18.1956A,Ð ¬H Ðòòsupraóó.€€The€provisions€of€section€1956(c)(7)€used€should€correÔ_ÔspondÔ_Ô€to€the€alleged€date€of€theÐ ˜4 Ðoffense.€€Further,€many€of€the€most€common€SUAs,€such€as€drug€trafficking,€are€derived€from€theÐ „  Ðdefinition€of€"racketeering€activity,"€contained€in€18€U.S.C.€ðð€1961(1).€€That€statute€has€also€beenÐ p  Ðamended€since€October€27,€1986,€on€November€10,€1986,€November€18,€1988,€and€on€NovemberÐ \ø Ð29,€1990.€€Therefore,€when€determining€whether€an€offense€qualifies€as€an€SUA,€the€applicableÐ Hä Ðprovisions€of€section€1961(1)€should€also€be€reviewed.€€òòNOTE:óó€€Although€the€general€trend€ofÐ 4 Ð Ðamendments€to€section€1956(c)(7)€has€been€to€òòexpandóó€the€statute,€the€1990€amendment€addedÐ  !¼ Ðviolations€of€sections€1341€and€1343€(mail€and€wire€fraud)€"affecting€a€financial€institution."€Ð  "¨ ÐBecause€all€RICO€(18€U.S.C.€ðð€1961)€predicates,€including€sections€1341€and€1343,€were€alreadyÐ ø"”  Ðincorporated€within€section€1956(c)(7),€it€is€unclear€whether€Congress€intended€to€òòrestrictóó€sectionÐ ä#€! Ð1956(c)(7)€and€exclude€section€1341€and€1343€offenses€òònotóó€affecting€a€financial€institution€afterÐ Ð$l" ÐNovember€29,€1990.€€òòSee€United€States€v.€Tayloróó,€984€F.2d€298,€301„02€(9th€Cir.€1993).€€ThisÐ ¼%X# Ðambiguity€was€eliminated,€effective€October€28,€1992,€when€the€questionable€references€toÐ ¨&D $ Ðsections€1341€and€1343€(as€well€as€the€section€1344€relating€to€bank€fraud)€were€deleted.€€WhereÐ ”'0!% Ðthe€substantive€offense€constituting€the€SUA€is€not€also€charged€in€the€indictment,€the€CommitteeÐ €("& Ðrecommends€that,€upon€request€of€either€party,€the€jury€be€instructed€as€to€the€elements€of€theÐ l)#' Ðâ âSUA[s]€alleged€in€the€money€laundering€counts.€€òòSeeóó,€òòe.g.óó,€Instruction€5.06C,€òòsupraóó.Ð X*ô#( Ðà  à29.€€The€financial€transaction€(or€transportation,€transmission€or€transfer,€in€the€case€of€18Ð d Ðâ âU.S.C.€ðð1956(a)(2))€must€have€involved€proceeds€from€"specified"€unlawful€activity,€as€definedÐ Pì Ðin€18€U.S.C.€ðð1956(c)(7);€however,€the€defendant€need€not€have€known€the€actual€source€of€theÐ <Ø Ðproceeds,€as€long€as€the€defendant€knew€that€the€proceeds€represented€"some€form€of€unlawfulÐ ( Ä Ðactivity."€€18€U.S.C.€ðð1956(a)(1).€€Section€1956(c)(1)€defines€the€term€broadly€to€require€onlyÐ  ° Ðthat€"the€person€knew€the€property€involved€in€the€transaction€represented€proceeds€from€someÐ  œ Ðform,€though€not€necessarily€which€form,€of€activity€that€constitutes€a€felony€under€State,Ð ì ˆ ÐFederal,€or€foreign€law,€regardless€of€whether€or€not€such€activity€is€specified€in€paragraphÐ Ø t Ð[1956(c)](7)."€€Although€the€most€common€situation€will€be€that€the€defendant's€knowledge€andÐ Ä ` Ðthe€actual€source€of€the€proceeds€coincide,€where€the€evidence€shows€that€the€defendant€thoughtÐ °L  Ðthat€the€property€used€in€the€transaction€was€proceeds€from€a€different€unlawful€activity,€theÐ œ8  Ðinstruction€should€be€tailored€to€reflect€the€defendant's€knowledge,€òòe.g.óó€"at€the€time€the€defendantÐ ˆ$  Ðconducted€the€financial€transaction,€he€believed€that€the€money€he€used€in€the€financialÐ t  Ðtransaction€represented€the€proceeds€of€unlawful€[prostitution]€[dogfighting]€[gambling]."€€òòSeeóó,Ð `ü  Ðòòe.g.óó,€òòUnited€States€v.€Longóó,€977€F.2d€1264,€1277€(8th€Cir.€1992)€(discussing€the€laundering€ofÐ Lè  Ð"any€proceeds€from€a€myriad€of€specified€unlawful€activities,"€and€how€that€results€in€differentÐ 8Ô  Ðoffense€levels€under€section€2S1.1€of€the€Sentencing€Guidelines).Ð $À Ðà@55!ìàò òCommittee€Commentsó óˆÐ †" Ðà  àòòSeeóó€Committee€Comments€and€Notes€on€Use,€Instructions€6.18.1956A€through€I,€òòsupraóó.šÐ  è„ ÐÖ€  ìºÖÓ €Óà@ãã ìàò òÔ% € ÔÔ  Ô6.18.1957.€€ENGAGING€IN€MONETARY€TRANSACTIONS€IN€PROPERTY€ˆÐ d Ðà@&& ìàDERIVED€FROM€SPECIFIED€UNLAWFUL€ACTIVITY€(18€U.S.C.€ðð€1957)Ô ed¯\Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€engaging€in€a€monetary€transaction€in€property€derived€from€(describeÐ ( Ä Ðspecified€unlawful€activity),€as€charged€in€[Count[s]€____€of]€the€indictment,€has€five€elements,Ð Š & Ðwhich€are:Ð ì ˆ Ðà  àòòOneóó,€on€or€about€(date),òò1óó€the€defendant[s]€knowingly€(describe€the€"monetaryÐ N ê  Ðtransaction,"€e.g.,€withdrew€funds€from€an€account€at€ABC€Bank);òò2óóÐ °L  Ðà  àòòTwoóó,€the€(describe€"monetary€transaction,"€e.g.,€withdrawal)€was€[of]€[in]€propertyòò3óó€of€aÐ ®  Ðvalue€greater€than€$10,000€derived€from€(describe€"specified€unlawful€activity,"€e.g.,€bank€fraud)Ð t  Ðas€defined€in€Instruction€No.€_____;òò4óóÐ Ör  Ðà  àòòThreeóó,€the€defendant[s]€then€knew€that€(describe€the€"monetary€transaction")€involvedÐ 8Ô  Ðproceeds€of€a€criminal€offense;òò5óó€Ð š6 Ðà  àòòFouróó,€the€(describe€the€"monetary€transaction")€took€place€in€(describe€location€of€theÐ ü˜ Ðtransaction);òò6óó€andÐ ^ú Ðà  àòòFiveóó,€the€(describe€the€"monetary€transaction")€in€some€way€or€degree€affected€interstateÐ À\ Ðcommerce.€€Ð "¾ ÐÓ €Óà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÐ „  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ æ‚! Ðà  à1.€€òòSeeóó€Note€1,€Instruction€6.18.1956A,€òòsupraóó.€€The€statute€became€effective€October€27,Ð Hä# Ð1986.€€Anti„Drug€Abuse€Act€of€1986,€Pub.€L.€No.€99„570,€Title€I,€ðð€1352(a),€100€Stat.€3207„21.€Ð 4 Ð$ ÐÔ'&æccÔEffective€November€18,€1988,€the€definition€of€"monetary€transaction"€was€decoupled€from€theÐ  !¼% Ðdefinition€of€"monetary€instrument"€under€31€U.S.C.€ðð€5312€and€made€the€same€as€18€U.S.C.Ð  "¨& Ððð1956(c)(5).€€Anti„Drug€Abuse€Act€of€1988,€Pub.€L.€No.€100„690,€Title€VI,€ðððð€6182,€6184€andÐ ø"”' Ð6469(a)(2),€102€Stat.€4354€and€4377.€€The€statute€was€further€amended,€effective€October€28,Ð ä#€( Ð1992.€€Pub.€L.€102„550,€Title€XV,€ðððð€1526(b)€and€1527(b),€106€Stat.€4065.€€That€changeÐ Ð$l) Ðdecoupled€the€definition€of€"financial€institution"€from€31€U.S.C.€ðð€5312€and€made€it€the€same€asÐ ¼%X* Ð18€U.S.C.€ðð€1956[(c)(6)],€thus€requiring€a€consideration€of€not€only€31€U.S.C.€ðð€5312€but€itsÐ ¨&D + Ðimplementing€regulations.Ð ”'0!, Ðà  à2.€€The€term€"monetary€transaction"€is€defined€in€18€U.S.C.€ðð1957(f)(1).€€The€sectionÐ ö(’". Ðdefining€"monetary€transaction"€adopts€by€reference€the€section€1956€definition€of€"financialÐ â)~#/ Ðinstitution,"€which€in€turn€adopts€definitions€contained€in€or€promulgated€under€Title€31.€Ð Î*j$0 ÐTherefore,€a€wide€variety€of€transactions€beyond€dealings€with€traditional€financial€institutionsÐ º+V%1 Ðsuch€as€banks€are€covered€by€the€statute.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Kelleyóó,€929€F.2d€582€(10thÐ d ÐCir.€1991)€(section€1957€violated€by€purchase€of€automobile€with€proceeds€from€fraud€scheme).€Ð Pì ÐThe€definition€of€"monetary€transaction"€excludes€"any€transaction€necessary€to€preserve€aÐ <Ø Ðperson's€right€to€representation€as€guaranteed€by€the€Sixth€Amendment€to€the€Constitution."€€TheÐ ( Ä ÐCommittee€recommends€that€the€"monetary€transaction"€be€described€in€simple€terms,€e.g.,€"aÐ  ° Ðwithdraw€from€ABC€Bank,"€or€"purchase€of€an€automobile,"€according€to€the€allegations€of€theÐ  œ Ðindictment€and€the€evidence€in€the€case.€€The€"monetary€transaction"€must€also,€by€definition,€beÐ ì ˆ Ð"in€or€affecting€interstate€or€foreign€commerce."€€òòCf.€United€States€v.€Kelleyóó,€929€F.2d€at€585„86Ð Ø t Ð(commerce€nexus€jurisdictional,€but€not€an€element€of€the€offense).€€òòSeeóó€Note€4,€InstructionÐ Ä ` Ð6.18.1956A,€òòsupraóó.Ð °L  Ðà  à3.€€The€term€"property"€is€not€defined€in€the€statute.€€In€some€situations,€it€may€beÐ ®  Ðpreferable€to€use€a€term€such€as€"currency"€to€more€precisely€describe€the€property€at€issue€in€theÐ þš  Ðcase.€€In€other€situations,€it€may€be€helpful€to€include€a€separate€paragraph€defining€"property"€inÐ ê†  Ðterms€of€what€is€included€or€excluded€in€the€application€of€the€statute€to€the€facts€of€the€particularÐ Ör  Ðcase.€€The€statutory€language€„„€"a€monetary€transaction€in€criminally€derived€property"€„„€isÐ Â^  Ðawkward€when€describing€certain€transactions.€€The€Committee€recommends€using€"of"€whenÐ ®J Ðdescribing€transactions€such€as€"withdrawal€of,"€"deposit€of,"€etc.Ð š6 Ðà  à4.€€The€Government€must€prove€that€the€property€was,€in€fact,€derived€from€"specifiedÐ ü˜ Ðunlawful€activity"€as€defined€in€section€1957(f)(3),€which€adopts€the€definition€from€sectionÐ è„ Ð1956.€€òòSee,€e.g.,€United€States€v.€Hareóó,€49€F.3d€447,€451€(8th€Cir.€1995).€€However,€it€is€notÐ Ôp Ðnecessary€to€prove€that€the€defendant€knew€that€the€offense€from€which€the€property€was€derivedÐ À\ Ðwas€specified€unlawful€activity.€€18€U.S.C.€ðð€1957(c).€€If€the€underlying€criminal€activity,€e.g.,Ð ¬H Ðbank€fraud,€is€charged€in€the€same€indictment,€a€reference€to€the€instruction€defining€the€elementsÐ ˜4 Ðof€the€underlying€specified€unlaw€activity€may€be€included€in€this€instruction.€€For€example,€"TheÐ „  Ðwithdrawal€was€of€funds€of€a€value€greater€than€$10,000€derived€from€bank€fraud€as€defined€inÐ p  ÐInstruction€No.€_____."€€If€the€underlying€criminal€activity€is€not€charged€in€the€same€indictment,Ð \ø Ðthe€Government€will€be€required€to€prove€that€the€underlying€criminal€activity€occurred€byÐ Hä Ðproving€the€elements€of€the€underlying€offense€or€a€prior€conviction€of€it.€€In€such€a€case,€theÐ 4 Ð Ðelements€of€the€underlying€offense€should€be€spelled€out€as€part€of€this€instruction.€€òòSee€alsoóó€NoteÐ  !¼ Ð27,€Instruction€6.18.1956J,€òòsupraóó,€and€Instruction€5.06C,€òòsupraóó.Ð  "¨ Ðà  à5.€€The€knowledge€element€of€a€section€1957€offense€requires€proof€that€the€defendantÐ n# ! Ðknew€the€transaction€involved€"criminally€derived€property"€as€defined€in€section€1957(f)(2),€thatÐ Z$ö" Ðis,€"property€constituting,€or€derived€from,€proceeds€obtained€from€a€criminal€offense."€€WhileÐ F%â# Ðreference€to€the€definition€(elements)€of€specified€unlawful€activity€is€recommended€in€all€cases,Ð 2&Î$ Ðany€issues€about€whether€the€defendant€believed€that€the€activity€generating€the€proceeds€did€notÐ 'º % Ðamount€to€a€criminal€offense€should€be€dealt€with€in€a€defense€theory€instruction.€€òòSeeóó€part€9€ofÐ  (¦!& Ðthis€manual,€Defenses€and€Theories€of€Defense.€€The€Committee€has€avoided€use€of€the€statutoryÐ ö(’"' Ðterm€"criminally€derived€property"€in€drafting€this€instruction€since€that€phrase€would€requireÐ â)~#( Ðfurther€definition€and€the€statutory€requirement€can€be€explained€in€more€understandableÐ Î*j$) Ðlanguage.Ð º+V%* Ðà  à6.€€There€must€be€proof€that€the€offense€occurred€within€the€United€States€or€withinÐ d Ðspecial€maritime€and€territorial€jurisdiction.€€18€U.S.C.€ðð€1957(a)€and€(d).€€Special€maritime€andÐ Pì Ðterritorial€jurisdiction€is€defined€in€18€U.S.C.€ðð€7.€€When€the€indictment€alleges€such€aÐ <Ø Ð"circumstance,"€the€court€should€determine€whether€the€evidence€permits€a€finding€that€theÐ ( Ä Ðelement€has€been€established€and€then€submit€to€the€jury€the€more€precise€question€of€whetherÐ  ° Ðthe€offense,€or€transaction,€occurred€at€the€location€alleged€in€the€indictment.€€As€an€alternative,Ð  œ Ðthe€Government€may€allege€and€prove€that€the€defendant€was€a€person€defined€in€18€U.S.C.Ð ì ˆ Ððð3077(2)(A),€(B),€(C),€(E)€or€(F).€€The€Committee€assumes€that€prosecutions€under€the€latterÐ Ø t Ðalternative€"circumstance"€will€be€rare,€but€the€fourth€element€would€have€to€be€redrafted€to€fitÐ Ä ` Ðthe€situation€in€such€cases.Ð °L  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ®  Ðà  àSection€1957€of€Title€18€applies€to€monetary€transactions€occurring€after€the€completionÐ t  Ðof€the€underlying€criminal€activity.€€òòUnited€States€v.€Johnsonóó,€971€F.2d€562,€567„70€(10th€Cir.Ð `ü  Ð1992).€€Ô'&ÂÔSuch€an€interpretation€of€the€statute€means€that€the€proceeds€must€have€been€"obtained"Ð Lè  Ðfrom€the€underlying€criminal€activity€before€the€monetary€transaction€prohibited€by€section€1957Ð 8Ô  Ðoccurs.€€Monetary€transactions€occurring€simultaneously€with€the€efforts€to€"obtain"€proceeds€ofÐ $À Ðcrime,€that€is,€simultaneously€with€the€underlying€drug€sale,€execution€of€the€scheme€to€defraud,Ð ¬ Ðetc.,€would€not€be€covered.€€òòId.óó,€971€F.2d€at€569.Ð  ü˜ ÐÖ€  ì»ÖÓ €Óà@ìàò òÔ% €Ÿ ÔÔ  Ô6.18.1962A.€€RICO„PARTICIPATION€IN€THE€AFFAIRS€THROUGH€ˆÐ d Ðà@++ìàA€PATTERN€OF€RACKETEERING€ACTIVITY€(18€U.S.C.€ðð€1962(c))Ô up€ƒÔó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€participating€in€a€racketeering€enterpriseòò1óó€as€charged€in€[Count€____]€of€theÐ ( Ä Ðindictment€has€five€elements,€which€are:Ð Š & Ðà  àòòOneóó,€an€enterprise€existed€as€alleged€in€the€indictment;òò2óóÐ ì ˆ Ðà  àòòTwoóó,€the€enterprise€[was€engaged€in]€[had€some€affect€on]€interstate€commerce;òò3óóÐ N ê  Ðà  àòòThreeóó,€the€defendant€was€[associated€with]€[employed€by]òò4óó€the€enterprise;Ð °L  Ðà  àòòFouróó,€the€defendant€participated,€either€directly€or€indirectly,€in€the€conduct€of€the€affairsÐ ®  Ðof€the€enterpriseòò5óó;€andÐ t  Ðà  àòòFiveóó,€the€defendantððs€participation€was€through€a€pattern€of€racketeering€activity,òò6óó€andÐ Ör  Ðconsisted€of€the€[knowing]€[willful]òò7óó€commission€of€at€least€two€racketeering€acts.Ð 8Ô  Ðà  àThe€term€ð ðracketeering€activity,ðð€as€used€in€[the]€[this]€Instruction[s]€includes€the€actsÐ š6 Ðcharged€as€separate€crimes€in€Counts€___,€___,€and€___.€€The€element€of€the€crimes€charged€inÐ ü˜ ÐCount€___,€___,€and€___€are€defined€in€Instructions€___,€___,€and€___.€€[If€the€predicate€acts€areÐ ^ú Ðnot€charged€in€separate€counts,€instructions€on€the€elements€of€each€racketeering€activity€must€beÐ À\ Ðgiven€as€part€of€the€racketeering€charge.]òò8óóÐ "¾ ÐÓ €Óà  àFor€you€to€find€[a]€defendant€guilty€of€this€crime€the€government€must€prove€all€of€theseÐ „  Ðelements€beyond€a€reasonable€doubt€[as€to€that€defendant];€otherwise€you€must€find€[that]€[the]Ð æ‚! Ðdefendant€not€guilty.òò9óóÓ€ÓÐ Hä# ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ª F% Ðà  à1.€€If€the€violation€of€section€1962€(c)€is€through€the€collection€of€an€unlawful€debt,Ð  "¨' Ðsubstitute€ð ðcollection€of€an€unlawful€debtðð€for€ð ðpattern€of€racketeering€activity.ðð€€An€unlawfulÐ ø"”( Ðdebt€is€defined€Ô'&ª •‹Ôat€18€U.S.C.€ðð€1961(6).€€òòSeeóó€Committee€Comments,€òòinfraóó.Ð ä#€) Ðà  à2.€€The€jury€should€be€instructed€on€the€meaning€of€ð ðenterprise.ðð€€òòSee€infraóó,€Instruction€D.Ð F%â+ Ðà  à3.€€The€racketeering€activity€must€have€some€effect€on€interstate€commerce.€€However,Ð ¨&D - Ðthe€element€may€be€satisfied€when€the€predicate€acts€form€a€nexus€with€interstate€commerce;Ð ”'0!. Ðwhen€the€interstate€commerce€is€affected€by€either€the€enterprise€or€its€activities.€òò€Seeóó€òòUnitedÐ €("/ ÐStates€v.€Muskovskyóó€,€863€F.2d€1319€(7th€Cir.€1988);€òòR.A.G.S.€Couture,€Inc.€v.€Hyattóó,€774€F.2dÐ l)#0 Ðâ â1350€(5th€Cir.€1985);€òòUnited€States€v.€Bartonóó,€647€F.2d€224€(2d€Cir.€1981).Ð X*ô#1 Ðà  à4.€€Proof€of€association„in„fact€enterprise€requires€evidence€that€a€group€of€personsÐ d Ðâ âassociated€together€for€a€common€purpose€of€engaging€in€a€course€of€conduct.òò€€United€States€v.Ð Pì ÐTurketteóó,€452€U.S.€576€(1981).€€The€enterprise€element€may€also€be€satisfied€if€the€entity€has€aÐ <Ø Ðlegal€existence.€€òòUnited€States€v.€Kirkóó,€844€F.2d€660€(9th€Cir.€1988);€òòUnited€States€v.€Caubleóó,€706Ð ( Ä ÐF.2d€1322€(5th€Cir.€1983).Ð  ° Ðà  à5.€€A€defendantððs€participation€must€be€in€the€conduct€of€the€affairs€of€the€enterpriseÐ v  Ðwhich€means€either€some€participation€in€the€operation€or€management€of€the€enterprise€itself.€Ð b þ ÐòòReves€v.€Ernst€&€Youngóó,€507€U.S.€170,€(1993);€òòUnited€States€v.€Dardenóó,€70€F.3d€1507,€1518€(8thÐ N ê ÐCir.€1995).€€Participation€may€be€direct€or€indirect.€€òòSee€e.g.,óó€òòUnited€States€v.€Martinoóó,€648€F.2dÐ :Ö  Ð367€(5th€Cir.€1981);€òòUnited€States€v.€Starnesóó,€644€F.2d€673€(7th€Cir.€1981).Ð &  Ðà  à6.€€The€jury€should€be€instructed€on€the€meaning€of€ð ðpattern€of€racketeering.ðð€€òòSee€infraóó,Ð ˆ$  ÐInstruction€E.€Ð t  Ðà  à7.€€The€RICO€statute€does€not€require€any€òòmens€reaóó€beyond€that€necessary€for€theÐ Ör  Ðpredicate€acts.€€The€Instruction€should€be€modified€to€conform€to€the€òòmens€reaóó€requirementÐ Â^  Ðcontained€within€the€statute€governing€the€predicate€act.Ð ®J Ðà  à8.€€ð ðRacketeering€activityðð€is€defined€at€18€U.S.C.€ðð€1961€(1).Ð ¬ Ðà  à9.€€The€jury€must€be€instructed€that€in€order€to€convict,€the€government€must€proveÐ r Ðbeyond€a€reasonable€doubt€each€element€of€the€charge.€€It€is€recommended€that€the€burden€ofÐ ^ú Ðproof€paragraph€be€included€in€the€element€instruction.€€òòSee€United€States€v.€Fairchild,óó€122€F.3dÐ Jæ Ð605,€612€(8th€Cir.€1997);€Instruction€3.09,€òòsupraóó.Ð 6Ò ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ˜4 Ðà  àòòSeeóó€Ô'N˜ ˜Ô2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r8™#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r‚™#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÉ™#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rš#Ô:€€CriminalÐ ú– Ððð56.03€(5th€ed.€2000);€òòUnited€States€v.€Ellisonóó,€793€F.2d€942€(8th€Cir.€1986).Ð æ‚ Ðà  àA€violation€of€section€1962€may€occur€either€by€a€defendant€engaging€in€a€ð ðpattern€ofÐ Hä Ðracketeering€activityðð€or€ð ðcollection€of€an€unlawful€debt.ðð€€An€unlawful€debt€is€defined€in€18Ð 4 Ð  ÐU.S.C.€ðð€1961(6).€òò€See,€e.góó.,€òòUnited€States€v.€Wongóó,€40€F.3d€1347€(2d€Cir.€1994);€òòUnited€States€v.Ð  !¼! ÐOretoóó,€37€F.3d€739€(1st€Cir.€1994);€òòUnited€States€v.€DiSalvoóó,€34€F.3d€1204€(3d€Cir.€1994);Ð  "¨" ÐòòUnited€States€v.€Aucoinóó,€964€F.2d€1492€(5th€Cir.€1992);€òòUnited€States€v.€Trippóó,€782€F.2d€38€(6thÐ ø"”# ÐCir.€1986).Ð ä#€$ Ðà  àRICO€requires€proof€of€the€conduct€of€an€enterprise€effecting€commerce€through€a€patternÐ F%â& Ðof€racketeering€activity€involving€two€or€more€predicate€acts.€€òòSedima,€S.P.R.L.€v.€Imrex€Co.óó,€473Ð 2&Î' ÐU.S.€479€(1985);€òòUnited€States€v.€Ellisonóó,€793€F.2d€942€(8th€Cir.€1986).€€òòSee€also€Salinas€v.Ð 'º ( ÐUnited€Statesóó,€522€U.S.€52,€__,€118€S.€Ct.€469,€476€(1997)€(discussing€elements€of€substantiveÐ  (¦!) ÐRICO€violation).€€A€RICO€defendant€does€not€have€to€be€convicted€of€each€racketeering€activityÐ ö(’"* Ðbefore€a€substantive€RICO€offense€may€be€charged,€as€long€as€the€racketeering€activity€isÐ â)~#+ Ðindictable€under€an€applicable€criminal€statute.€€òòSedima,€S.P.R.L.€v.€Imrex€Co.óó,€473€U.S.€at€488.€Ð Î*j$, ÐWhile€a€minimum€of€two€predicate€acts€are€necessary,€more€than€two€may€be€required€toÐ º+V%- Ðestablish€a€RICO€violation.€€òòH.J.€Inc.€v.€Northwestern€Bell€Telephone€Co.óó,€492€U.S.€229€(1989).€Ð d Ð18€U.S.C.€ðð€1961(1)€describes€those€state€and€federal€crimes€which€constitute€racketeeringÐ Pì Ðactivity.Ð <Ø Ðà  àA€conviction€under€RICO€requires€no€proof€of€a€connection€between€organized€crime€andÐ ž : Ðthe€defendant.€€òòSee€Bennett€v.€Bergóó,€685€F.2d€1053€(8th€Cir.€1982),€òòmodifiedóó,€710€F.2d€1361€(8thÐ Š & ÐCir.€1983)€(en€banc);€òòMoss€v.€Morgan€Stanleyóó€òòInc.,óó€719€F.2d€5€(2d€Cir.€1983);€òòSchact€v.€Brownóó,Ð v  Ð711€F.2d€1343€(7th€Cir.€1983).Ð b þ Ðà  àThe€RICO€statute€does€not€specify€any€òòmens€reaóó€beyond€that€specified€in€the€predicateÐ Ä `  Ðacts.€€òòUnited€States€v.€Scottoóó,€641€F.2d€47€(2d€Cir.€1980).€€It€is€recommended€that€the€elements€ofÐ °L  Ðthe€offense€instruction€clearly€set€out€the€òòmens€reaóó€requirement€of€the€predicate€acts€in€thatÐ œ8  Ðportion€which€pertains€to€the€predicate€acts.Ð ˆ$  Ðà  àTo€prove€the€existence€of€an€enterprise,€the€government€must€prove€(1)€a€commonÐ ê†  Ðpurpose;€(2)€a€formal€or€informal€organization€of€the€participants€in€which€they€function€as€aÐ Ör  Ðunit;€and€(3)€an€ascertainable€structure€distinct€from€that€inherent€in€the€conduct€of€a€pattern€ofÐ Â^  Ðracketeering€activity.€€òòUnited€States€v.€Kehoeóó,€310€F.3d€579,€586€(8òòthóó€Cir.€2002);€òòUnited€States€v.Ð ®J ÐDardenóó,€70€F.3d€1507€(8th€Cir.€1995);€òòUnited€States€v.€Bledsoeóó,€674€F.2d€647€(8th€Cir.€1982).€Ð š6 ÐThe€enterprise€element€may€be€satisfied€upon€a€showing€either€that€the€entity€has€a€legalÐ †" Ðexistence€or€proof€of€an€association€in€fact.€€òòUnited€States€v.€Turketteóó,€452€U.S.€576€(1981).€TheÐ r Ðenterprise€must€have€an€existence€entirely€separate€and€independent€of€the€racketeering€activity.€Ð ^ú ÐòòSee€also€United€States€v.€Consoleóó,€13€F.3d€641€(3d€Cir.€1993);€òòUnited€States€v.€Mastersóó,€924€F.2dÐ Jæ Ð1362€(7th€Cir.€1991);€òòUnited€States€v.€Tillettóó,€763€F.2d€628€(4th€Cir.€1985).Ð 6Ò Ðà  àSection€1962(c)€requires€a€relationship€between€the€pattern€of€racketeering€and€theÐ ˜4 Ðenterprise.€€Conduct€forms€a€pattern€of€racketeering€activity€if€it€embraces€criminal€acts€that€haveÐ „  Ðthe€same€or€similar€purpose,€results,€participants,€victims€or€methods€of€commission€or€areÐ p  Ðinextricably€intertwined€and€not€isolated€events.€€òòUnited€States€v.€Ellisonóó,€793€F.2d€942€(8th€Cir.Ð \ø Ð1986).€€The€necessary€nexus€only€exists€when€the€defendantððs€predicate€acts€ð ðrise€to€the€levelðð€ofÐ Hä Ðparticipation€in€the€management€or€operation€of€the€enterprise.€€òòReves€v.€Ernst€&€Youngóó,€507€U.S.Ð 4 Ð Ð170€(1993).€€Mere€participation€in€the€predicate€offenses€in€conjunction€with€a€RICO€enterpriseÐ  !¼ Ðmay€be€insufficient€to€support€a€RICO€charge.€€òòBennett€v.€Bergóó,€685€F.2d€1053€(8th€Cir.€1982),Ð  "¨  Ðòòmodifiedóó,€710€F.2d€1361€(en€banc€1983).€€An€enterprise€may€be€ð ðoperatedðð€or€ð ðmanagedðð€byÐ ø"”! Ðothers€ð ðassociated€withðð€the€enterprise€who€exert€control€of€the€enterprise.€€òòReves€v.€Ernst€&Ð ä#€" ÐYoungóó,€507€U.S.€170€(1993).€€A€person€may€also€be€liable€under€section€1962(c)€even€though€heÐ Ð$l# Ðhad€no€control€of€the€enterprise€but€participated€or€operated€in€the€conduct€of€the€enterprise.€Ð ¼%X$ ÐòòUnited€States€v.€Dardenóó,€70€F.3d€1507,€1518€(8th€Cir.€1995).€€Yet€the€Eighth€Circuit€has€heldÐ ¨&D % Ðthat€Congress€did€not€mean€for€1962(c)€to€penalize€all€who€are€employed€by€or€associated€with€aÐ ”'0!& ÐRICO€enterprise,€but€only€those,€who€by€virtue€of€their€association€of€employment,€play€a€part€inÐ €("' Ðdirecting€the€enterpriseððs€affairs.€€òòHandeen€v.€Lemaireóó,€112€F.3d€1339,€1347€(8th€Cir.€1997).€€AnÐ l)#( Ðattorney€or€other€professional€does€not€conduct€an€enterpriseððs€affairs€through€run„of„the„millÐ X*ô#) Ðprofessional€services.€€òòId.óóÐ D+à$* Ðà  àThe€government€need€not€prove€that€the€racketeering€activity€benefitted€the€enterprise€butÐ d Ðonly€that€the€predicate€acts€affected€the€enterprise.€€òòUnited€States€v.€Caubleóó,€706€F.2d€1322€(5thÐ Pì ÐCir.€1983).€€The€same€piece€of€evidence€may€establish€both€pattern€and€enterprise€elements.€Ð <Ø ÐòòUnited€States€v.€Dardenóó,€70€F.3d€1507,€1521€(8th€Cir.€1995).€Ð ( Ä Ðà  àIsolated€predicate€acts€do€not€constitute€a€pattern.€€òòSedima,€S.P.R.L.€v.€Imrex€Co.óó,€473Ð Š & ÐU.S.€479€(1985).€€In€order€to€prove€a€pattern€of€racketeering€activity,€the€government€must€showÐ v  Ðboth€relationship€and€continuity€as€separate€elements.€€òòH.J.€Inc.€v.€Northwestern€Bell€TelephoneÐ b þ ÐCo.óó,€492€U.S.€229€(1989).€€Generally€continuity€over€a€close€period€is€not€met€when€the€predicateÐ N ê Ðacts€extend€less€than€one€year.€€òòPrimary€Care€Investors,€Seven,€Inc.€v.€PHP€Healthcare€Corp.óó,Ð :Ö  Ð986€F.2d€1208€(8th€Cir.€1993);€òòsee€alsoóó€òòUni*Quality,€Inc.€v.€Infotronx,€Inc.óó,€974€F.2d€918€(7thÐ &  ÐCir.€1992);€òòAldridge€v.€Lily„Tulip€Inc.€Salary€Retirement€Planóó,€961€F.2d€224€(11th€Cir.€1992);Ð ®  ÐòòHughes€v.€Consolidated€Pennsylvania€Coal€Co.óó,€945€F.2d€594€(3d€Cir.€1991).€€Generally€patternÐ þš  Ðrequires€a€showing€of€a€relationship€plus€continuity.€€However,€determining€what€constitutes€aÐ ê†  Ðpattern€is€ultimately€a€question€of€fact.€€òòDiamonds€Plus,€Inc.€v.€Kolberóó,€960€F.2d€765€(8th€Cir.Ð Ör  Ð1992);€òòAtlas€Pile€Driving€Co.€v.€DiCon€Financial€Co.óó,€886€F.2d€986€(8th€Cir.€1989).Ð Â^  Ðà  àCourts€have€provided€a€broad€interpretation€to€the€interstate€commerce€requirement.€€òòSeeÐ $À Ðe.g.,€United€States€v.€Robertsonóó,€514€U.S.€669€(1995)€(purchase€of€equipment€and€supplies€fromÐ ¬ Ðout€of€state€as€well€as€employment€of€out€of€state€persons€to€work€mine€constituted€interstateÐ ü˜ Ðcommerce);€òòsee€alsoóó€òòUnited€States€v.€Qaoudóó,€777€F.2d€1105€(6th€Cir.€1985)€(activities€of€UnitedÐ è„ ÐStates€District€Court€constituted€interstate€commerce.)Ð Ôp Ðà  àThe€jury€must€be€unanimous€that€predicate€acts€had€been€committed€and€the€defendantÐ 6Ò Ðcommitted€at€least€two€of€the€predicate€acts.€€It€is€recommended€that€the€instructions€require€theÐ "¾ Ðjury€to€be€unanimous€as€to€which€acts€have€spÔ_ÔecificallyÔ_Ô€been€committed€by€the€defendant.òò€€UnitedÐ ª ÐStates€v.€Flynnóó,€87€F.3d€996€(8th€Cir.€1996);€òòsee€alsoóó€òòUnited€States€v.€Kragnessóó,€830€F.2d€842Ð ú– Ð(8th€Cir.€1987);š€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rß½#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r)¾#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rp¾#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¿¾#Ô:€Ð æ‚ ÐCriminal€ðð56.03€(5th€ed.€2000).Ð  Òn ÐÖ€ ì¼ÖÓ €Óà@L L ìàò òÔ% €¡ ÔÔ  Ô6.18.1962B.€€RICO€„€CONSPIRACY€(18€U.S.C.€ðð€1962(d))Ô th¦¿Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€conspiracyòò1óó€to€[invest€or€use€income€derived€from€racketeering€activity]Ð <Ø Ð[acquire€or€maintain€an€interest€in€or€control€of€an€enterprise]€[participate,€directly€or€indirectly,€Ð ž : Ðin€the€affairs€of€an€enterprise]€through€a€pattern€of€racketeering€activity€as€charged€in€[CountÐ  œ Ð____]€of€the€indictment€has€five€elements,€which€are:òò2óóÐ b þ Ðà  àòòOneóó,€an€enterprise€existed€as€alleged€in€the€indictment;òò3óóÐ Ä `  Ðà  àòòTwoóó,€the€enterprise€[was€engaged€in]€[had€some€effect€on]€interstate€commerce;òò4óóÐ &  Ðà  àòòThreeóó,€the€defendant€was€[associated€with]€[employed€by]€an€enterprise;òò5óóÐ ˆ$  Ðà  àòòFouróó,€that€on€or€about€[insert€date]€two€[or€more]€persons€reached€an€agreement€or€cameÐ ê†  Ðto€an€understanding€[to€invest€or€use€income€derived€from€racketeering€activity]€[to€acquire€orÐ Lè  Ðmaintain€an€interest€in€or€control€of€an€enterprise]€[to€conduct€or€participate€in€the€affairs€of€anÐ ®J Ðenterprise,€directly€or€indirectly,]€through€a€pattern€of€racketeering€activity;€òò6€óóandÐ ¬ Ðà  àòòFiveóó,€that€the€defendant€voluntarily€and€intentionally€joined€in€the€agreement€orÐ r Ðunderstanding,€either€at€the€time€it€was€first€reached€or€at€some€later€time€while€it€was€still€inÐ Ôp Ðexistence,€and€at€the€time€the€defendant€joined€in€the€agreement€or€understanding€[he]€[she]Ð 6Ò Ðspecifically€intended€to€otherwise€participate€in€the€affairs€of€the€enterprise.òò7óóÐ ˜4 Ðà  àFor€you€to€find€[a]€defendant€guilty€of€this€crime€the€government€must€prove€all€of€theseÐ ú–  Ðelements€beyond€a€reasonable€doubt€[as€to€that€defendant];€otherwise€you€must€find€[that]€[the]Ð \ø" Ðdefendant€not€guilty.òò8óóÓ€ÓÓ €ÓÐ ¾Z$ ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ  !¼& Ðà  à1.€€The€general€conspiracy€statute€is€18€U.S.C.€ðð€371.€€Unlike€the€general€conspiracyÐ ‚"( Ðstatute,€the€government€need€not€prove€an€overt€act€was€committed€in€furtherance€of€theÐ n# ) Ðconspiracy.Ð Z$ö* ÐÔ'ˆ !+ÈÔà  à2.€€Section€1962(d)€prohibits€conspiring€to€violate€any€provision€of€ðð€1962€(a)(b)(c).Ð ¼%X, Ðà  à3.€€The€jury€should€be€instructed€on€the€meaning€of€ð ðenterprise.ðð€€òòSee€infra,€óóInstruction€D.Ð 'º . Ðà  à4.€€The€racketeering€activity€must€have€some€effect€on€interstate€commerce.€€Section€1962Ð €("0 Ð(c)€also€provides€that€a€pattern€of€racketeering€activity€which€affects€foreign€commerce€isÐ l)#1 Ðunlawful.€€If€supported€by€evidence,€substitute€foreign€commerce€for€interstate€commerce.€Ð X*ô#2 ÐHowever€the€element€may€be€satisfied€when€the€predicate€acts€form€a€nexus€with€interstateÐ D+à$3 Ðcommerce;€when€the€interstate€commerce€is€affected€by€either€the€enterprise€or€its€activities.€òò€SeeóóÐ 0,Ì%4 ÐòòUnited€States€v.€Muskovskyóó€,€863€F.2d€1319€(7th€Cir€1988);€òòR.A.G.S.€Couture,€Inc.€v.€Hyattóó,€774Ð d ÐF.2d€1350€(5th€Cir.€1985);€òòUnited€States€v.€Bartonóó,€647€F.2d€224€(2d€Cir.€1981).Ð Pì Ðà  à5.€€Proof€of€association„in„fact€enterprise€requires€evidence€that€a€group€of€personsÐ ²N Ðassociated€together€for€a€common€purpose€of€engaging€in€a€course€of€conduct.òò€€United€States€v.Ð ž : ÐTurketteóó,€452€U.S.€576€(1981).€€The€enterprise€element€may€also€be€satisfied€if€the€entity€has€aÐ Š & Ðlegal€existence.òò€€United€States€v.€Kirkóó,€844€F.2d€660€(9th€Cir.€1988);òò€United€States€v.€Caubleóó,€706Ð v  ÐF.2d€1322€(5th€Cir.€1983).Ð b þ Ðà  à6.€€The€jury€should€be€instructed€on€the€meaning€of€ð ðpattern€of€racketeering.ðð€€òòSee€infra,Ð Ä `  ÐóóInstruction€E.Ð °L  Ðà  à7.€€The€government€must€prove€that€the€defendant€objectively€manifested€an€agreement€toÐ ®  Ðparticipate€in€the€affairs€of€the€enterprise.€€òòUnited€States€v.€Dardenóó,€70€F.3d€1507,€1518€(1995).€Ð þš  ÐThe€Courtððs€statement€in€Darden€regarding€ð ðobjectively€manifestedðð€appears€to€be€a€comment€onÐ ê†  Ðthe€amount€of€evidence€the€government€must€introduce€to€allow€the€jury€to€infer€an€intent€toÐ Ör  Ðparticipate.€€The€Committee€does€not€believe€that€the€term€ð ðobjectively€manifestðð€is€an€elementÐ Â^  Ðof€the€offense€because€it€would€lessen€the€level€of€intent.€€Proof€of€an€express€agreement€is€notÐ ®J Ðrequired.€€The€government€need€only€establish€a€tacit€understanding€between€the€parties€and€thisÐ š6 Ðmay€be€shown€wholly€through€circumstantial€evidence€of€each€defendantððs€actions.€€òòId.óóÐ †" Ðà  à8.€€The€jury€must€be€instructed€that€in€order€to€convict,€the€government€must€proveÐ è„ Ðbeyond€a€reasonable€doubt€each€element€of€the€charge.€€It€is€recommended€that€the€burden€ofÐ Ôp Ðproof€paragraph€be€included€in€the€element€instruction.€€òòSee€United€States€v.€Fairchildóó,€122€F.3dÐ À\ Ð605,€612€(8th€Cir.€1997);€Instruction€3.09,€òòsupraóó.Ð ¬H ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ª Ðà  àòòSeeóó€2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%riÖ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r³Ö#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rúÖ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rI×#Ô:€€Ô'NäÕÔCriminalÐ p  Ððð56.11€(5th€ed.€2000);€òòUnited€States€v.€Dardenóó,€70€F.3d€1507,€1518€(8th€Cir.€1995).Ð \ø Ðà  àòòSeeóó€Committee€Comments€and€Notes€on€Use,€Instruction€6.18.1962A,€òòsupraóó.Ð ¾Z Ðà  àUnlike€the€general€conspiracy€statute,€18€U.S.C.€ðð€371,€the€RICO€conspiracy€statute€doesÐ  !¼! Ðnot€require€the€government€to€either€plead€or€prove€that€an€overt€act€was€committed€inÐ  "¨" Ðfurtherance€of€the€conspiracy.€€òòSalinas€v.€United€Statesóó,€522€U.S.€52,€63€(1997);€òòUnited€States€v.Ð ø"”# ÐPepeóó,€747€F.2d€632€(11th€Cir.€1984);€òòUnited€States€v.€Bartonóó,€647€F.2d€224€(2d€Cir.€1981).€Ð ä#€$ ÐTherefore€the€RICO€conspiracy€provision€is€more€comprehensive€than€the€general€conspiracyÐ Ð$l% Ðstatute,€18€U.S.C.€ðð€371.€€òòSalinas€v.€United€States,€óó522€U.S.€at€61.€€Proof€of€an€express€agreementÐ ¼%X& Ðis€not€required;€the€government€need€only€establish€a€tacit€understanding€between€the€parties.€Ð ¨&D ' ÐòòUnited€States€v.€Dardenóó,€70€F.3d€1507€(8th€Cir.€1995).€€However,€mere€association€with€a€RICOÐ ”'0!( Ðenterprise,€in€itself,€is€not€violative€of€a€conspiracy€under€ðð€1962(d).€€òòSee,€e.g.óó,€òòUnited€States€v.Ð €(") ÐNeapolitanóó,€791€F.2d€489€(7th€Cir.€1986).Ð l)#* Ðà  àIn€order€to€prove€a€RICO€conspiracy,€the€Government€need€only€show€that€the€defendantÐ Î*j$, Ðagreed€to€the€criminal€objective.€€òòSalinas€v.€United€Statesóó,€522€U.S.€at€52;€òòUnited€States€v.Ð º+V%- ÐBennettóó,€44€F.3d€1364€(8th€Cir.€1995)€(it€is€not€necessary€that€the€defendant€personally€agree€toÐ d Ðcommit€requisite€acts,€but€only€that€he€agrees€to€join€conspiracy).€€òòUnited€States€v.€Leisureóó,€844Ð Pì ÐF.2d€1347€(8th€Cir.€1988);€òòUnited€States€v.€Kragnessóó,€830€F.2d€842€(8th€Cir.€1987).€€In€order€toÐ <Ø Ðbe€guilty€of€conspiracy€under€RICO,€a€defendant€must€simply€agree€to€the€objective€of€the€RICOÐ ( Ä Ðviolation€and€need€not€himself€have€committed€or€agreed€to€commit€the€two€predicate€acts.€€òòSeeÐ  ° ÐSalinas€v.€United€Statesóó,€522€U.S.€at€52.€€A€defendant€may€be€acquitted€of€the€substantive€offenseÐ  œ Ðbut€still€convicted€of€conspiracy€if€there€is€proof€of€an€agreement€to€commit€the€substantive€act.òò€Ð ì ˆ ÐSee,€e.g.óó,€òòSalinas€v.€United€States,€óó522€U.S.€at€55.€€òòUnited€States€v.€Alonsoóó,€740€F.2d€862€(11thÐ Ø t ÐCir.€1985).Ð Ä ` Ðà  àWithdrawal€from€a€RICO€conspiracy€is€a€permissible€defense€but€the€defendant€mustÐ &  Ðprove€that€he€took€affirmative€steps,€inconsistent€with€the€object€of€the€conspiracy,€to€disavow€orÐ ®  Ðto€defeat€the€conspiratorial€objectives.€€òòSee€United€States€v.€Starrettóó,€55€F.3d€1525€(11th€Cir.Ð þš  Ð1995).€€Further,€the€defendant€must€have€made€a€reasonable€effort€to€communicate€these€steps€toÐ ê†  Ðhis€co„conspirators€or€disclosed€their€conspiracy€to€law€enforcement€authorities.€€òòSeeóó€òòUnitedÐ Ör  ÐStates€v.€Finestoneóó,€816€F.2d€583€(11th€Cir.€1987);€òòsee€alsoóó€òòHyde€v.€United€Statesóó,€225€U.S.€347Ð Â^  Ð(1912).€€Ð  ®J ÐÖ€ì½ÖÓ €Óà@‘‘ìàò òÔ% €£ ÔÔ  Ô6.18.1962C.€€RICO€„€CONSPIRACY€„€AGREEMENT€EXPLAINEDÔ  WåÔó óˆÐ d ÐÌÓ€Óà  àThe€government€must€prove€beyond€a€reasonable€doubt€that€the€defendant€knowinglyÐ <Ø Ðreached€an€agreementòò1óó€or€understanding€with€at€least€one€other€person€to€[invest€or€use€incomeÐ ž : Ðderived€from€racketeering€activity]€[acquire€or€maintain€an€interest€in€or€control€of€an€enterprise]Ð  œ Ð[participate,€directly€or€indirectly,€in€the€affairs€of€an€enterprise]€through€a€pattern€of€racketeeringÐ b þ Ðactivity.òò2€óó€€However,€you€donððt€have€to€find€that€any€racketeering€acts€were€actually€committed.òò3óóÐ Ä `  Ðà  àThe€agreement€or€understanding€need€not€be€an€express€or€formal€agreement€or€be€inÐ &  Ðwriting€or€cover€all€the€details€of€how€it€is€to€be€carried€out.€€Nor€is€it€necessary€that€the€membersÐ ˆ$  Ðhave€directly€stated€between€themselves€the€details€or€purpose€of€the€scheme.€€Ð ê†  Ðà  àYou€should€understand€that€merely€being€present€at€the€scene€of€an€event,€or€merelyÐ Lè  Ðacting€in€the€same€way€as€others€or€merely€associating€with€others,€does€not€prove€that€a€personÐ ®J Ðhas€joined€in€an€agreement€or€understanding.€€A€person€who€has€no€knowledge€of€a€conspiracyÐ ¬ Ðbut€who€happens€to€act€in€a€way€which€advances€some€purpose€of€one€does€not€thereby€become€aÐ r Ðmember.Ð Ôp Ðà  àBut€a€person€may€join€in€an€agreement€or€understanding,€as€required€by€this€element,Ð 6Ò Ðwithout€knowing€all€the€details€of€the€agreement€or€understanding,€and€without€knowing€who€allÐ ˜4 Ðthe€other€members€are.€€Further€it€is€not€necessary€that€a€person€agree€to€play€any€particular€partÐ ú–  Ðin€carrying€out€the€agreement€or€understanding.€€A€person€may€become€a€member€of€a€conspiracyÐ \ø" Ðeven€if€that€person€agrees€to€play€only€a€minor€part€in€the€conspiracy,€as€long€as€that€person€hasÐ ¾Z$ Ðan€understanding€of€the€unlawful€nature€of€the€plan€and€voluntarily€and€intentionally€joins€in€it.Ð  !¼& Ðà  àIn€determining€whether€the€alleged€conspiracy€existed€you€may€consider€the€actions€andÐ ‚"( Ðstatements€of€all€the€alleged€participants.€€The€agreement€may€be€inferred€from€all€theÐ ä#€* Ðcircumstances€and€the€conduct€of€the€alleged€participants.€òò4óóÐ F%â, Ðà  à[Acts€and€statements€which€are€made€before€the€conspiracy€bÔ_ÔeganÔ_Ô€or€after€it€ended€areÐ ¨&D . Ðadmissible€only€against€the€person€making€them€and€should€not€be€considered€by€you€against€anyÐ  (¦!0 Ðâ âother€defendant.]òò5óóÓ€ÓÓ €ÓÐ l)#2 ÐÔ& & Ôâ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€Where€enterprise€is€defined€as€an€association€in€fact,€proof€of€that€enterprise€mayÐ Æb Ðprove€an€unlawful€agreement.€€òòUnited€States€v.€Bennettóó,€44€F.3d€1364,€1372€(8th€Cir.€1995);Ð ²N ÐòòUnited€States€Ô'&dÔðÔ€v.€Pungitoreóó,€910€F.2d€1084,€1114€(3d€Cir.€1990).Ð ž : Ðà  à2.€€The€United€States€Supreme€Court€has€held€that€it€is€not€necessary€that€a€defendantÐ  œ Ðpersonally€agreed€to€commit€the€requisite€acts,€but€only€that€he€agreed€to€join€the€conspiracy.€Ð ì ˆ ÐòòSalinas€v.€United€Statesóó,€522€U.S.€52,€65€(1997).€€òòUnited€States€v.€Bennettóó,€44€F.3d€at€1374;Ð Ø t ÐòòUnited€States€v.€Kragnessóó,€830€F.2d€842€(8th€Cir.€1987).€Ð Ä `  Ðà  à3.€€A€person€may€be€liable€for€the€RICO€conspiracy€even€thought€he€was€incapable€ofÐ &  Ðcommitting€the€substantive€offense.€€òòSee€Salinas€v.€United€Statesóó,€522€U.S.€52,€64€(1997).Ð ®  Ðà  à4.€€For€purposes€of€a€RICO€prosecution€an€enterprise€may€only€be€comprised€of€theÐ t  Ðdefendants.€€òòUnited€States€v.€Naborsóó,€45€F.3d€238,€240€(8th€Cir.€1995).Ð `ü  Ðà  à5.€€An€explicit€limiting€instruction€must€be€given€if€evidence€of€acts€or€statements€by€anyÐ Â^  Ðco„conspirator€made€before€or€after€the€conspiracy€began€or€ended€has€been€admitted.€€òòSeeÐ ®J ÐUnited€States€v.€Snideróó,€720€F.2d€985,€989€(8th€Cir.€1983).Ð š6 ÐÔ& : Ôà@55!ìàò òCommittee€CommentsˆÐ ü˜ Ðà  àó óòòSeeóó€Model€Federal€Jury€Instructions,€Criminal€52„31,€32;€òòSalinas€v.€United€Statesóó,€522Ð ^ú ÐU.S.€52€(1997);€òòUnited€States€v.€Bennettóó,€44€F.3d€1364€(8th€Cir.€Ô':ü;÷Ô1995);€òòUnited€States€v.€Elliottóóò ò,Ð Jæ Ðó ó571€F.2d€880€(5th€Cir.€1978).Ð :Ö Ðà  àThe€RICO€conspiracy€statute€is€designed€to€facilitate€prosecution€of€multi„faceted,€highlyÐ œ8 Ðdiversified€criminal€activity€by€creating€a€substantive€offense€which€ties€together€the€diverseÐ ˆ$ Ðparties€and€crimes.€€In€order€to€be€convicted€of€a€RICO€conspiracy,€an€individual€must€have,€byÐ t Ðwords€or€actions,€€objectively€manifested€an€agreement€to€participate€in€the€affairs€of€theÐ `ü Ðenterprise.€€òòUnited€States€v.€Dardenóó,€70€F.3d€1507,€1518€(8th€Cir.€1995);€òòUnited€States€v.Ð Lè ÐBennettóó,€44€F.3d€at€1372;€see€òòUnited€States€v.€Boffaóó,€688€F.2d€919€(3d€Cir.€1982);€òòUnited€StatesÐ 8 Ô  Ðv.€Winteróó,€663€F.2d€1120€(1st€Cir.€1981).€€Conspiracy€to€commit€a€narcotics€violation€may€be€aÐ $!À! Ðproper€predicate€act€for€a€conspiracy€to€commit€RICO.€€òòUnited€States€v.€Dardenóó,€70€F.3d€1507,Ð "¬" Ð1524€(8th€Cir.€1995).€€Simple€possession€cannot€serve€as€a€predicate€act€under€the€RICO€statute.òò€Ð ü"˜# ÐId.óó€at€1525.Ð  è#„$ ÐÖ€ì¾ÖÓ €Óà@ ìàò òÔ% €¥ ÔÔ  Ô6.18.1962D.€€ð ðENTERPRISEðð€DEFINEDÔ €PyýÔó óˆÐ d ÐÌÓ€Óà  àAn€enterprise€includes€any€individual,€partnership,€corporation,€association,€or€other€legalÐ <Ø Ðentity,€in€any€union€or€group€of€individuals€associated€in€fact,€although€not€a€legal€entity.òò1óóÐ ž : Ðà  àThe€term€ð ðenterprise,ðð€as€used€in€these€instructions,€may€include€a€group€of€peopleÐ  œ Ðassociated€in€fact,€even€though€this€association€is€not€recognized€as€a€legal€entity.òò2óó€€A€group€orÐ b þ Ðassociation€of€people€can€be€an€enterprise€if€these€individuals€have€joined€together€for€theÐ Ä `  Ðpurpose€of€engaging€in€a€common€course€of€conduct.€€This€group€of€people,€in€addition€to€havingÐ &  Ða€common€purpose,€must€have€personnel€who€function€as€a€continuing€unit.€€This€group€ofÐ ˆ$  Ðpeople€does€not€have€to€be€a€legally€recognized€entity,€such€as€a€partnership€or€corporation.òò3óó€Ð ê†  ÐSuch€an€association€of€individuals€may€retain€its€status€as€an€enterprise€even€though€theÐ Lè  Ðmembership€of€the€association€changes€by€adding€or€losing€individuals€during€the€course€of€itsÐ ®J Ðexistence.Ð ¬ Ðà  àIf€you€find€that€this€was,€in€fact,€a€legal€entity€such€as€a€partnership,€corporation,€orÐ r Ðassociation,€then€you€may€find€that€an€enterprise€existed.òò4óóÐ Ôp Ðà  àThe€government€must€also€prove€that€the€association€had€a€structure€distinct€from€thatÐ 6Ò Ðnecessary€to€conduct€the€pattern€of€racketeering€activity.òò5óóÓ€ÓÓ €ÓÐ ˜4 ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ú–  Ðà  à1.€€The€first€paragraph€of€the€instruction€includes€the€entire€definition€of€enterpriseÐ \ø" Ðprovided€by€Congress€and€found€at€18€U.S.C.€ðð1961(4).Ð Hä# ÐÔ'œúgÔà  à2.€€òòUnited€States€v.€Kragnessóó,€830€F.2d€842€(8th€Cir.€1987)€(approved€jury€instruction€asÐ ª F% Ðto€definition€of€enterprise€and€RICO€drug€prosecution,€which€included€the€definition€of€the€termÐ –!2& Ðð ðenterpriseðð€as€including€any€group€of€individuals€associated€in€fact,€although€not€a€legal€entity).Ð ‚"' Ðà  à3.€€Associations,€in€fact,€may€include€legal€entities.€€òòSeeóó€18€U.S.C.€ðð€1961(4);€òòUnitedÐ ä#€) ÐStates€v.€Dardenóó,€70€F.3d€1507,€1541€(8òòthóó€Cir.€1995).€€Thus,€the€group€may€be€organized€for€aÐ Ð$l* Ðlegitimate€and€lawful€purpose€or€may€be€organized€for€an€unlawful€purpose.Ð ¼%X+ Ðà  à4.€€Courts€have€provided€broad€interpretation€as€to€the€term€ð ðlegal€entityðð€in€the€enterpriseÐ 'º - Ðrequirement.€€Courts€have€held€that€various€enterprise€categories€listed€in€the€RICO€statute€areÐ  (¦!. Ðillustrative€but€not€exhaustive.€€òòSee€United€States€v.€Aimoneóó,€715€F.2d€822€(3d€Cir.€1983).€€TheÐ ö(’"/ Ðenterprise€concept€can€encompass€a€combination€of€entities.€€òòSee,€e.g.,€United€States€v.€Stolfióó,€889Ð â)~#0 Ðâ âF.2d€378€(2d€Cir.€1989);€òòUnited€States€v.€Feldmanóó,€853€F.2d€648€(9th€Cir.€1988).Ð Î*j$1 Ðà  à5.€€The€Fourth€and€Eighth€Circuits€have€held€that€the€government€must€prove€that€theÐ d Ðâ âassociation€or€enterprise€exists€separate€and€apart€from€the€pattern€of€racketeering€in€which€itÐ Pì Ðengages.€€òòSee€United€States€v.€Leisureóó,€844€F.2d€1347€(8th€Cir.€1988);€òòUnited€States€v.€Lemmóó,Ð <Ø Ð680€F.2d€1193€(8th€Cir.€1982).Ð ( Ä ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ Š & Ðà  àòòSeeóó€2B€Kevin€F.€Ô'NŠ e ÔOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rý #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rG #Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŽ #Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÝ #Ô:€€CriminalÐ ì ˆ Ððð56.04€(5th€ed.€2000).Ð Ø t Ðà  àCourts€have€given€a€broad€reading€to€the€term€ð ðenterprise.ðð€€Congress€has€mandated€aÐ :Ö  Ðliberal€construction€of€the€RICO€statute€in€order€to€effectuate€its€remedial€purpose.€€Therefore,Ð &  Ðcourts€have€held€that€the€various€enterprise€categories€listed€in€the€RICO€statute€are€illustrativeÐ ®  Ðbut€not€exhaustive.€€òòUnited€States€v.€Aimoneóó,€715€F.2d€822€(3d€Cir.€1983).€€The€definition€of€theÐ þš  Ðterm€ð ðenterpriseðð€is€of€a€necessity,€a€shifting€one€given€the€fluid€nature€of€criminal€associations.€Ð ê†  ÐòòUnited€States€v.€Swiderskióó,€593€F.2d€1246€(D.C.€Cir.€1978).Ð Ör  Ðà  àA€RICO€enterprise€is€a€group€of€persons€associated€together€for€a€common€purpose€in€aÐ 8Ô  Ðcourse€of€conduct.€€òòUnited€States€v.€Turketteóó,€452€U.S.€576€(1981).€€A€RICO€enterprise€mustÐ $À Ðexhibit€three€basic€characteristics:€€(1)€a€common€or€shared€purpose;€(2)€some€continuity€ofÐ ¬ Ðstructure€and€personnel;€and€(3)€an€ascertainable€structure€distinct€from€that€in€a€pattern€ofÐ ü˜ Ðracketeering.€€òòUnited€States€v.€Kehoeóó,€310€F.3d€579,€586€(8òòthóó€Cir.€2002);€òòUnited€States€v.€Naborsóó,Ð è„ Ð45€F.3d€238€(8th€Cir.€1995);€òòsee€also€United€States€v.€Perholtzóó,€842€F.2d€343€(D.C.€Cir.€1988);Ð Ôp ÐòòUnited€States€v.€Mazzeióó,€700€F.2d€85€(2d€Cir.€1983).Ð À\ Ðà  àThe€enterprise€element€is€satisfied€upon€a€showing€that€the€entity€has€a€legal€existence.€Ð "¾ ÐòòSee,€e.g.,€United€States€v.€Kirkóó,€844€F.2d€660€(9th€Cir.€1988);€òòUnited€States€v.€Caubleóó,€706€F.2dÐ ª Ð1322€(5th€Cir.€1984).€€Proof€of€an€association€in€fact€enterprise€requires€proof€that€a€group€ofÐ ú– Ðpersons€associated€together€for€a€common€purpose€of€engaging€in€a€course€of€conduct.€€òòUnitedÐ æ‚ ÐStates€v.€Turketteóó,€452€U.S.€576€(1981).€€While€the€enterprise€in€existence€of€a€racketeeringÐ Òn Ðactivity€are€distinct€elements€of€a€RICO€charge,€the€proof€needed€to€establish€either€can€consist€ofÐ ¾Z Ðthe€same€evidence.€€òòUnited€States€v.€Turketteóó,€452€U.S.€576€(1981).€€However,€more€than€proofÐ ª F Ðof€a€pattern€of€racketeering€activity€is€necessary€to€establish€the€existence€of€an€enterprise.€€AnÐ –!2  Ðenterprise€must€have€an€existence€entirely€separate€and€independent€of€the€racketeering€activity.€Ð ‚"! ÐòòSee€Bennett€v.€Bergóó,€685€F.2d€1053€(8th€Cir.),€òòmodifiedóó,€710€F.2d€1361€(en€banc€1983).€€TheÐ n# " Ðgovernment€must€demonstrate€that€the€alleged€enterprise€functions€as€a€continuing€unit€has€anÐ Z$ö# Ðascertainable€structure€distinct€from€that€inherent€in€the€conduct€of€a€pattern€of€racketeeringÐ F%â$ Ðactivity€and€has€associates€who€have€a€common€or€shared€purpose.€€òòId.óó;€òòUnited€States€v.€Bledsoeóó,Ð 2&Î% Ð674€F.2d€647€(8th€Cir.€1982).Ð 'º & Ðà  àSeveral€circuits€have€refused€to€distinguish€between€legal€and€non„legal€entity€categories.€Ð €("( ÐòòSee,€e.g.óó,€òòUnited€States€v.€Perholtzóó,€842€F.2d€343€(D.C.€Cir.€1988);€òòMcCullough€v.€Suteróó,€757Ð l)#) ÐF.2d€142€(7th€Cir.€1985);€òòUnited€States€v.€Navarro„Ordasóó,€770€F.2d€959€(11th€Cir.€1985);€òòUnitedÐ X*ô#* ÐStates€v.€Aimoneóó,€715€F.2d€822€(3d€Cir.€1983);€òòsee€also€United€States€v.€Turketteóó,€452€U.S.€576Ð D+à$+ Ð(1981)€(rejects€claim€that€RICO€only€reaches€entities€performing€illegal€acts).Ð 0,Ì%, Ðà  àActions€brought€under€section€1962(a)€or€(b)€do€not€require€a€separate€RICO€defendantÐ d Ðand€enterprise.€€òòSee€Bennett€v.€Bergóó,€685€F.2d€1053,€òòmodifiedóó,€710€F.2d€1361€(en€banc€1983).€Ð Pì ÐHowever,€section€1962(c)€requires€the€person€liable€to€be€separate€from€the€enterprise€which€hasÐ <Ø Ðits€affairs€conducted€through€a€pattern€of€racketeering.€€òòAtlas€Pile€Driving€Co.€v.€DiCon€Fin.€Co.óó,Ð ( Ä Ð886€F.2d€986€(8th€Cir.€1989).Ð   ° ÐÖ€ì¿ÖÓ €Óà@R R ìàò òÔ% €¨ ÔÔ  Ô6.18.1962E.€€ð ðCONDUCT/PARTICIPATIONðð€DEFINEDÔ €aiÔó óˆÐ d ÐÌÓ€Óà  àA€person€conducts€or€participates€in€the€conduct€of€the€affairs€of€an€enterprise€if€thatÐ <Ø Ðperson€uses€[his][her]€position€in,€or€association€withòò1óó€the€enterprise,€to€[participate€in€theÐ ž : Ðoperation€or€management€of€the€enterprise€itself]òò€€2óó€[to€perform€acts€which€are€involved€in€someÐ  œ Ðway€in€the€operation€or€management€of€the€enterprise]òò3óó€directly€or€indirectly,€or€if€the€personÐ b þ Ðcauses€another€to€do€so.€[A€person€participates€in€the€operation€of€the€affairs€of€the€enterprise€ifÐ Ä `  Ð[he][she]€has€some€part€in€directing€those€affairs.]òò4óó€[An€enterprise€may€be€€ð ðoperatedðð€not€just€byÐ &  Ðupper€management€but€also€by€lower€rung€participants€in€the€enterprise€who€are€under€theÐ ˆ$  Ðdirection€of€upper€management.]òò5€óóÐ ê†  Ðà  àIn€order€to€have€conducted€or€participated€in€the€conduct€of€the€affairs€of€an€enterprise,€aÐ Lè  Ðperson€need€not€have€participated€in€all€the€activity€alleged€in€[Count(s)€____]€of€the€indictment.Ó€ÓÓ €ÓÐ ®J ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€There€must€be€a€distinction€between€those€who€merely€participate€in€the€enterprise€andÐ r Ðthose€who€are€liable€for€the€operation€or€management€of€the€enterprise.€€See€òòUnited€States€v.Ð ^ú ÐDardenóó,€Ô'&$Ô70€F.3d€at€1543.€€Liability€under€the€statute,€however,€€is€not€limited€to€those€who€areÐ Jæ Ðemployed€by€the€enterprise,€but€may€also€extend€to€those€outside€the€enterprise,€who€areÐ 6Ò Ðassociated€with€the€enterprise€and€who€exert€control€over€it.€€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€atÐ "¾ Ð184.€€The€committee€recognizes€that€evidence€presented€at€a€specific€€trial€may€raise€issuesÐ ª Ðregarding€upper€and€lower€rung€management.€.Ð ú– Ðà  à2.€€Liability€is€limited€and€excludes€complete€outsiders€who€do€not€participate€in€theÐ \ø  Ðconduct€of€the€enterpriseððs€affairs,€but€rather€their€own€affairs.€€òòReves€v.€Ernst€&€Youngóó,€507€U.S.Ð Hä! Ðat€185.Ð 4 Ð" Ðà  à3.€€The€Supreme€Court€in€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€at€185,€specifically€definesÐ –!2$ Ðð ðto€conduct€or€participate,€directly€or€indirectly,€in€the€conduct€of€such€enterpriseððs€affairsðð,€asÐ ‚"% Ðð ðone€must€participate€in€the€operation€or€management€of€the€enterprise€itself.ðð€€The€SeventhÐ n# & ÐCiÔ_ÔrcuitÔ_Ô€Federal€Jury€Instructions:€€Criminal€at€315„18€(1999)€Conduct„Definition,€definesÐ Z$ö' Ðconduct€or€participate,€directly€or€indirectly,€in€the€conduct€of€such€enterpriseððs€affairs€as€ð ðtoÐ F%â( Ðperform€acts€which€are€involved€in€some€way€in€the€operation€or€management€of€the€enterpriseðð.€Ð 2&Î) ÐThe€Committee€takes€no€position€as€to€whether€the€Supreme€Court€language€is€mandatory,€orÐ 'º * Ðwhether€the€Seventh€Circuit€language€is€sufficiently€analogous.Ð  (¦!+ Ðà  à4.€€The€Supreme€Court€in€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€at€177„79,€goes€into€detailÐ l)#- Ðexplaining€ascertaining€the€meaning€of€the€terms€ð ðconductðð€and€ð ðparticipation.ðð€€It€found€byÐ X*ô#. Ðfinding€that€in€order€to€participate,€directly€or€indirectly,€in€the€conduct€of€such€enterpriseððsÐ D+à$/ Ðaffairs,€ð ðone€must€have€some€part€in€directing€those€affairs.ðð€€The€Committee€believes€that€thisÐ 0,Ì%0 Ðdefinition€may€be€helpful€in€certain€specific€cases,€to€assist€the€jury,€and€in€such€casesÐ d Ðrecommends€the€inclusion€of€the€definition.Ð Pì Ðà  à5.€€The€committee€recognizes€that€evidence€presented€at€a€specific€trial€may€raise€issuesÐ ²N Ðregarding€upper€and€lower€rung€management.€€In€such€cases,€the€committee€recommends€that€theÐ ž : Ðbracketed€language€be€used.€€The€Supreme€Court,€while€discussing€the€operation€andÐ Š & Ðmanagement€test,€did€not€decide€the€extent€the€ð ðladder€of€operationðð€could€apply.€€òòReves€v.€ErnstÐ v  Ð&€Youngóó,€507€U.S.€at€185€n.9.Ð b þ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ä `  Ðà  àòòSeeóó€2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rã1#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r-2#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rt2#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÃ2#ÔÔ'NÄ ^1Ô:€€CriminalÐ &  Ððð56.08€(5th€ed.€2000);€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€170€(1993);€òòUnited€States€v.€Dardenóó,Ð ®  Ð70€F.3d€1507€(8th€Cir.€1996).Ð þš  Ðà  àAn€enterprise€may€be€ð ðoperatedðð€or€ð ðmanagedðð€by€others€ð ðassociated€withðð€the€enterpriseÐ `ü  Ðwho€exert€control€of€the€enterprise.€€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€170,€184„85€(1993).€€AÐ Lè  Ðperson€may€also€be€liable€under€ðð€1962(c)€even€though€he€had€no€control€of€the€enterprise€butÐ 8Ô  Ðparticipated€or€operated€in€the€conduct€of€the€enterprise.€€òòUnited€States€v.€Dardenóó,€70€F.3d€1507,Ð $À Ð1518€(8th€Cir.€1995).€€The€government€need€only€prove€that€the€defendant€had€some€part€in€theÐ ¬ Ðòòdirectionóó,€not€control€of€the€enterprise€affairs.€€òòId.óó€(citing€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€atÐ ü˜ Ð184„85).€€The€Eighth€Circuit€has€held€that€section€1962(c)€does€not€penalize€all€who€areÐ è„ Ðemployed€by€or€associated€with€a€RICO€enterprise,€but€rather€only€those,€who€by€virtue€of€theirÐ Ôp Ðassociation€or€employment€play€a€part€in€directing€the€enterpriseððs€affairs.€€òòHandeen€v.€Lemaireóó,Ð À\ Ð112€F.3d€1339,€1347€(8th€Cir.€1997).Ð ¬H Ðà  àHowever,€as€noted€by€the€Supreme€Court€in€òòRevesóó,€liability€under€section€1962€may€notÐ ª Ðbe€limited€to€upper€management,€but€may€also€be€extended€to€lower€rung€participants€who€areÐ ú– Ðunder€the€direction€of€upper€management.€€òòReves€v.€Ernst€&€Youngóó,€507€U.S.€at€184.Ð  æ‚ ÐÖ€ìÀÖÓ €Óà@¯ ¯ ìàò òÔ% €ª ÔÔ  Ô6.18.1962F.€€RICO€„€PATTERN€OF€RACKETEERINGÔ .€":Ôó óˆÐ d ÐÌÓ€Óà  àIn€order€to€establish€a€pattern€of€racketeering€activity,€the€government€must€prove€beyondÐ <Ø Ða€reasonable€doubt€that:€€(1)€at€least€two€acts€of€racketeering,€(list€acts€as€detailed€in€theÐ ž : Ðindictment€or€which€are€defined€under€18€U.S.C.€ðð€1961(1)€for€which€there€is€sufficientÐ  œ Ðevidence)òò1óó€were€committed€within€ten€years€of€each€other;òò2óó€(2)€the€racketeering€acts€[had€theÐ b þ Ðsame€or€similar€purpose,€results,€participants,€victims,€or€methods€of€commission,]€or€[areÐ Ä `  Ðinterrelated€by€distinguishing€characteristics€and€are€not€isolated€events];òò3€óó€and€(3)€theÐ &  Ðracketeering€acts€themselves€amount€to€or€otherwise€constitute€a€threat€of€continued€activity.òò4€Ð ˆ$  ÐóóContinued€activity€is€sufficiently€established€when€[predicate€acts€can€be€attributed€to€aÐ ê†  Ðdefendant€operating€as€part€of€a€long„term€association€that€exists€for€criminal€purposes]Ð Lè  Ð[racketeering€acts€were€a€regular€way€of€conducting€the€defendantððs€ongoing€legitimateÐ ®J Ðbusiness].òò5óóÓ€ÓÓ €ÓÐ ¬ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€òòSeeóó€18€U.S.C.€ðð€1961(1)€which€enumerates€acts€which€may€constitute€racketeeringÐ Ôp Ðactivity.Ð À\ ÐÔ'œrk?Ôà  à2.€€18€U.S.C.€ðð€1961(5);òò€seeóó€òòThornton€v.€Bank€of€Joplinóó,€4€F.3d€650,€652€(8th€Cir.€1993)Ð "¾ Ð(statute€defines€pattern€of€racketeering€activity€as€at€least€two€acts€of€racketeering,€one€of€whichÐ ª Ðoccurred€after€RICO€was€enacted,€and€the€last€of€which€occurred€within€ten€years€after€theÐ ú– Ðcommission€of€a€prior€act€of€racketeering€activity.)Ð æ‚  Ðà  à3.€€òòSeeóó€òòSedima,€S.P.R.L.€v.€Imrex€Coóó.,€473€U.S.€479€(1985).Ð Hä" Ðà  à4.€€òòSedima,€S.P.R.L.€v.€Imrex€Co.óó,€473€U.S.€479€(1985);€òòFeinstein€v.€Resolution€TrustÐ ª F$ ÐCorp.óó,€942€F.2d€34€(1st€Cir.€1991)€(describes€threat€approach).Ð –!2% Ðà  à5.€€òòSee€H.J.,€Inc.€v.€Northwestern€Bell€Tel.€Co.óó,€492€U.S.€229€(1989);€òòUnited€States€v.óóÐ ø"”' ÐòòFairchildóó,€122€F.3d€605,€611„12€(8th€Cir.€1997).€€Continuity€is€both€a€closed€and€open€endedÐ ä#€( Ðconcept,€referring€either€to€a€closed€period€of€repeated€conduct,€or€to€past€conduct€that€by€itsÐ Ð$l) Ðnature€projects€into€the€future€with€a€threat€of€repetition.€€Whether€predicates€proved€or€establishÐ ¼%X* Ða€threat€of€continued€racketeering€acÔ_ÔtivityÔ_Ô€depends€on€the€specific€facts€of€each€case.€€Use€ofÐ ¨&D + Ðbracketed€language,€is€dependent€on€whether€the€government€proves€a€closed€or€open€threat.Ð ”'0!, ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ö(’". Ðà  àòòSeeóó€2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÇF#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rG#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rXG#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r§G#ÔÔ'Nö(BFÔ:€€CriminalÐ X*ô#0 Ððð56.07€(5th€ed.€2000);€òòH.J.,€Inc.€v.€Northwestern€Bell€Telephone€Co.óó,€492€U.S.€229€(1989);Ð D+à$1 ÐòòSedima,€S.P.R.L.€v.€Imrex€Co.,€Inc.óó,€473€U.S.€479€(1985).Ð 0,Ì%2 Ðà  àRICO€requires€the€commission€of€two€predicate€acts€constituting€a€pattern.€€In€construingÐ d Ðthe€pattern€requirement,€the€Supreme€Court€has€held€that€in€order€to€prove€a€pattern€ofÐ Pì Ðracketeering€activity,€the€prosecutor€must€show€both€relationship€and€continuity€as€separateÐ <Ø Ðelements.€€òòH.J.,€Inc.€v.€Northwestern€Bell€Telephone€Co.óó,€492€U.S.€229€(1989).€€These€elementsÐ ( Ä Ðmay,€however,€overlap.€€òòId.óó€€The€Court€has€held€that€criminal€conduct€forms€a€pattern€if€itÐ  ° Ðembraces€criminal€acts€that€have€the€same€or€similar€€purposes,€results,€participants,€victims,€orÐ  œ Ðmethods€of€commission,€or€otherwise€are€interrelated€by€distinguishing€characteristics€and€areÐ ì ˆ Ðnot€isolated€events.€€òòId.óóÐ Ø t Ðà  àContinuity€is€proven€if€the€government€can€show€actual€continuity€during€a€past,€closeÐ :Ö  Ðperiod€of€repeated€conduct€or€the€threat€of€continuity€of€racketeering€activity€in€the€future.€€òòId.óó€Ð &  ÐòòSee€also€United€HealthCare€Corp.€v.€American€Trade€Ins.€Co.,€Ltd.óó,€88€F.3d€563,€571„72€(8thÐ ®  ÐCir.€1996).€€A€pattern€consists€of€continuity€plus€relationship.€€òòSee€Sedima€S.P.R.L.€v.€Imrex€Co.óó,Ð þš  Ð473€U.S.€479€(1985);€òòDiamonds€Plus,€Inc.€v.€Kolberóó,€960€F.2d€765€(8th€Cir.€1992);€òòAtlas€PileÐ ê†  ÐDriving€Co.€v.€DiCon€Financial€Co.óó,€886€F.2d€986€(8th€Cir.€1989)€(listing€pattern€factors,Ð Ör  Ðincluding€length€of€time,€number€of€episodes€and€victims,€and€complexity€of€scheme).€€òòSee€alsoÐ Â^  ÐPrimary€Care€Investors,€Seven,€Inc.€v.€PHP€Healthcare€Corp.óó,€986€F.2d€1208€(8th€Cir.€1993)Ð ®J Ð(continuity€over€a€closed€period€is€not€met€when€predicate€act€extends€less€than€one€year);Ð š6 ÐòòUni*Quality,€Inc.€v.€Infotronx,€Inc.óó,€974€F.2d€918€(7th€Cir.€1992)€(seven€to€eight€monthsÐ †" Ðinsufficient).€€Continuity€over€a€closed€period€is€generally€proven€by€a€showing€of€a€series€ofÐ r Ðrelated€predicate€acts€extending€over€a€period€of€time.€€Continuity€generally€is€not€met€when€theÐ ^ú Ðpredicate€acts€extend€less€than€a€year.€€òòSee€Primary€Care€Investors,€Seven,€Inc.€v.€PHPÐ Jæ ÐHealthcare€Corp.óó,€986€F.2d€at€1215;€òòAldridge€v.€Lily„Tulip,€Inc.€Salary€Requirement€PlanÐ 6Ò ÐBenefits€Committeeóó,€953€F.2d€587,€593€(11th€Cir.€1992)€(six€months€to€a€year€insufficient).Ð  "¾ ÐÖ€ìÁÖÓ €Óà@ ìàò òÔ% €¬ ÔÔ  Ô6.18.1962G.€€SAMPLE€VERDICT€FORM€„€RICO€(18€U.S.C.€ðð€1962(c))Ô ce…SÔó óˆÐ d ÐÌÓ€Óà  àWe,€the€jury,€find€Defendant€(name)€______________________Ð <Ø Ðà  àà ` àà ¸ àà  àà h àà À àà  àguilty/not€guiltyÐ ž : Ðof€the€crime€of€participating€in€racketeering€enterprise€[as€charged€in€Count€__€of€the€indictment]Ð  œ Ð[under€instruction€No.€___€]Ð b þ Ðà  àIf€you€find€the€defendant€guilty€of€[Count€___]€[under€Instruction€No.€___]€beyond€aÐ Ä `  Ðreasonable€doubt€check€the€predicate€acts€you€unanimously€found€to€have€been€proven€withÐ &  Ðrespect€to€Defendant€(name)€_________________________.Ð ˆ$  Ðà  àà ` àRacketeering€Act€Number€1€(Narcotics€conspiracy€1989„1991)à x à__________Ð ê†  Ðà  àà ` àRacketeering€Act€Number€2€(Murder€of€Jane€Doe)à È àà  àà x à__________Ð Lè  Ðà  àà ` àRacketeering€Act€Number€3€(Attempted€Possession€of€Ephedrine)à x à__________Ð ®J Ðà  àà ` àRacketeering€Act€Number€4€(Narcotics€Conspiracy€1996„1998)à x à__________Ð ¬ Ðà  àà ` àà ¸ àà  àà h àà À àà  à__________________________________Ð r Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ Ôp Ð________________Ð 6Ò ÐDateÓ€ÓÓ €ÓÐ ˜4 ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€UseˆÐ ú–  Ðó óà  à1.€€òòSee€óóInstructions€3.09€and€3.12,€òòsupra.€€óóIf€the€elements€instructions€does€not€refer€to€aÐ \ø" ÐÔ':ú!ZÔcount€in€the€indictment,€the€verdict€form€should€refer€to€the€elements€instruction.Ð Hä# ÐÔ& & Ôà@55!ìàò òCommittee€CommentsˆÐ ª F% Ðà  àó óThe€jury€must€be€unanimous€that€the€predicate€acts€have€been€committed€and€theÐ  "¨' Ðdefendant€committed€at€least€two€of€the€predicate€acts.€€It€is€recommended€that€the€instructionsÐ ø"”( Ðrequire€the€jury€Ô'&ª k[Ôto€be€unanimous€as€to€which€acts€have€specifically€been€committed€by€theÐ ä#€) Ðdefendant.€€òòUnited€States€v.€Flynnóó,€87€F.3d€996€(8th€Cir.€1996);€òòUnited€States€v.€Kragnessóó,€830Ð Ð$l* ÐF.2d€842€(8th€Cir.€1987);€òòsee€also€United€States€v.€Hamóó,€58€F.3d€78€(4th€Cir.€1995).Ð ¼%X+ Ðà  àDouble€jeopardy€may€not€attach€and€retrial€may€not€be€barred€should€a€jury€fail€to€check€aÐ 'º - Ðpredicate€act.€€òòSee€United€States€v.€Pettyóó,€62€F.3d€265,€266„67€(8th€Cir.€1995);€òòUnited€States€v.Ð  (¦!. ÐHamóó,€58€F.3d€78,€85€(4th€Cir.€1995).€€A€juryððs€failure€to€decide€an€issue€will€be€treated€as€anÐ ö(’"/ Ðimplied€acquittal€only€where€the€juryððs€verdict€necessarily€resolves€an€issue€in€the€defendantððsÐ â)~#0 Ðfavor.€€òòSee€Schiro€v.€Farleyóó,€510€U.S.€222,€235€(1994).Ð  Î*j$1 ÐÖ€ìÂÖÓ €Óà@   ìàò òÔ% €® ÔÔ  Ô6.18.2113A.€€BANK€ROBBERY€(18€U.S.C.€ðð€2113(a))€(First€Paragraph)Ô ce—`Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€bank€robbery,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€three€elements,Ð <Ø Ðwhich€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€[took]€[attempted€to€take]€(describe€property,€money,€etc.)€from€theÐ  œ Ð[person]€[presence]€of€[another]€[(name€of€person)]òò1óó,€while€that€(describe€property,€money,€etc.)Ð b þ Ðwas€in€the€care€or€custody€of€(name€of€bank,€etc.òò2óó).€Ð Ä `  Ðà  àòòTwoóó,€such€[taking]€[attempted€taking]€was€by€[force€and€violence]€[intimidation]òò3óó;€and€Ð &  Ðà  àòòThreeóó,€the€deposits€of€(name€of€bank,€etc.)€were€then€insured€by€(name€insuring€agency,Ð ˆ$  Ðe.g.,€the€FDIC).òò4óóÐ ê†  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Lè  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€In€certain€fact€situations€the€money€may€be€taken€from€the€presence€of€literallyÐ ¬ Ðeveryone€in€the€bank,€for€example€when€the€defendant€has€everyone€including€the€bankÐ ü˜ Ðemployees€lie€face€on€Ô'&®ídÔthe€floor€in€middle€of€the€bank€while€he€enters€all€the€tellers'€drawers.€€InÐ è„ Ðsuch€a€fact€situation,€the€alternative€"taken€from€the€presence€of€òòanotheróó"€should€be€used€ratherÐ Ôp Ðthan€inserting€the€names€of€the€persons.€Ð À\ Ðà  à2.€€The€statute€also€applies€to€robbery€of€any€credit€union€or€savings€and€loan€association.€Ð "¾ ÐAppropriate€terms€should€be€used.€€The€terms€"bank,"€"savings€and€loan€association"€and€"creditÐ ª Ðunion"€are€defined€in€sections€2113(f),€(g)€and€(h).€€Ð ú– Ðà  à3.€€"Intimidation"€may€be€defined€in€a€proper€case.€€A€concise€definition€of€"intimidation"Ð \ø  Ðis€as€follows:€€Ð Hä! Ðà8  àIntimidation€means€doing€something€that€would€make€an€ordinary€person€fearÐ ª F# Ðbodily€harm.€Ð–!2$Ð Ð  ÐNinth€Cir.€Crim.€Jury€Instr.€8.35.1€(1997).€€òòSee€alsoóó€2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r*j#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rtj#ÔÐ ø"”& ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÏj#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rk#Ô:€€Criminal€ðð57.10€(5th€ed.€2000).€€The€meaning€of€"intimidation"Ð ä#€' Ðis€thoroughly€treated€in€òòUnited€States€v.€Brownóó,€412€F.2d€381€(8th€Cir.€1969).€Ð Ð$l( Ðà  à4.€€Most€institutions€are€covered€by€virtue€of€the€insurance€of€their€deposits€by€someÐ 2&Î* Ðfederal€agency.€€If€the€institution€is€one€which€is€covered€by€the€statute€for€some€other€reason,Ð 'º + ÐElement€òòThreeóó€should€be€modified€accordingly.€Ð  (¦!, Ðà  àAbsent€a€stipulation€between€the€government€and€the€defendant,€this€instruction€mustÐ l)#. Ðinclude€the€element€that€the€affected€financial€institution€was€of€the€nature€covered€by€the€statute.€Ð X*ô#/ ÐòòSeeóó€òòUnited€States€v.€Gliddenóó,€688€F.2d€58€(8th€Cir.€1982);€òòUnited€States€v.€Brownóó,€616€F.2d€844Ð D+à$0 Ð(5th€Cir.€1980).€Ð 0,Ì%1 ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€Seventh€Circuit€Federal€Jury€Instructions:€€Criminal€at€325€(1999).Ô'NdoÔÐ  Æb ÐÓ €ÓÖ€ìÃÖà@  ìàò òÔ% €± ÔÔ  Ô6.18.2113B.€€BANK€ROBBERY€(18€U.S.C.€ðð€2113(d))Ô cepÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€bank€robbery,€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€four€elements,Ð <Ø Ðwhich€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€[took]€[attempted€to€take]€(describe€property,€money,€etc.)€from€theÐ  œ Ð[person]€[presence]€of€[another]€[(name€of€person)],òò1óó€while€that€(describe€property,€money,€etc.)Ð b þ Ðwas€in€the€care€or€custody€of€(name€of€bank,€etc.òò2óó),€Ð Ä `  Ðà  àòòTwoóó,€such€[taking]€[attempted€taking]€was€by€[force€and€violence]€[intimidation];€Ð &  Ðà  àòòThreeóó,€the€defendant€[assaulted€(name€of€victim)]€[put€the€life€of€(name€of€victim)€inÐ ˆ$  Ðjeopardy]òò3óó€by€use€of€a€dangerous€[weapon]€[device]òò4óó€while€[taking]€[attempting€to€take]€(describeÐ ê†  Ðproperty,€money,€etc.);€and€Ð Lè  Ðà  àòòFouróó,€the€deposits€of€(name€of€bank,€etc.)€were€then€insured€by€(name€insuring€agency,Ð ®J Ðe.g.,€the€FDIC).òò5óó€Ð ¬ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ r ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ôp Ðà  à1.€€In€certain€fact€situations€the€money€may€be€taken€from€the€presence€of€literallyÐ 6Ò Ðeveryone€in€the€bank,€for€example€when€the€defendant€has€everyone€including€the€bankÐ "¾ Ðemployees€lie€face€on€Ô'&ÔuÔthe€floor€in€middle€of€the€bank€while€he€enters€all€the€tellers'€drawers.€€InÐ ª Ðsuch€a€fact€situation,€the€alternative€"taken€from€the€presence€of€òòanotheróó"€should€be€used€ratherÐ ú– Ðthan€inserting€the€names€of€the€persons.€Ð æ‚  Ðà  à2.€€The€statute€also€applies€to€robbery€of€any€credit€union€or€savings€and€loan€association.€Ð Hä" ÐAppropriate€terms€should€be€used.€€The€terms€"bank,"€"savings€and€loan€association"€and€"creditÐ 4 Ð# Ðunion"€are€defined€in€sections€2113(f),€(g)€and€(h).€€Ð  !¼$ Ðà  à3.€€In€the€ordinary€case€where€the€life€of€the€victim€was€actually€put€in€jeopardy€by€the€useÐ ‚"& Ðof€a€dangerous€weapon€such€as€a€loaded€gun,€definitions€of€"assault"€and€"put€life€in€jeopardy"Ð n# ' Ðsuch€as€those€that€appear€2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rVz#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r z#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rçz#ÔÐ Z$ö( ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rJ{#Ô:€€Criminal€ðððð57.07„.08€(5th€ed.€2000)€would€be€appropriate.€Ð F%â) Ðà  àWhere€the€weapon€was€not€recovered€and€there€is€no€evidence€whether€it€was€operable€orÐ ¨&D + Ðnot,€the€jury€may€infer€that€the€weapon€was€loaded€and€that€the€victim's€life€was€placed€inÐ ”'0!, Ðjeopardy.€€òòMorrow€v.€United€Statesóó,€408€F.2d€1390,€1391€(8th€Cir.€1969).€€òòSee€alsoóó€òòUnited€StatesÐ €("- Ðv.€Terryóó,€760€F.2d€939,€942€(9th€Cir.€1985);€òòUnited€States€v.€Wardyóó,€777€F.2d€101,€105-06€(2dÐ l)#. Ðâ âCir.€1985).Ð X*ô#/ Ðà  àWhere€the€weapon€is€proved€to€be€inoperable,€it€can€still€be€dangerous.€€òòMcLaughlin€v.Ð d Ðâ âUnited€Statesóó,€476€U.S.€16€(1986);€òòUnited€States€v.€Yorkóó,€830€F.2d€885,€891€(8th€Cir.€1987).€Ð Pì ÐThese€and€subsequent€opinions€should€be€consulted€in€drafting€definitions€of€"assault"€and€"putÐ <Ø Ðlife€in€jeopardy"€in€this€situation.€€The€Committee€has€not€formulated€definitions€to€cover€thisÐ ( Ä Ðsituation.€Ð  ° Ðà  à4.€€An€unloaded€gun€is€a€dangerous€weapon€or€device€within€the€meaning€of€the€statute.€Ð v  ÐòòMcLaughlin€v.€United€Statesóó,€476€U.S.€at€6.€€The€Court€held:€Ð b þ Ðà0  àThree€reasons,€each€independently€sufficient,€support€the€conclusion€that€an€unloaded€gunÐ Ä `  Ðis€a€"dangerous€weapon."€€First,€a€gun€is€an€article€that€is€typically€and€characteristicallyÐ °L  Ðdangerous;€the€use€for€which€it€is€manufactured€and€sold€is€a€dangerous€one,€and€the€lawÐ œ8  Ðreasonably€may€presume€that€such€an€article€is€always€dangerous€even€though€it€may€notÐ ˆ$  Ðbe€armed€at€a€particular€time€or€place.€€In€addition,€the€display€of€a€gun€instills€fear€in€theÐ t  Ðaverage€citizen;€as€a€consequence,€it€creates€an€immediate€danger€that€a€violent€responseÐ `ü  Ðwill€ensue.€€Finally,€a€gun€can€cause€harm€when€used€as€a€bludgeon.€ÐLè (#(# ÐThe€Court€noted€that€Congress€regarded€incitement€of€fear€as€sufficient€to€characterize€anÐ ®J Ðapparently€dangerous€article€(such€as€a€wooden€gun)€as€"dangerous"€within€the€meaning€of€theÐ š6 Ðstatute.€Ð †" Ðà  àThe€Eighth€Circuit€has€followed€òòMcLaughlinóó€to€hold€that€an€inoperable€gun€is€aÐ è„ Ð"dangerous€weapon."€€òòUnited€States€v.€Yorkóó,€830€F.2d€at€891.€€Prior€to€òòMcLaughlinóó,€the€EighthÐ Ôp ÐCircuit€used€an€"objective"€standard€to€determine€what€constituted€a€dangerous€or€deadlyÐ À\ Ðweapon.€€òòSeeóó€òòMorrow€v.€United€Statesóó,€408€F.2d€at€1391.€Ð ¬H Ðà  àThe€phrase€"by€use€of€a€dangerous€weapon€or€device"€modifies€both€the€"assault"Ð ª Ðprovision€and€the€"putting€in€jeopardy"€provision€of€section€2113(d).€€òòSimpson€v.€United€Statesóó,Ð ú– Ð435€U.S.€6,€11€(1978).€€Ð æ‚ Ðà  à5.€€Most€institutions€are€covered€by€virtue€of€the€insurance€of€their€deposits€by€a€federalÐ Hä Ðagency.€€If€the€institution€is€one€which€is€covered€by€the€statute€for€some€oÔ_ÔtherÔ_Ô€reason,€ElementÐ 4 Ð ÐòòFouróó€of€the€instruction€should€be€modified€accordingly.€Ð  !¼  Ðà  àAbsent€a€stipulation€between€the€government€and€the€defendant,€this€instruction€mustÐ ‚"" Ðinclude€the€element€that€the€affected€financial€institution€was€of€the€nature€covered€by€the€statute.€Ð n# # ÐòòSeeóó€òòUnited€States€v.€Gliddenóó,€688€F.2d€58€(8th€Cir.€1982);€òòUnited€States€v.€Brownóó,€616€F.2d€844Ð Z$ö$ Ð(5th€Cir.€1980).€Ð F%â% ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¨&D ' Ðà  àòòSeeóó€Seventh€Circuit€Federal€Jury€Instructions:€€Criminal€at€325€(1999).€Ô'N¨&±ŠÔÐ   (¦!) ÐÖ€!ìÄÖÓ €Óà@ôô ìàò òÔ% €³ ÔÔ  Ô6.18.2119A.€€CARJACKING€(No€Serious€Bodily€Injury€or€Death)€ˆÐ d Ðà@CCìà(18€U.S.C.€ðð€2119(1))Ô àgÊ‹Ôó ó€ò òòò1óóó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€carjacking€has€four€elements,€which€are:Ð , È Ðà  àòòOneóó,€the€defendant,€[took]€[attempted€to€take]€a€(describe€the€motor€vehicle,€òòe.g.óó,€1998Ð Ž * ÐFord€Explorer,€VIN€#000000000000)€from€the€[person]€[presence€of€another];Ð ð Œ Ðà  àòòTwoóó,€the€defendant€did€so€by€means€of€[force€and€violence]€[intimidation];Ð R î  Ðà  àòòThreeóó,€the€(describe€motor€vehicle)€had€been€[transported]€[shipped]€[received]€inÐ ´P  Ð[interstate]€[foreign]€commerce;Ð ²  Ðà  àòòFouróó,€at€or€during€the€time€the€defendant€[took]€[attempted€to€take]€(describe€the€motorÐ x  Ðvehicle)€(he)€(she)€intended€to€cause€death€or€serious€bodily€injuryòò2óó.€€Ð Úv  Ðà  àð ðSerious€bodily€injuryðð€means€an€injury€that€involves€[a€substantial€risk€of€death]Ð <Ø  Ð[extreme€physical€pain]€[long€term€and€obvious€disfigurement]€[the€long„term€loss€or€impairmentÐ ž: Ðof€a€function€of€a€bodily€member€or€organ]€[the€long€term€loss€or€impairment€of€a€mentalÐ œ Ðfunction].Ó€ÓÓ €ÓÐ bþ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ä` Ðà  à1.€€If€ð ðserious€bodily€injuryðð€resulted€from€the€commission€of€the€offense,€InstructionÐ & Ð6.18.2119B€should€be€used.€€If€death€resulted€from€the€commission€of€the€offense,€InstructionÐ ® ÐÔ'&Ä{‘Ô6.18.2119C€should€be€used.€€The€United€States€Supreme€Court€has€held€that€the€enhancementsÐ þš Ðset€out€in€the€statute€which€increase€penalties€for€ð ðserious€bodily€injuryðð€and€ð ðdeathðð€are,Ð ê†  Ðð ðdistinct€elements,€each€of€which€must€be€charged€by€indictment,€proven€beyond€a€reasonableÐ Ör! Ðdoubt,€and€submitted€to€a€jury€for€its€verdict.ðð€€òòJones€v.€United€Statesóó,€526€U.S.€227€(1999).€Ð Â^" Ðà  à2.€€The€statute€uses€the€term€ð ðharmðð€in€some€places€and€ð ðinjuryðð€in€others,€apparentlyÐ $!À$ Ðinterchangeably.€€A€conditional€intent€to€kill€or€cause€serious€bodily€injury€is€sufficient€toÐ "¬% Ðestablish€the€intent€requirement€under€the€statute.€€ð ðThe€intent€requirement€of€section€2119€isÐ ü"˜& Ðsatisfied€when€the€Government€proves€that€at€the€moment€the€defendant€demanded€or€tookÐ è#„' Ðcontrol€over€the€driverððs€automobile€the€defendant€possessed€the€intent€to€seriously€harm€or€killÐ Ô$p( Ðthe€driver€if€necessary€to€steal€the€car€.€.€.ðð€€òòHolloway€v.€United€StÔ_ÔatesÔ_Ôóó,€526€U.S.€1€(1999).€€Ð À%\) ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ "'¾ + Ðà  àThe€intent€of€Congress€regarding€the€intended€scope€and€purpose€of€the€original€1992Ð „( "- Ðversion€of€the€carjacking€statute€can€be€found€in€section€101(b)€of€Pub.€L.€102„519.€€The€statuteÐ p) #. Ðhas€been€Ô'&"'—Ôsubsequently€amended€by€the€Violent€Crime€Control€and€Law€Enforcement€Act€ofÐ \*ø#/ Ð1994,€ðð€60003(a)(14),€108€Stat.€1970,€and€the€Carjacking€Correction€Act€of€1996,€ðð€2,€110€Stat.Ð H+ä$0 Ð3020.Ð 4,Ð%1 Ðà  àGuidance€in€interpretation€of€section€2119€may€be€obtained€by€reference€to€similarÐ d Ðstatutes€since€section€2119€tracks€the€language€used€in€other€federal€robbery€statutes€(18€U.S.C.Ð Pì Ððððð€2111,€2113€and€2118).€€H.R.€Rep.€No.€851,€102d€Cong.€2d€Sess.,€pt.€1,€at€17€(1992),€U.S.Ð <Ø ÐCode€Cong.€&€Admin.€News€1992,€p.€2834.Ð ( Ä Ðà  àThe€term€ð ðmotor€vehicleðð€means€a€completely€assembled€automotive€vehicle€of€someÐ Š & Ðsort.€€òòUnited€States€v.€Johnsonóó,€56€F.3d€947,€957€(8òòthóó€Cir.€1995).Ð v  Ðà  à"Intimidation"€has€been€defined€under€the€bank€robbery€statute€(18€U.S.C.€ðð€2113)€asÐ Ø t Ðconduct€reasonably€calculated€to€put€another€in€fear;€under€this€test,€subjective€courageousness€orÐ Ä `  Ðtimidity€of€the€victim€is€irrelevant;€the€acts€of€the€defendant€must€constitute€an€intimidation€to€anÐ °L  Ðordinary,€reasonable€person.€€òòUnited€States€v.€Smithóó,€973€F.2d€603,€604€(8th€Cir.€1992)€(citingÐ œ8  ÐòòUnited€States€v.€Higdonóó,€832€F.2d€312,€315€(5th€Cir.€1987)).Ð ˆ$  Ðà  àThe€carjacking€statute€is€a€constitutional€exercise€of€Congress'€power€under€theÐ ê†  ÐCommerce€Clause.€€òòUnited€States€v.€Robinsonóó,€62€F.3d€234€(8òòthóó€Cir.€1995).€€The€ð ðcarjackingÐ Ör  Ðstatute€regulates€an€item€of€interstate€commerce€.€.€.€[t]herefore€fits€squarely€within€the€secondÐ Â^  Ðcategory€of€activities€regulable€by€Congress€under€the€commerce€clause.ðð€€Also,€the€expressÐ ®J Ðfindings€by€Congress€of€a€direct€link€between€carjacking€and€negative€effects€on€interstateÐ š6 Ðcommerce€provide€additional€support€that€the€statute€is€constitutional.€€òòRobinsonóó,€62€F.3d€at€236„Ð †" Ð37.€€òòSee€also€United€States€v.€Harrisóó,€25€F.3d€1275€(5òòthóó€Cir.€1994);€òòUnited€States€v.€Johnsonóó,€32Ð r ÐF.3d€82€(4òòthóó€Cir.€1995);€òòUnited€States€v.€Martinezóó,€49€F.3d€1398,€1400„01€(9òòthóó€Cir.€1995);€òòUnitedÐ ^ú ÐStates€v.€Overstreetóó,€40€F.3d€1090€(10òòthóó€Cir.€1994);€òòUnited€States€v.€Williamsóó,€51€F.3d€1004,Ð Jæ Ð1008„09€(11òòthóó€Cir.€1995).Ð  6Ò ÐÖ€#!ìÅÖÓ €Óà@rrìàò òÔ% €µ ÔÔ  Ô6.18.2119B.€€CARJACKING€(Serious€Bodily€Injury)€(18€U.S.C.€ðð2119(2))ó óÔ `£Ô€ò òòò1óóó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€carjacking€has€five€elements€which€are:Ð @Ü Ðà  àòòOneóó,€the€defendant,€[took]€[attempted€to€take]€a€(describe€the€motor€vehicle,€òòe.g.óó,€1998Ð ¢ > ÐFord€Explorer,€VIN€#000000000000)€from€a€[person];Ð    Ðà  àòòTwoóó,€the€defendant€did€so€by€means€of€[force€and€violence]€[intimidation];Ð f  Ðà  àòòThreeóó,€the€(describe€motor€vehicle)€had€been€[transported]€[shipped]€[or]€[received]€inÐ È d  Ð[interstate]€[foreign]€commerce;Ð *Æ  Ðà  àòòFouróó,€at€the€time€the€defendant€[took]€[attempted€to€take]€the€motor€vehicle€(he)€(she)Ð Œ(  Ðintended€to€cause€death€or€serious€bodily€injuryòò2óó.€Ð îŠ  Ðà  àòòFiveóó,€the€defendant€[caused€serious€bodily€injury€to]€[committed€an€act€of€[sexual€abuse]Ð Pì  Ð[aggravated€sexual€abuse]€upon]€a€person€while€[taking]€[attempting€to€take]€the€(describe€theÐ ²N Ðmotor€vehicle).Ð ° Ðà  àð ðSerious€bodily€injuryðð€means€an€injury€that€involves€[a€substantial€risk€of€death]Ð v Ð[extreme€physical€pain]€[long„term€and€obvious€disfigurement]€[the€long„term€loss€or€impairmentÐ Øt Ðof€a€function€of€a€bodily€member€or€organ]€[the€long„term€loss€or€impairment€of€a€mentalÐ :Ö Ðfunction].òò3óóÐ œ8 Ðà  à[ð ðSexual€abuseðð€means€to€cause€another€person€to€engage€in€a€sexual€act€by€threat€orÐ þš  Ðfear.]Ð `ü" Ðà  à[ð ðAggravated€sexual€abuseðð€means€to€cause€another€person€to€engage€in€a€sexual€act€byÐ Â^$ Ð[force]€[a€threat€of€death€or€serious€bodily€injury]€[a€threat€of€kidnaping].]€Ó€ÓÓ €ÓÐ $!À& ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ †""( Ðà  à1.€€This€Instruction€should€only€be€used€where€the€indictment€alleges€ð ðserious€bodilyÐ è#„* Ðinjuryðð€or€the€defendant€committed€an€act€of€sexual€abuse€during€the€carjacking€for€purposes€ofÐ Ô$p+ Ðthe€enhanced€Ô'&†"G«Ôsentence€in€accordance€with€18€U.S.C.€ðð€2119(2).€€The€crime€of€carjacking€subjectÐ À%\, Ðto€the€enhanced€penalties€under€section€2119(2)€may€be€committed€by€either€causing€seriousÐ ¬&H - Ðbodily€injury€as€defined€in€18€U.S.C.€ðð€1365€or€by€an€act€of€sexual€abuse€during€the€course€of€theÐ ˜'4!. Ðcarjacking€as€defined€in€18€U.S.C.€ðððð€2241€and€2242.€€There€may€be€instances€in€which€theÐ „( "/ Ðindictment€alleges€that€both€an€act€of€sexual€abuse€and€serious€bodily€injury€occurred,€in€whichÐ p) #0 Ðâ âcase€both€definitions€should€be€given.Ð \*ø#1 Ðà  à2.€€The€statute€uses€the€term€ð ðharmðð€in€some€places€and€ð ðinjuryðð€in€others,€apparentlyÐ d Ðâ âinterchangeably.€€A€conditional€intent€to€kill€or€cause€serious€bodily€injury€is€sufficient€toÐ Pì Ðestablish€the€intent€requirement€under€the€statute.€€ð ðThe€intent€requirement€of€section€2119€isÐ <Ø Ðsatisfied€when€the€Government€proves€that€at€the€moment€the€defendant€demanded€or€tookÐ ( Ä Ðcontrol€over€the€driverððs€automobile€the€defendant€possessed€the€intent€to€seriously€harm€or€killÐ  ° Ðthe€driver€if€necessary€to€steal€the€car.€€.€.€.ðð€€òòHolloway€v.€United€Statesóó,€526€U.S.€1€(1999).Ð  œ Ðà  à3.€€The€court€should,€if€requested€by€a€party,€give€6.18.2119A€as€a€lesser„included€offenseÐ b þ Ðinstruction.€€If€a€lesser„included€offense€instruction€is€given,€the€format€in€Instruction€3.10€shouldÐ N ê Ðbe€used.Ð :Ö  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ œ8  Ðà  àòòSee,€generally,óó€comments€for€6.18.2119A.Ð þš  ÐÔ'°œ ³Ôà  àð ðSerious€bodily€injuryðð€is€defined€in€18€U.S.C.€ðð€1365.€€Serious€bodily€injury€may€includeÐ `ü  Ðprotracted€impairment€of€mental€faculties€resulting€from€rape€committed€in€the€course€of€aÐ Lè  Ðcarjacking€even€though€evidence€of€extreme€physical€pain€was€lacking.€€òòUnited€States€v.Ð 8Ô  ÐVasquez„Riveraóó,€135€F.3d€172€(1òòstóó€Cir.€1998).€€òòSee€also€United€States€v.€Loweóó,€145€F.3d€45€(1òòstóóÐ $À ÐCir.€1998).€Ð ¬ Ðà  àSexual€abuse€is€defined€in€18€U.S.C.€ðð€2242.€€Aggravated€sexual€abuse€is€defined€in€18Ð r ÐU.S.C.€ðð€2241.Ð  ^ú ÐÖ€%#ìÆÖÓ €Óà@[[ ìàò òÔ% €· ÔÔ  Ô6.18.2119C.€€CARJACKING€(Death€Resulting)€(18€U.S.C.€ðð€2119(3))Ô ¯¶Ôó ó€ò òòò1óóó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€carjacking€has€five€elements,€which€are:Ð @Ü Ðà  àòòOneóó,€the€defendant(s),€[took]€[attempted€to€take]€a€(describe€the€motor€vehicle,€òòe.€g.óó,€1998Ð ¢ > ÐFord€Explorer,€VIN€#000000000000)€from€a€[person];Ð    Ðà  àòòTwoóó,€the€defendant€did€so€by€means€of€[force€and€violence]€[intimidation];Ð f  Ðà  àòòThreeóó,€the€(describe€motor€vehicle)€had€been€[transported]€[shipped]€[or]€[received]€inÐ È d  Ð[interstate]€[foreign]€commerce;Ð *Æ  Ðà  àòòFouróó,€at€the€time€the€defendant€[took]€[attempted€to€take]€the€motor€vehicle€(he)€(she)Ð Œ(  Ð(they)€intended€to€cause€death€or€serious€bodily€injuryòò2,€3óó.€€šÐ îŠ  Ðà  àòòFiveóó,€the€death€of€a€person€resulted€from€[taking]€[attempting€to€take]€the€(describe€theÐ Pì  Ðmotor€vehicle).òò4óóÐ ²N Ðà  àð ðSerious€bodily€injuryðð€means€an€injury€that€involves€[a€substantial€risk€of€death]Ð ° Ð[extreme€physical€pain]€[€long€term€and€obvious€disfigurement]€[the€long„term€loss€orÐ v Ðimpairment€of€a€function€of€a€bodily€member€or€organ]€[the€long€term€loss€or€impairment€of€aÐ Øt Ðmental€function].Ó€ÓÓ €ÓÐ :Ö ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ œ8 Ðà  à1.€€This€Instruction€should€only€be€used€where€the€indictment€alleges€that€the€defendantÐ þš  Ðcaused€the€death€of€a€person€for€purposes€of€the€enhanced€sentence€in€accordance€with€18€U.S.C.Ð ê†! Ððð€Ô'&œ¹¼Ô2119(c).Ð Ör" Ðà  à2.€€The€statute€uses€the€term€ð ðharmðð€in€some€places€and€ð ðinjuryðð€in€others,€apparentlyÐ 8 Ô$ Ðinterchangeably.Ð $!À% Ðà  à3.€€A€conditional€intent€to€kill€or€cause€serious€bodily€injury€is€sufficient€to€establish€theÐ †""' Ðintent€requirement€under€the€statute.€€ð ðThe€intent€requirement€of€section€2119€is€satisfied€whenÐ r#( Ðthe€Government€proves€that€at€the€moment€the€defendant€demanded€or€took€control€over€theÐ ^$ú) Ðdriverððs€automobile€the€defendant€possessed€the€intent€to€seriously€harm€or€kill€the€driver€ifÐ J%æ* Ðnecessary€to€steal€the€car€.€.€.ðð€òòHolloway€v.€United€Statesóó,€526€U.S.€1€(1999).Ð 6&Ò+ Ðà  à4.€€The€court€should,€if€requested€by€a€party,€give€Instructions€6.18.2119A,€6.18.2119B,Ð ˜'4!- Ðòòsupraóó,€or€both,€as€lesser„included€offense€instructions.€€If€lesser„included€offense€instructions€areÐ „( ". Ðgiven,€the€format€in€Instruction€3.10,€òòsupraóó,€should€be€used.Ð p) #/ ÐÔ& N Ôà@55!ìàò òCommittee€CoÔ_ÔmmentsÔ_Ôó óˆÐ Ò*n$1 Ðà  àòòSeeóó€comments€for€Instruction€6.18.2119A.,€òòsupraóó.Ô'NÒ*aÂÔÐ  4,Ð%3 ÐÓ €ÓÖ€'%ìÇÖà@  ìàÔL  ÔÔM  ÔÔL  ÔÔM  Ôò òÔ% €¹ ÔÔ  Ô6.18.2251(a).€€SEXUAL€EXPLOITATION€OF€A€CHILD€BY€ˆÐ d Ðà@ØØ ìàA€PERSON€OTHER€THAN€PARENT€OR€GUARDIAN€(18€U.S.C.€ðð€2251(a))Ô °ÃÔó ó€òò1óóˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€sexual€exploitation€of€a€child,€as€charged€in€[Count€___€of]€the€indictment,Ð , È Ðhas€four€elements,€which€are:Ð Ž * Ðà  àòòOneóó,€at€the€time€alleged,€(name€of€minor)€was€under€the€age€of€eighteen€yearsÔL  ÔÔM  Ô;Ð ð Œ Ðà  àÔL  ÔÔM  ÔòòTwoóó,€the€defendant€knowingly:Ð R î  Ðà0  àà0` (#(#àa)€[employed]€[used]€[persuaded]€[induced]€[enticed]€[coerced]€(name€of€minor)Ð ´P  Ðto€engage€in€sexually€explicit€conduct;€orв ` (#` (# Ðà0  àÔL  ÔÔM  Ôà0` (#(#àb)€hadÔL  ÔÔM  ÔÔL  ÔÔM  Ô€(name€of€minor)€assist€another€person€or€persons€to€engage€in€sexuallyÐ x  Ðexplicit€conduct;€orÔL  ÔÔM  ÔÐÚv ` (#` (# Ðà0  àà0` (#(#àÔL  ÔÔM  Ôc)€transported€ÔL  ÔÔM  Ô(name€of€minor)€[across€state€lines]€[in€foreign€commerce]€[in€anyÐ <Ø  ÐTerritory€or€Possession€of€the€United€States]€with€the€intent€that€ÔL  ÔÔM  Ô(name€of€minor)Ð ž: Ðengage€in€sexually€explicit€conduct;Ðœ` (#` (# Ðà  àòòThreeóó,€the€defendant€acted€with€the€purpose€of€[producing€a€visual€depiction€of€suchÐ bþ Ðconduct]€[transmitting€a€live€visual€depiction€of€such€conduct];€andÔL  ÔÔM  ÔÐ Ä` Ðà  àòòFouróó,à0 ` àÔL  ÔÔM  Ôa)€the€defendant€knew€or€had€reason€to€know€that€such€visual€depiction€[ÔL  ÔÔM  Ôòòe.g.óóÔL  ÔÔM  Ô,Ð & Ðvideo€tape]€would€be€[mailed]€[transported€across€state€lines€or€in€foreignÐ ˆ$ Ðcommerce];€orÔL  ÔÔM  ÔÐê†!` (#` (# Ðà0  àà0` (#(#àÔL  ÔÔM  Ôb)€the€visual€depiction€was€produced€using€materials€that€had€been€mailed,Ð Lè# Ðshipped,€or€transported€across€state€lines€or€in€foreign€commerceÔL  ÔÔM  Ô€by€any€means,Ð ® J% Ðincluding€by€computer€or€cellular€phoneòò2óó;€orÔL  ÔÔM  ÔÐ"¬'` (#` (# Ðà0  àà0` (#(#àÔL  ÔÔM  Ôc)€the€visual€depiction€was€actually€[mailed€or€transported€across€state€lines€or€in]Ð r#) Ð[transported€or€transmitted€using€any€means€or€facility€of€interstate€or]€foreignÐ Ô$p+ Ðcommerce.òò3óó€€Ð6&Ò-` (#` (# Ðà  àA€person€is€ð ðÔL  ÔÔM  Ôusedðð€if€they€are€photographed€or€videotaped.ÔL  ÔÔM  Ôòò4óóÐ ˜'4!/ Ðà  àÔL  ÔÔM  Ô"Sexually€explicit€conduct"€meansÔL  ÔÔM  Ô€actual€or€simulated€sexual€intercourse,€includingÐ ú(–"1 Ðâ â[genital„genital]€[oral„genital]€[anal„genital]€[oral„anal],€whether€between€persons€of€the€same€orÐ \*ø#3 Ðopposite€sex];€[bestiality]€[masturbation]€[sadistic€or€masochistic€abuse]€[lascivious€exhibition€ofÐ d Ðthe€genitals€or€pubic€area€of€any€personÔL  ÔÔM  Ô].òò5óóÔL  ÔÔM  ԀРÆb Ðâ âà  àThe€term€ð ðvisual€depictionððincludes€[a]€[any]€[photograph]€[film]€[video]€[picture]€[or]Ð ( Ä Ð[computer€or€computer„generated€image€or€picture],€whether€made€or€produced€by€electronic,Ð Š & Ðmechanical,€or€other€means.€€[It€includes€undeveloped€film€and€videotape,€and€data€stored€onÐ ì ˆ Ðcomputer€disk€or€by€electronic€means€which€is€capable€of€conversion€into€a€visual€image.]òò6óóÐ N ê  Ðà  àAn€item€is€ð ðproducedðð€if€it€is€produced,€directed,€manufactured,€issued,€published,Ð °L  Ðadvertised,€created,€made,€or€is€in€any€other€way€brought€into€being€by€the€involvement€of€anÐ ®  Ðindividual€participating€in€the€recording€of€child€pornography.òò7óóÔL  ÔÔM  ÔÐ t  Ðà  àThe€Government€is€not€required€to€prove€that€the€defendant€knew€that€(minorððs€name)Ð Ör  Ðwas€under€the€age€of€eighteen.Ð 8Ô  Ðà  à[Insert€paragraph€describing€the€Governmentððs€burden€of€proof.€€òòSeeóó€Instruction€3.09,Ð š6 Ðòòsupraóó.]Ð ü˜ ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ^ú Ðà  à1.€€In€the€case€of€attempted€sexual€exploitation€of€a€child,€òòsee€United€States€v.€Piersonóó,Ð À\ Ð544€F.3d€933€(8òòthóó€Cir.€2008).Ð ¬H Ðà  à2.€€The€fact€that€an€item€used€in€the€production€of€the€child€pornography€had€traveled€inÐ ª Ðinterstate€commerce€is,€by€itself,€sufficient€to€satisfy€the€analysis€of€whether€there€is€an€impact€onÐ ú–  Ðinterstate€commerce€sufficient€to€prohibit€the€charged€conduct€under€Congressððs€CommerceÐ æ‚! ÐClause€powers.€€òòSee€United€States€v.€Ô_ÔBetcherÔ_Ôóó,€534€F.3d€820€(8òòthóó€Cir.€2008)€(discussing€severalÐ Òn" Ðother€Eighth€Circuit€cases€on€the€matter).€€Ð ¾Z# Ðà  à3.€€The€indictment€will€generally€determine€the€appropriate€instruction.€€If€theÐ  !¼% ÐGovernment€proceeds€on€more€than€one€theory,€however,€and€each€theory€would€either€constituteÐ  "¨& Ða€separate€offense€or€a€separate€element€of€the€same€statutory€offense,€then€such€alternativesÐ ø"”' Ðshould€be€submitted€in€the€disjunctive€and€the€jury€instructed€that€all€jurors€must€agree€as€to€theÐ ä#€( Ðparticular€theory.€€òòSeeóó€Instruction€6.18.1341,€Note€2,€for€sample€language.€€On€the€other€hand,€ifÐ Ð$l) Ðeach€theory€is€merely€a€means€of€satisfying€a€single€element,€there€is€no€need€for€a€unanimityÐ ¼%X* Ðinstruction.€€òòSee€Schad€v.€Arizonaóó,€501€U.S.€624,€636„47€(1991)€(plurality€opinion).Ð ¨&D + Ðà  à4.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8òòthóó€Cir.€2007).Ð  (¦!- Ðà  à5.€€The€term€ð ðsexually€explicit€conductðð€is€defined€in€18€U.S.C.€ðð€2256(2).ÔL  ÔÔM  Ô€€If€lasciviousÐ l)#/ Ðexhibition€of€the€genitals€is€at€issue,€it€should€be€further€defined.€€ÔL  ÔÔM  ÔòòSeeóó€Instruction€ÔL  ÔÔM  Ô6.18.2252A(1ÔL  ÔÔM  Ô).Ð X*ô#0 Ðà  à6.€€18€U.S.C.€ðððð€2256(5)€and€(8).Ð º+V%2 Ðà  à7.€€The€term€ð ðproducingðð€is€defined€in€18€U.S.C.€ðð€2256(3).€€A€defendant€who€allegedlyÐ d Ðtook€no€directorial,€editorial,€or€managerial€role€when€he€filmed€minors€engaged€in€explicitÐ Pì Ðsexual€conduct,€or€intended€that€the€photographs€be€disseminated€commercially,€nonetheless,Ð <Ø Ðð ðproducesðð€child€pornography,€within€the€meaning€of€the€statute€prohibiting€production€of€childÐ ( Ä Ðpornography€because€Congressððs€intention€was€to€enact€a€broad€definition€of€ð ðproducingðð€thatÐ  ° Ðencompassed€the€various€means€by€which€an€individual€might€actively€participate€in€the€creationÐ  œ Ðand€distribution€of€child€pornography.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8ÔL  ÔÔM  Ôòòthóó€Cir.Ð ì ˆ Ð2007).Ð Ø t Ðà@55!ìàò òCommittee€Commentsó óˆÐ :Ö  Ðà  àÔL  ÔÔM  ÔKnowledge€of€the€age€of€the€minor€victim€is€not€an€element€of€the€offense.€ÔL  ÔÔM  Ô€òòSee€UnitedÐ œ8  ÐStates€v.€WilsonóóÔL  Ô,€565€F.3d€1059,€1066€(8òòthóó€Cir.€2009);€òòUnited€States€v.€Ô_ÔPliegoÔ_Ôóó,€578€F.3d€938€(8òòthóóÐ ˆ$  ÐCir.€2009);€see€òòalso€ÔM  ÔUnited€States€v.€X„Citement€Video,€Inc.óóÔL  ÔÔM  Ô,€513€U.S.€64,€76€n.5€(1994)Ð t  Ð("[Ô_ÔP]roducersÔ_Ô€may€be€convicted€under€ðð€2251(a)€without€proof€they€had€knowledge€of€age€.€.€.").€Ð `ü  ÐMistake€of€age€is€not€a€defense€to€this€crime.€€òòWilsonóó,€565€F.3d€at€1069;€òòÔ_ÔPliegoÔ_Ôóó,€578€F.3d€at€944;Ð Lè  ÐòòUnited€States€v.€Ô_ÔMcCloudÔ_Ôóó,€590€F.3d€560€(8òòthóó€Cir.€2009).€€Ð 8Ô  Ðà  àThe€age€of€the€child€depicted€may€be€proved€by,€ÔL  ÔÔM  Ôòòinter€aliaóóÔL  ÔÔM  Ô,€language€used€by€theÐ š6 Ðdefendant€in€correspondence,€Postal€Inspectorððs€professional€and€personal€familiarity€with€childÐ †" Ðdevelopment,€and€a€pediatrics€professorððs€testimony.€ÔL  ÔÔM  Ô€òòUnited€States€v.€BroylesóóÔL  ÔÔM  Ô,€37€F.3d€1314,Ð r Ð1317„18€(8òòthóó€Cir.€1994);€ÔL  ÔÔM  ÔòòUnited€States€v.€RaylóóÔL  ÔÔM  Ô,€270€F.3d€709,€714€(8òòthóó€Cir.€2001).€€In€ÔL  ÔÔM  ÔòòUnitedÐ ^ú ÐStates€v.€VigóóÔL  ÔÔM  Ô,€167€F.3d€443,€449„50€(8òòthóó€Cir.€1999),€the€court€found€that€the€jury€could€draw€itsÐ Jæ Ðown€independent€conclusion€as€to€whether€real€children€were€depicted€by€examining€the€imagesÐ 6Ò Ðpresented€to€them.€ÔL  ÔÔM  ÔÐ "¾ ÐÔL  ÔÔM  Ôà  àThe€Eighth€Circuit€has€repeatedly€found€federal€jurisdiction€based€solely€on€the€use€of€aÐ „  Ðcamera€or€camera€equipment€that€previously€crossed€state€lines.€€òòSeeóó€òòUnited€States€v.€Ô_ÔBetcherÔ_Ôóó,Ð p  Ð534€F.3d€820€(8òòthóó€Cir.€2008);€òòUnited€States€v.€Ô_ÔFadlÔ_Ôóó,€498€F.3d€862€(8ÔL  ÔÔM  ÔòòthóóÔL  ÔÔM  Ô€Cir.€2007).Ð \ø ÐÔL  ÔÔM  Ôà  àÔL  ÔÔM  ÔTransportation€in€interstate€or€foreign€commerce€can€be€accomplished€by€any€means,Ð ¾Z Ðincluding€by€a€computer.€€18€U.S.C.€ðð€2251(b).ÔL  ÔÔM  ÔÐ ª F Ðà  àÔL  ÔÔM  ÔA€defendant€who€simply€possesses,€transports,€reproduces,€or€distributes€childÐ  "¨! Ðpornography€does€not€sexually€exploit€a€minor€in€violation€of€18€U.S.C.€ðð€2251,€even€though€theÐ ø"”" Ðmaterials€possessed,€transported,€reproduced,€or€distributed€"involve"€such€sexual€exploitation€byÐ ä#€# Ðthe€producer.€ÔL  ÔÔM  Ô€òòSee€United€States€v.€Hornóó,€187€F.3d€781€(8òòthóó€Cir.€1999).Ð  Ð$l$ ÐÖ€('ìÈÖÓ €Óà@y y ìàÔL  ÔÔM  Ôò òÔ% €» ÔÔ  Ô6.18.2251(b).€€SEXUAL€EXPLOITATION€OF€A€CHILDˆÐ d Ðà@™ ™ ìàBY€A€PARENT€OR€GUARDIAN€(18€U.S.C.€ðð€2251(b))Ô Se‰îÔó ó€òò1óóˆÐ Pì ÐÔL  ÔÔM  ÔÌÔL  ÔÔM  ÔÓ€Óà  àThe€crime€of€sexual€exploitation€of€a€child,€as€charged€in€[Count€___€of]€the€indictment,Ð , È Ðhas€five€elements,€which€are:Ð Ž * Ðà  àòòOneóó,€at€the€time,€(name€of€minor)€was€under€the€age€of€eighteen€yearsÔL  ÔÔM  Ô;Ð ð Œ Ðà  àòòTwoóó,€the€defendant€was€the€[parent]€[legal€guardian]€[person€having€custody€or€control]Ð R î  Ðof€(name€of€minor).Ð ´P  Ðà  àÔL  ÔÔM  ÔòòThreeóó,€the€defendant€knowingly:Ð ²  Ðà0  àà0` (#(#àa)€permitted€(name€of€minor)€to€engage€in€sexually€explicit€conduct;€orÐx ` (#` (# Ðà0  àà0` (#(#àb)€permitted€(name€of€minor)€to€assist€another€person€or€persons€to€engage€inÐ Úv  Ðsexually€explicit€conduct;Ð<Ø ` (#` (# Ðà  àòòFouróó,€the€defendant€acted€with€the€purpose€of€[producing€any€visual€depiction€of€suchÐ ž: Ðconduct]€[transmitting€a€live€visual€depiction€of€such€conduct];€andÐ œ Ðà  àòòFiveóó,€à0 ` àa)€the€defendant€knew€or€had€reason€to€know€that€such€visual€depiction€[ÔL  ÔÔM  Ôòòe.g.óóÔL  ÔÔM  Ô,Ð bþ Ðvideo€tape]€would€be€[mailed]€[transmitted]€[transported€across€state€lines€or€inÐ Ä` Ðforeign€commerce];€orÔL  ÔÔM  ÔÐ&Â` (#` (# Ðà0  àà0` (#(#àb)€the€visual€depiction€was€produced€using€materials€that€had€been€mailed,Ð ˆ$ Ðshipped,€transmitted,€or€transported€across€state€lines€or€in€foreign€commerceÔL  ÔÔM  Ô€byÐ ê†! Ðany€means,€including€by€computer€or€cellular€phoneòò2óó;€orÔL  ÔÔM  ÔÐLè#` (#` (# Ðà0  àà0` (#(#àc)€the€visual€depiction€was€actually€[mailed€or€transported€across€state€lines€or€in]Ð ® J% Ð[transported€or€transmitted€using€any€means€or€facility€of€interstate€or]€foreignÐ "¬' Ðcommerce.òò3óó€€Ðr#)` (#` (# ÐÔL  ÔÔM  Ôà  à"Sexually€explicit€conduct"€meansÔL  ÔÔM  Ô€actual€or€simulated€sexual€intercourse,€includingÐ Ô$p+ Ð[genital„genital]€[oral„genital]€[anal„genital]€[oral„anal],€whether€between€persons€of€the€same€orÐ 6&Ò- Ðopposite€sex];€[bestiality]€[masturbation]€[sadistic€or€masochistic€abuse]]€[lascivious€exhibitionÐ ˜'4!/ Ðof€the€genitals€or€pubic€area€of€any€personÔL  ÔÔM  Ô]òò4óó.ÔL  ÔÔM  ԀРú(–"1 Ðà  àThe€term€ð ðvisual€depictionððincludes€[a]€[any]€[photograph]€[film]€[video]€[picture]€[or]Ð \*ø#3 Ð[computer€or€computer„generated€image€or€picture],€whether€made€or€produced€by€electronic,Ð ¾+Z%5 Ðmechanical,€or€other€means.€€[It€includes€undeveloped€film€and€videotape,€and€data€stored€onÐ d Ðcomputer€disk€or€by€electronic€means€which€is€capable€of€conversion€into€a€visual€image.]òò5óóÐ Æb Ðà  àAn€item€is€ð ðproducedðð€if€it€is€produced,€directed,€manufactured,€issued,€published,Ð ( Ä Ðadvertised,€created,€made,€or€is€in€any€other€way€brought€into€being€by€the€involvement€of€anÐ Š & Ðindividual€participating€in€the€recording€of€child€pornography.òò6óóÔL  ÔÔM  ÔÐ ì ˆ Ðà  àThe€Government€is€not€required€to€prove€that€the€defendant€knew€that€(minorððs€name)Ð N ê  Ðwas€under€the€age€of€eighteen.Ð °L  Ðà  à[Insert€paragraph€describing€the€Governmentððs€burden€of€proof.€€òòSeeóó€Instruction€3.09,Ð ®  Ðòòsupraóó.]Ð t  ÐÓ €ÓÓ€ÓÔ& ì Ôà@ÇÇ$ìàò òNotes€on€UseÔ'ìÖVþÔó óˆÐ Ör  Ðà  à1.€€In€the€case€of€attempted€sexual€exploitation€of€a€child,€òòsee€United€States€v.€Piersonóó,Ð 8Ô  Ð544€F.3d€933€(8òòthóó€Cir.€2008).Ð $À Ðà  à2.€€The€fact€that€an€item€used€in€the€production€of€the€child€pornography€had€traveled€inÐ †" Ðinterstate€commerce€is,€by€itself,€sufficient€to€satisfy€the€analysis€of€whether€there€is€an€impact€onÐ r Ðinterstate€commerce€sufficient€to€prohibit€the€charged€conduct€under€Congressððs€CommerceÐ ^ú ÐClause€powers.€€òòSee€United€States€v.€Ô_ÔBetcherÔ_Ôóó,€534€F.3d€820€(8òòthóó€Cir.€2008)€(discussing€severalÐ Jæ Ðother€Eighth€Circuit€cases€on€the€matter).€€Ð 6Ò Ðà  à3.€€€€The€indictment€will€generally€determine€the€appropriate€instruction.€€If€theÐ ˜4 ÐGovernment€proceeds€on€more€than€one€theory,€however,€and€each€theory€would€either€constituteÐ „  Ða€separate€offense€or€a€separate€element€of€the€same€statutory€offense,€then€such€alternativesÐ p  Ðshould€be€submitted€in€the€disjunctive€and€the€jury€instructed€that€all€jurors€must€agree€as€to€theÐ \ø  Ðparticular€theory.€€òòSeeóó€Instruction€6.18.1341,€Note€2,€for€sample€language.€€On€the€other€hand,€ifÐ Hä! Ðeach€theory€is€merely€a€means€of€satisfying€a€single€element,€there€is€no€need€for€a€unanimityÐ 4 Ð" Ðinstruction.€€òòSee€Schad€v.€Arizonaóó,€501€U.S.€624,€636„47€(1991)€(plurality€opinion).Ð  !¼# Ðà  à4.€€The€term€ð ðsexually€explicit€conductðð€is€defined€in€18€U.S.C.€ðð€2256(2).ÔL  ÔÔM  Ô€€If€lasciviousÐ ‚"% Ðexhibition€of€the€genitals€is€at€issue,€it€should€be€further€defined.€€ÔL  ÔÔM  ÔòòSeeóó€Instruction€ÔL  ÔÔM  Ô6.18.2252A(1ÔL  ÔÔM  Ô).Ð n# & Ðà  à5.€€18€U.S.C.€ðððð€2256(5)€and€(8).Ð Ð$l( Ðà  à6.€€The€term€ð ðproducingðð€is€defined€in€18€U.S.C.€ðð€2256(3).€€A€defendant€who€allegedlyÐ 2&Î* Ðtook€no€directorial,€editorial,€or€managerial€role€when€he€filmed€minors€engaged€in€explicitÐ 'º + Ðsexual€conduct,€or€intended€that€the€photographs€be€disseminated€commercially,€nonetheless,Ð  (¦!, Ðð ðproducesðð€child€pornography,€within€the€meaning€of€the€statute€prohibiting€production€of€childÐ ö(’"- Ðpornography€because€Congressððs€intention€was€to€enact€a€broad€definition€of€ð ðproducingðð€thatÐ â)~#. Ðâ âencompassed€the€various€means€by€which€an€individual€might€actively€participate€in€the€creationÐ Î*j$/ Ðand€distribution€of€child€pornography.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8ÔL  ÔÔM  Ôòòthóó€Cir.Ð d Ð2007).Ð Pì Ðâ âà@55!ìàò òCommittee€Commentsó óˆÐ ²N Ðà  àÔL  ÔÔM  ÔKnowledge€of€the€age€of€the€minor€victim€is€not€an€element€of€the€offense.€€òòSee€UnitedÐ  ° ÐStates€v.€Wilsonóó,€565€F.3d€1059,€1066€(8òòthóó€Cir.€2009);€United€States€v.€Ô_ÔPliegoÔ_Ô,€578€F.3d€938€(8òòthóóÐ  œ ÐCir.€2009);€òòsee€ÔL  ÔÔM  Ôalso€United€States€v.€X„Citement€Video,€Inc.óóÔL  ÔÔM  Ô,€513€U.S.€64,€76€n.5€(1994)Ð ì ˆ Ð("[Ô_ÔP]roducersÔ_Ô€may€be€convicted€under€ðð€2251(a)€without€proof€they€had€knowledge€of€age...").€Ð Ø t ÐMistake€of€age€is€not€a€defense€to€this€crime.€€òòWilsonóó,€565€F.3d€at€1069;€òòÔ_ÔPliegoÔ_Ôóó,€578€F.3d€at€944;Ð Ä `  ÐòòUnited€States€v.€Ô_ÔMcCloudÔ_Ôóó,€590€F.3d€560€(8òòthóó€Cir.€2009).Ð °L  Ðà  àThe€age€of€the€child€depicted€may€be€proved€by,€ÔL  ÔÔM  Ôòòinter€aliaóóÔL  ÔÔM  Ô,€language€used€by€theÐ ®  Ðdefendant€in€correspondence;€Postal€Inspectorððs€professional€and€personal€familiarity€with€childÐ þš  Ðdevelopment;€and€a€pediatrics€professorððs€testimony.€ÔL  ÔÔM  Ô€òòUnited€States€v.€BroylesóóÔL  ÔÔM  Ô,€37€F.3d€1314,Ð ê†  Ð1317„18€(8òòthóó€Cir.€1994);€ÔL  ÔÔM  ÔòòUnited€States€v.€RaylóóÔL  ÔÔM  Ô,€270€F.3d€709,€714€(8òòthóó€Cir.€2001).€€In€ÔL  ÔÔM  ÔòòUnitedÐ Ör  ÐStates€v.€VigóóÔL  ÔÔM  Ô,€167€F.3d€443,€449„50€(8òòthóó€Cir.€1999),€the€court€found€that€the€jury€could€draw€itsÐ Â^  Ðown€independent€conclusion€as€to€whether€real€children€were€depicted€by€examining€the€imagesÐ ®J Ðpresented€to€them.€ÔL  ÔÔM  ÔÐ š6 ÐÔL  ÔÔM  Ôà  àThe€Eighth€Circuit€has€repeatedly€found€federal€jurisdiction€based€solely€on€the€use€of€aÐ ü˜ Ðcamera€or€camera€equipment€that€previously€crossed€state€lines.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498Ð è„ ÐF.3d€862€(8ÔL  ÔÔM  ÔòòthóóÔL  ÔÔM  Ô€Cir.€2007).Ð Ôp ÐÔL  ÔÔM  Ôà  àÔL  ÔÔM  ÔTransportation€in€interstate€or€foreign€commerce€can€be€accomplished€by€any€means,Ð 6Ò Ðincluding€by€a€computer.€€18€U.S.C.€ðð€2251(b).ÔL  ÔÔM  ÔÐ "¾ Ðà  àÔL  ÔÔM  ÔA€defendant€who€simply€possesses,€transports,€reproduces,€or€distributes€childÐ „  Ðpornography€does€not€sexually€exploit€a€minor€in€violation€of€18€U.S.C.€ðð€2251,€even€though€theÐ p  Ðmaterials€possessed,€transported,€reproduced,€or€distributed€"involve"€such€sexual€exploitation€byÐ \ø Ðthe€producer.€ÔL  ÔÔM  Ô€òòUnited€States€v.€Hornóó,€187€F.3d€781€(8òòthóó€Cir.€1999).Ð  Hä ÐÖ€)(ìÉÖÓ €Óà@… … ìàò òÔ% €½ ÔÔ  Ô6.18.2251(c).€€SEXUAL€EXPLOITATION€OF€A€CHILDˆÐ d Ðà@H H ìàOUTSIDE€THE€UNITED€STATES€(18€U.S.C.€ðð€2251(c))Ô ÐOÔó ó€òò1óóˆÐ Pì ÐÔL  ÔÔM  ÔÌà  àÔL  ÔÔM  ÔÓ€ÓThe€crime€of€sexual€exploitation€of€a€child,€as€charged€in€[Count€___€of]€the€indictment,Ð , È Ðhas€four€elements,€which€are:Ð Ž * Ðà  àòòOneóó,€at€the€time,€(name€of€minor)€was€under€the€age€of€eighteen€yearsÔL  ÔÔM  Ô;Ð ð Œ ÐÔL  ÔÔM  Ôà  àòòTwoóó,€the€defendant:Ð R î  Ðà0  àà0` (#(#àa)€[employed]€[used]€[persuaded]€[induced]€[enticed]€[coerced]€(ÔL  ÔÔM  ÔÔL  ÔÔM  Ôname€of€minor)Ð ´P  Ðto€engage€in€sexually€explicit€conduct€outside€the€United€States,€its€territories,€orÐ ²  Ðpossessions;€orÔL  ÔÔM  ÔÐx ` (#` (# Ðà0  àà0` (#(#àb)€hadÔL  ÔÔM  Ô€(name€of€minor)€assist€another€person€or€persons€to€engage€in€sexuallyÐ Úv  Ðexplicit€conduct€outside€the€United€States,€its€territories,€or€possessions;€ÔL  ÔÔM  ÔÐ<Ø ` (#` (# Ðà  àòòThreeóó,€for€the€purpose€of€producing€any€visual€depiction€of€such€conduct;€andÐ ž: Ðà  àòòFouróó,€à0 ` àa)€the€defendant€intended€such€visual€depiction€to€be€transported€to€the€UnitedÐ œ ÐStates,€its€territories,€or€possessions€by€any€means,€including€by€using€mail€or€anyÐ bþ Ðmeans€or€facility€of€interstate€or€foreign€commerce;€or€ÐÄ`` (#` (# Ðà0  àà0` (#(#àb)€the€defendant€did€transport€such€visual€depiction€to€the€United€States,€itsÐ & Ðterritories,€or€possessions€by€any€means,€including€by€using€mail€or€any€means€orÐ ˆ$ Ðfacility€of€interstate€or€foreign€commerce.òò2óó€Ðê†!` (#` (# Ðà  àA€person€is€ð ðÔL  ÔÔM  Ôusedðð€if€they€are€photographed€or€videotaped.ÔL  ÔÔM  Ôòò3óóÐ Lè# ÐÔL  ÔÔM  Ôà  à"Sexually€explicit€conduct"€meansÔL  ÔÔM  Ô€actual€or€simulated€sexual€intercourse,€includingÐ ® J% Ð[genital„genital]€[oral„genital]€[anal„genital]€[oral„anal],€whether€between€persons€of€the€same€orÐ "¬' Ðopposite€sex;€[bestiality]€[masturbation]€[sadistic€or€masochistic€abuse]€[lascivious€exhibition€ofÐ r#) Ðthe€genitals€or€pubic€area€of€any€personÔL  ÔÔM  Ô].òò4óóÔL  ÔÔM  ÔÐ Ô$p+ Ðà  àThe€term€ð ðvisual€depictionðð€includes€[a]€[any]€[photograph]€[film]€[video]€[picture]€[or]Ð 6&Ò- Ð[computer€or€computer„generated€image€or€picture],€whether€made€or€produced€by€electronic,Ð ˜'4!/ Ðmechanical,€or€other€means.€€[It€includes€undeveloped€film€and€videotape,€and€data€stored€onÐ ú(–"1 Ðâ âcomputer€disk€or€by€electronic€means€which€is€capable€of€conversion€into€a€visual€image.]òò5óóÐ \*ø#3 Ðà  àAn€item€is€ð ðproducedðð€if€it€is€produced,€directed,€manufactured,€issued,€published,Ð d Ðâ âadvertised,€created,€made,€or€is€in€any€other€way€brought€into€being€by€the€involvement€of€anÐ Æb Ðindividual€participating€in€the€recording€of€child€pornography.òò6óóÔL  ÔÔM  ÔÐ ( Ä Ðà  àThe€Government€is€not€required€to€prove€that€the€defendant€knew€that€(minorððs€name)Ð Š & Ðwas€under€the€age€of€eighteen.Ð ì ˆ Ðà  à[Insert€paragraph€describing€the€Governmentððs€burden€of€proof.€€òòSeeóó€Instruction€3.09,Ð N ê  Ðòòsupraóó.]Ð °L  ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®  Ðà  à1.€€In€the€case€of€attempted€sexual€exploitation€of€a€child,€òòsee€United€States€v.€Piersonóó,Ð t  Ð544€F.3d€933€(8òòthóó€Cir.€2008).Ð `ü  Ðà  à2.€€The€fact€that€an€item€used€in€the€production€of€the€child€pornography€had€traveled€inÐ Â^  Ðinterstate€commerce€is,€by€itself,€sufficient€to€satisfy€the€analysis€of€whether€there€is€an€impact€onÐ ®J Ðinterstate€commerce€sufficient€to€prohibit€the€charged€conduct€under€Congressððs€CommerceÐ š6 ÐClause€powers.€€òòSee€United€States€v.€Ô_ÔBetcherÔ_Ôóó,€534€F.3d€820€(8òòthóó€Cir.€2008)€(discussing€severalÐ †" Ðother€Eighth€Circuit€cases€on€the€matter).€€Ð r Ðà  à3.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8òòthóó€Cir.€2007).Ð Ôp Ðà  à4.€€The€term€ð ðsexually€explicit€conductðð€is€defined€in€18€U.S.C.€ðð€2256(2).€€If€lasciviousÐ 6Ò Ðexhibition€of€the€genitals€is€at€issue,€it€should€be€further€defined.€€ÔL  ÔÔM  ÔòòSeeóó€Instruction€ÔL  ÔÔM  Ô6.18.2252A(1ÔL  ÔÔM  Ô).Ð "¾ Ðà  à5.€€18€U.S.C.€ðððð€2256(5)€and€(8).Ð „  Ðà  à6.€€The€term€ð ðproducingðð€is€defined€in€18€U.S.C.€ðð€2256(3).€€A€defendant€who€allegedlyÐ æ‚  Ðtook€no€directorial,€editorial,€or€managerial€role€when€he€filmed€minors€engaged€in€explicitÐ Òn! Ðsexual€conduct,€or€intended€that€the€photographs€be€disseminated€commercially,€nonetheless,Ð ¾Z" Ðð ðproducesðð€child€pornography,€within€the€meaning€of€the€statute€prohibiting€production€of€childÐ ª F# Ðpornography€because€Congressððs€intention€was€to€enact€a€broad€definition€of€ð ðproducingðð€thatÐ –!2$ Ðencompassed€the€various€means€by€which€an€individual€might€actively€participate€in€the€creationÐ ‚"% Ðand€distribution€of€child€pornography.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8ÔL  ÔÔM  Ôòòthóó€Cir.Ð n# & Ð2007).Ð Z$ö' Ðà@55!ìàò òCommittee€Commentsó óˆÐ ¼%X) Ðà  àÔL  ÔÔM  ÔKnowledge€of€the€age€of€the€minor€victim€is€not€an€element€of€the€offense.€€òòSee€UnitedÐ 'º + ÐStates€v.€Wilsonóó,€565€F.3d€1059,€1066€(8òòthóó€Cir.€2009);€òòUnited€States€v.€Ô_ÔPliegoÔ_Ôóó,€578€F.3d€938€(8òòthóóÐ  (¦!, ÐCir.€2009);€òòsee€ÔL  ÔÔM  Ôalso€United€States€v.€X„Citement€Video,€Inc.óóÔL  ÔÔM  Ô,€513€U.S.€64,€76€n.5€(1994)Ð ö(’"- Ð("[Ô_ÔP]roducersÔ_Ô€may€be€convicted€under€ðð€2251(a)€without€proof€they€had€knowledge€of€age€.€.€.€").€Ð â)~#. Ðâ âMistake€of€age€is€not€a€defense€to€this€crime.€€òòWilsonóó,€565€F.3d€at€1069;€òòÔ_ÔPliegoÔ_Ôóó,€578€F.3d€at€944.Ð Î*j$/ Ðà  àThe€age€of€the€child€depicted€may€be€proved€by,€ÔL  ÔÔM  Ôòòinter€aliaóóÔL  ÔÔM  Ô,€language€used€by€theÐ d Ðâ âdefendant€in€correspondence;€Postal€Inspectorððs€professional€and€personal€familiarity€with€childÐ Pì Ðdevelopment;€and€a€pediatrics€professorððs€testimony.€ÔL  ÔÔM  Ô€òòUnited€States€v.€BroylesóóÔL  ÔÔM  Ô,€37€F.3d€1314,Ð <Ø Ð1317„18€(8òòthóó€Cir.€1994);€ÔL  ÔÔM  ÔòòUnited€States€v.€RaylóóÔL  ÔÔM  Ô,€270€F.3d€709,€714€(8òòthóó€Cir.€2001).€€In€ÔL  ÔÔM  ÔòòUnitedÐ ( Ä ÐStates€v.€VigóóÔL  ÔÔM  Ô,€167€F.3d€443,€449„50€(8òòthóó€Cir.€1999),€the€court€found€that€the€jury€could€draw€itsÐ  ° Ðown€independent€conclusion€as€to€whether€real€children€were€depicted€by€examining€the€imagesÐ  œ Ðpresented€to€them.€ÔL  ÔÔM  ÔÐ ì ˆ ÐÔL  ÔÔM  Ôà  àThe€Eighth€Circuit€has€repeatedly€found€federal€jurisdiction€based€solely€on€the€use€of€aÐ N ê Ðcamera€or€camera€equipment€that€previously€crossed€state€lines.€€òòSee€United€States€v.€Ô_ÔFadlÔ_Ôóó,€498Ð :Ö  ÐF.3d€862€(8ÔL  ÔÔM  ÔòòthóóÔL  ÔÔM  Ô€Cir.€2007).Ð &  ÐÔL  ÔÔM  Ôà  àÔL  ÔÔM  ÔTransportation€in€interstate€or€foreign€commerce€can€be€accomplished€by€any€means,Ð ˆ$  Ðincluding€by€a€computer.€€18€U.S.C.€ðð€2251(b).ÔL  ÔÔM  ÔÐ t  Ðà  àÔL  ÔÔM  ÔA€defendant€who€simply€possesses,€transports,€reproduces,€or€distributes€childÐ Ör  Ðpornography€does€not€sexually€exploit€a€minor€in€violation€of€18€U.S.C.€ðð€2251,€even€though€theÐ Â^  Ðmaterials€possessed,€transported,€reproduced,€or€distributed€"involve"€such€sexual€exploitation€byÐ ®J Ðthe€producer.€ÔL  ÔÔM  Ô€òòUnited€States€v.€Hornóó,€187€F.3d€781€(8òòthóó€Cir.€1999).Ð  š6 ÐÔL  ÔÔM  ÔÔL  ÔÔM  ÔÔL  ÔÔM  ÔÔL  ÔÔM  ÔÖ€*)ìÊÖÓ €Óà@² ² ìàò òÔ% €¿ ÔÔ  Ô6.18.2251(d)(1).€€SEXUAL€EXPLOITATION€OF€A€CHILD€„€ˆÐ d Ðà@ùùìàNOTICE€OR€ADVERTISEMENT€TO€ACQUIRE€(18€U.S.C.€ðð€2251(d))Ô ,€s:Ôó óˆÐ Pì ÐÔL  ÔÔM  ÔÌÔL  ÔÔM  ÔÓ€Óà  àThe€crime€of€Sexual€Exploitation€of€a€Child,€as€charged€in€[Count€___€of]€the€indictment,Ð ( Ä Ðhas€three€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€knowingly€[made]€[printed]€[published]€[caused€to€be€made]€[causedÐ ì ˆ Ðto€be€printed]€[caused€to€be€published]€a€[notice]€[advertisement];ÔL  ÔÔM  ÔÐ N ê  ÐÔL  ÔÔM  Ôà  àòòTwoóó,€the€[notice]€[advertisement]€sought€or€offered:ÔL  ÔÔM  ÔÐ °L  Ðà0  àà0` (#(#àÔL  ÔÔM  Ôa)€to€[receive]€[exchange]€[buy]€[produce]€[reproduce]€[display]€any€ÔL  ÔÔM  Ô(describe€theÐ ®  Ðvisual€depiction,€òòe.g.óóÔL  ÔÔM  Ô€a€video€tape),€if€the€requested€production€of€[the€visualÐ t  Ðdepiction]€would€involve€a€real€person€under€the€age€of€18€years€engaging€inÐ Ör  Ðsexually€explicit€conduct,òò1óó€orÔL  ÔÔM  ÔÐ8Ô ` (#` (# Ðà0  àà0` (#(#àb)€participation€in€any€act€of€sexually€explicit€conduct€[by]€[with]€ÔL  ÔÔM  Ôa€person€underÐ š6 Ðthe€age€of€18€years€for€the€purpose€of€producing€a€visual€depiction€of€suchÐ ü˜ Ðconduct;€andÔL  ÔÔM  ÔÐ^ú` (#` (# ÐÔL  ÔÔM  Ôà  àòòThree:óóÐ À\ Ðà0  àà0` (#(#àa)€the€defendant€knew€or€had€reason€to€know€the€[notice]€[advertisement]€wouldÐ "¾ Ðbe€transported€[in€interstate€or€foreign€commerce€by€any€means]€[or€transmittedÐ „  Ðusing€any€means€of€facility€of€interstate€or€foreign€commerce],€including€byÐ æ‚! Ðcomputer€or€by€mail;€or€ÐHä#` (#` (# Ðà0  àà0` (#(#àb)€such€[notice]€[advertisement]€was€actually€transported€[in€interstate€or€foreignÐ ª F% Ðcommerce€by€any€means]€[using€any€means€or€facility€of€interstate€or€foreignÐ  "¨' Ðcommerce],€including€by€computer€or€by€mail.€ÔL  ÔÔM  ÔÐn# )` (#` (# Ðà  à"Sexually€explicit€conduct"€meansÔL  ÔÔM  Ô€actual€or€simulated€sexual€intercourse,€includingÐ Ð$l+ Ð[genital„genital]€[oral„genital]€[anal„genital]€[oral„anal],€whether€between€persons€of€the€same€orÐ 2&Î- Ðopposite€sex;€[bestiality]€[masturbation]€[sadistic€or€masochistic€abuse]€[lascivious€exhibition€ofÐ ”'0!/ Ðthe€genitals€or€pubic€area€of€any€personÔL  ÔÔM  Ô].òò2óóÔL  ÔÔM  ÔÐ ö(’"1 Ðà  àThe€term€ð ðvisual€depictionðð€includes€[a]€[any]€[photograph]€[film]€[video]€[picture]€[or]Ð X*ô#3 Ð[computer€or€computer„generated€image€or€picture],€whether€made€or€produced€by€electronic,Ð º+V%5 Ðmechanical,€or€other€means.€€[It€includes€undeveloped€film€and€videotape,€and€data€stored€onÐ d Ðcomputer€disk€or€by€electronic€means€which€is€capable€of€conversion€into€a€visual€image.]òò3óóÐ Æb Ðà  àAn€item€is€ð ðproducedðð€if€it€was€produced,€directed,€manufactured,€issued,€published,Ð ( Ä Ðadvertised,€created,€made,€or€in€any€other€way€brought€into€being€by€the€involvement€of€anÐ Š & Ðindividual€participating€in€the€recording€of€child€pornography.òò4óóÐ ì ˆ ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ N ê  Ðà  à1.€€Although€the€statute€requires€ð ðand€such€visual€depiction€is€of€such€conduct,ðð€thatÐ °L  Ðlanguage€is€unclear€in€situations€in€which€child€pornography€has€been€solicited€but€there€is€noÐ œ8  Ðevidence€that€such€a€request€was€acted€upon€(i.e.€there€is€no€evidence€that€materials€wereÐ ˆ$  Ðproduced€or€transmitted).€€Some€courts€have€interpreted€this€clause€to€mean€that€the€governmentÐ t  Ðmust€show€that€the€defendant€requested€child€pornography,€and€that€the€defendant€intended€it€beÐ `ü  Ðof€a€real€child.€€òòSee€United€States€v.€Ô_ÔPabonÔ_Ô-Cruzóó,€255€F.€Supp.€2d€200€(S.D.N.Y.€2003),€òòaffirmedÐ Lè  Ðatóó€391€F.3d€86€(2d€Cir.€2004).€€This€instruction€reflects€the€same€understanding.€€There€is€noÐ 8Ô  ÐEighth€Circuit€case€law€on€this€subject.€€Ð $À Ðà  à2.€€If€lascivious€exhibition€of€the€genitals€is€at€issue,€it€should€be€further€defined.€€ÔL  ÔÔM  ÔòòSeeóóÐ †" ÐInstruction€ÔL  ÔÔM  Ô6.18.2252A(1ÔL  ÔÔM  Ô).Ð r Ðà  à3.€€18€U.S.C.€ðððð€2256(5)€and€(8).Ð Ôp Ðà  à4.€€A€defendant€who€allegedly€took€no€directorial,€editorial,€or€managerial€role€when€heÐ 6Ò Ðfilmed€minors€engaged€in€explicit€sexual€conduct,€or€did€not€intend€that€the€photographs€beÐ "¾ Ðdisseminated€commercially,€nonetheless€"produces"€child€pornography,€within€the€meaning€ofÐ ª Ðthe€statute€prohibiting€production€of€child€pornography€because€Congress's€intention€was€to€enactÐ ú– Ða€broad€definition€of€"producing"€that€encompassed€the€various€means€by€which€an€individualÐ æ‚ Ðmight€actively€participate€in€the€creation€and€distribution€of€child€pornography.€€òòUnited€States€v.Ð Òn ÐÔ_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8ÔL  ÔÔM  Ôòòthóó€Cir.€2007).Ð ¾Z  Ðà@55!ìàò òCommittee€Commentsó óˆÐ  !¼" Ðà  àIn€cases€involving€the€intended€acquisition€of€child€pornography,€proof€that€the€defendantÐ ‚"$ Ðintentionally€sought€vÔ_ÔisualÔ_Ô€depictions€of€persons€actually€under€the€age€of€18€(as€opposed€toÐ n# % Ðsimulated€images€or€images€of€adults€who€looked€younger€than€their€actual€age)€is€required.€Ð Z$ö& ÐÔL  ÔÔM  ÔHowever,€proof€that€images€were€then,€in€fact,€produced€using€minors€actually€under€the€age€ofÐ F%â' Ð18€is€not€required.€€òòSeeóó€reasoning€at€òòUnited€States€v.€Ô_ÔPabonÔ_Ô-Cruzóó,€255€F.€Supp.€2d€200€(S.D.N.Y.Ð 2&Î( Ð2003),€òòaffirmed€atóó€391€F.3d€86€(2d€Cir.€2004).€€There€is€no€Eighth€Circuit€case€law€on€thisÐ 'º ) Ðsubject.Ð   (¦!* ÐÔL  ÔÔM  ÔÔL  ÔÔM  ÔÔL  ÔÔM  ÔÔL  ÔÔM  ÔÔL  ÔÔM  ÔÖ€+*ìËÖÓ €Óà@² ² ìàò òÔ% €Á ÔÔ  Ô6.18.2251(d)(2).€€SEXUAL€EXPLOITATION€OF€A€CHILD€„€ˆÐ d Ðà@ØØìàNOTICE€OR€ADVERTISEMENTS€TO€FURNISH€(18€U.S.C.€ðð€2251(d))Ô ,€MUÔó óˆÐ Pì ÐÔL  ÔÔM  ÔÌÔL  ÔÔM  ÔÓ€Óà  àThe€crime€of€Sexual€Exploitation€of€a€Child€by,€as€charged€in€[Count€___€of]€theÐ ( Ä Ðindictment,€has€three€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€knowingly€[made]€[printed]€[published]€[caused€to€be€made]€[causedÐ ì ˆ Ðto€be€printed]€[caused€to€be€published]€a€[notice]€[advertisement];ÔL  ÔÔM  ÔÐ N ê  Ðà  àÔL  ÔÔM  ÔòòTwoóó,€the€[notice]€[advertisement]€offered:ÔL  ÔÔM  ÔÐ °L  Ðà0  àà0` (#(#àÔL  ÔÔM  Ôa)€to€[produce]€[display]€[distribute]€[reproduce]€any€visual€depiction€(ÔL  ÔÔM  Ôdescribe€theÐ ®  Ðvisual€depiction,€òòe.g.óóÔL  ÔÔM  Ô€a€video€tape),€if€the€production€of€the€visual€depictionÐ t  Ðinvolves€a€person€under€the€age€of€18€years€engaging€in€sexually€explicit€conductÐ Ör  Ðand€such€visual€depiction€is€of€such€conduct,€orÔL  ÔÔM  ÔÐ8Ô ` (#` (# ÐÔL  ÔÔM  Ôà0  àà0` (#(#àb)€participation€in€any€act€of€sexually€explicit€conduct€[by]€[with]€ÔL  ÔÔM  Ôa€person€underÐ š6 Ðthe€age€of€18€years€for€the€purpose€of€producing€a€visual€depiction€of€suchÐ ü˜ Ðconduct;€andÐ^ú` (#` (# ÐÔL  ÔÔM  Ôà  àòòThree:óóÐ À\ Ðà0  àà0` (#(#àa)€the€defendant€knew€or€had€reason€to€know€the€[notice]€[advertisement]€wouldÐ "¾ Ðbe€transported€in€interstate€or€foreign€commerce€by€any€means,€including€byÐ „  Ðcomputer€or€by€mail;€or€Ðæ‚!` (#` (# Ðà0  àà0` (#(#àb)€such€[notice]€[advertisement]€was€actually€transported€in€interstate€or€foreignÐ Hä# Ðcommerce€by€any€means,€including€by€computer€or€by€mail.€ÔL  ÔÔM  ÔЪ F%` (#` (# Ðà  à"Sexually€explicit€conduct"€meansÔL  ÔÔM  Ô€actual€or€simulated€sexual€intercourse,€includingÐ  "¨' Ð[genital„genital]€[oral„genital]€[anal„genital]€[oral„anal],€whether€between€persons€of€the€same€orÐ n# ) Ðopposite€sex;€[bestiality]€[masturbation]€[sadistic€or€masochistic€abuse]€[lascivious€exhibition€ofÐ Ð$l+ Ðthe€genitals€or€pubic€area€of€any€personÔL  ÔÔM  Ô].òò1óóÔL  ÔÔM  ÔÐ 2&Î- Ðà  àThe€term€ð ðvisual€depictionðð€includes€[a]€[any]€[photograph]€[film]€[video]€[picture]€[or]Ð ”'0!/ Ð[computer€or€computer„generated€image€or€picture],€whether€made€or€produced€by€electronic,Ð ö(’"1 Ðmechanical,€or€other€means.€€[It€includes€undeveloped€film€and€videotape,€and€data€stored€onÐ X*ô#3 Ðcomputer€disk€or€by€electronic€means€which€is€capable€of€conversion€into€a€visual€image.]òò2óóÐ º+V%5 Ðà  àAn€item€is€ð ðproducedðð€if€it€is€produced,€directed,€manufactured,€issued,€published,Ð d Ðadvertised,€created,€made,€or€in€any€other€way€brought€into€being€by€the€involvement€of€anÐ Æb Ðindividual€participating€in€the€recording€of€child€pornography.òò3óóÔL  ÔÔM  ԀР( Ä ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Š & Ðà  à1.€€If€lascivious€exhibition€of€the€genitals€is€at€issue,€it€should€be€further€defined.€€ÔL  ÔÔM  ÔòòSeeóóÐ ì ˆ ÐInstruction€ÔL  ÔÔM  Ô6.18.2252A(1ÔL  ÔÔM  Ô).Ð Ø t  Ðà  à2.€€18€U.S.C.€ðððð€2256(5)€and€(8).Ð :Ö  Ðà  à3.€òò€óóA€defendant€who€allegedly€took€no€directorial,€editorial,€or€managerial€role€when€heÐ œ8  Ðfilmed€minors€engaged€in€explicit€sexual€conduct,€or€did€not€intend€that€the€photographs€beÐ ˆ$  Ðdisseminated€commercially,€nonetheless€"produces"€child€pornography,€within€the€meaning€ofÐ t  Ðthe€statute€prohibiting€production€of€child€pornography€because€Congress's€intention€was€to€enactÐ `ü  Ða€broad€definition€of€"producing"€that€encompassed€the€various€means€by€which€an€individualÐ Lè  Ðmight€actively€participate€in€the€creation€and€distribution€of€child€pornography.€€òòUnited€States€v.Ð 8Ô  ÐÔ_ÔFadlÔ_Ôóó,€498€F.3d€862,€867€(8ÔL  ÔÔM  Ôòòthóó€Cir.€2007).Ð  $À ÐÖ€,+ìÌÖÓ €Óà@ ìàò òÔ% €Ã ÔÔ  Ô6.18.2252.€€RECEIPT,€POSSESSION€OR€DISTRIBUTION€OF€à@@o o ìàMATERIAL€ˆÐ d Ðà@® ® ìàCONTAINING€CHILD€PORNOGRAPHY€ˆÐ Pì Ðà@h h ìà(18€U.S.C.€ðððð€2252A(a)(2)(A)€and€(B)€and€(a)(5)(B))Ô hÔó óˆÐ <Ø ÐÌÓ€Óà  àThe€crime€of€[receipt]€[possession]€[distribution]€of€child€pornography[,€as€charged€inÐ  ° Ð[Countòò€€€€óó]€of€the€indictment,]€has€three€elements,€which€are:€Ð v  Ðà  àòòOneóó,à0 ` àthat€on€or€about€(date)€the€defendant€knowingly€[received]€[possessed]òò1Ð Ø t Ðóó[distributed]€(name€of€item€or€items,€e.g.,€a€book,€magazine,€periodical,€film,Ð :Ö  Ðvideotape,€computer€disk,€etc.)€that€[were]€[contained]€[a]€[multiple]€visualÐ œ8  Ðdepiction(s)€of€child€pornography;Ðþš ` (#` (# Ðà  àòòTwoóó,à0 ` àthat€the€defendant€knew€that€the€visual€depiction(s)€[was]€[were]€of€a€minorÐ `ü  Ðengaging€in€sexually€explicit€conduct;òò2óó€andÐÂ^ ` (#` (# Ðà  àòòThreeóó,à0 ` àthat€the€[material€containing€the]€visual€depiction(s)€[[was]€[were]€produced€usingÐ $À Ðmaterials€that]òò3óó€had€been€[mailed€]€[shipped]€[transported]€[by€computer]€inÐ †" Ðinterstate€or€foreign€commerce.òò4óóÐè„` (#` (# Ðà  à[You€have€heard€evidence€of€more€than€one€visual€depiction€involved€in€the€offense.€€YouÐ Jæ Ðmust€agree€unanimously€as€to€which€visual€depiction(s)€the€defendant€possessed.]Ð ¬H Ðà  àThe€term€ð ðminorðð€means€any€person€under€the€age€of€eighteen€years.òò5óóÐ ª Ðà  àThe€phrase€ð ðchild€pornographyðð€means€any€visual€depiction€of€a€minor€engaging€inÐ p   Ðsexually€explicit€conduct,€where€the€minor€was€engaged€in€the€sexually€explicit€conduct€duringÐ Òn" Ðproduction€of€the€depiction.òò6óó€€The€term€ð ðvisual€depictionððincludes€[a]€[any]€[photograph]€[film]Ð 4 Ð$ Ð[video]€[picture]€[or]€[computer€or€computer„generated€image€or€picture],€whether€made€orÐ –!2& Ðproduced€by€electronic,€mechanical,€or€other€means.€€[It€includes€undeveloped€film€andÐ ø"”( Ðvideotape,€and€data€stored€on€computer€disk€or€by€electronic€means€which€is€capable€ofÐ Z$ö* Ðconversion€into€a€visual€image.]òò7óóÐ ¼%X, Ðà  àThe€term€ð ðsexually€explicit€conductðð€means€actual€or€simulated€[sexual€intercourse,Ð 'º . Ðincluding€[genital„genital]€[oral„genital]€[anal„genital]€[oral„anal],€whether€between€persons€ofÐ €("0 Ðthe€same€or€opposite€sex];€[bestiality]€[masturbation]€[sadistic€or€masochistic€abuse]]€[lasciviousÐ â)~#2 Ðexhibition€of€the€genitals€or€pubic€area€of€any€person].òò8óóÐ D+à$4 Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð d ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Æb Ðà  à1.€€Presence€of€child€pornography€images€in€a€computerððs€temporary€cache€file€is€notÐ ( Ä Ðsufficient€to€establish€the€defendantððs€knowing€possession€of€the€images.€€òòSee,€e.g.,€United€StatesÐ  ° Ðv.€Stulockóó,€Ô'&ÆetÔ308€F.3d€922,€925€(8òòthóó€Cir.€2002)€(the€district€court€in€a€bench€trial€held€that€ð ðoneÐ  œ Ðcannot€be€guilty€of€possession€for€simply€having€viewed€an€image€on€a€web€site,€thereby€causingÐ ì ˆ Ðthe€image€to€be€automatically€stored€in€the€browserððs€cache,€without€having€purposely€saved€orÐ Ø t Ðdownloaded€the€image.ðð€€The€government€did€not€appeal.);€òòbut€see€United€States€v.€Tuckeróó,€305Ð Ä `  ÐF.3d€1193,€1205€(10òòthóó€Cir.€2002)€(the€defendantððs€knowledge€that€the€images€would€be€stored€inÐ °L  Ðthe€temporary€cache€file€was€sufficient€to€show€knowing€possession€of€the€images€located€there).Ð œ8  Ðà  à2.€€The€Supreme€Court€in€òòUnited€States€v.€X„Citement€Video,€Inc.,€óó513€U.S.€64€(1992),Ð þš  Ðheld€with€respect€to€a€different€statute,€18€U.S.C.€ðð€2252(a)(1)€and€(2),€that€proof€of€scienter€as€toÐ ê†  Ðthe€age€of€the€person€depicted€is€required€for€conviction.€€While€the€phraseology€of€ðð€2252A(a)€isÐ Ör  Ðdifferent,€in€that€it€uses€the€phrase€ð ðchild€pornographyðð€instead€of€ð ðvisual€depiction€involving€theÐ Â^  Ðuse€of€a€minor,ðð€the€statute€also€contains€as€an€element€scienter€of€the€age€of€the€person€depicted.€Ð ®J ÐòòSee€United€States€v.€Achesonóó,€195€F.3d€645,€653€(11òòthóó€Cir.€1999).€€Courts€have€also€held€that€theÐ š6 Ðscienter€requirement€extends€to€knowledge€that€the€visual€depictions€were€sexually€explicit.€Ð †" ÐòòX-Citement€Video,€Inc.óó,€513€U.S.€at€78€(ðð€2252(a)(2));€òòUnited€States€v.€Fabianoóó,€169€F.3d€1299,Ð r Ð1303„04€(10òòthóó€Cir.€1999);€òòUnited€States€v.€Cedelleóó,€89€F.3d€181,€185€(4òòthóó€Cir.€1996).Ð ^ú Ðà  àThe€age€of€the€child€depicted€may€be€proved€by,€òòinter€aliaóó,€language€used€by€theÐ À\ Ðdefendant€in€correspondence;€Postal€Inspectorððs€professional€and€personal€familiarity€with€childÐ ¬H Ðdevelopment;€and€a€pediatrics€professorððs€testimony.€€òòUnited€States€v.€Broylesóó,€37€F.3d€1314,Ð ˜4 Ð1317„18€(8òòthóó€Cir.€1994);€òòUnited€StÔ_ÔatesÔ_Ô€v.€Raylóó,€270€F.3d€709,€714€(8òòthóó€Cir.€2001).€€In€òòUnitedÐ „  ÐStates€v.€Vigóó,€167€F.3d€443,€449„50€(8òòthóó€Cir.€1999),€the€court€found€that€the€jury€could€draw€itsÐ p  Ðown€independent€conclusion€as€to€whether€real€children€were€depicted€by€examining€the€imagesÐ \ø Ðpresented€to€them.€€òòBut€see€United€States€v.€Hiltonóó,€363€F.3d€58,€64„65€(1òòstóó€Cir.€2004)€(ð ðtheÐ Hä Ðgovernment€must€introduce€relevant€evidence€òòin€addition€toóó€the€images€to€prove€the€children€areÐ 4 Ð Ðreal.ðð).€€Finally,€in€òòUnited€States€v.€Deatonóó,€328€F.3d€454,€455€(8òòthóó€Cir.€2003),€the€court€held€thatÐ  !¼ Ðthe€government€is€not€required€to€introduce€affirmative€evidence€that€images€of€children€were€òònotóóÐ  "¨  Ðcomputer€generated.€Ð ø"”! Ðà  à3.€€This€bracketed€material,€which€refers€to€production€using€materials€that€had€beenÐ Z$ö# Ðmailed,€shipped€or€transported€in€interstate€commerce,€is€for€possible€inclusion€òòonlyóó€inÐ F%â$ Ðprosecutions€brought€under€ðð€2252A(a)(5)(B).€€If€the€government€alleges€that€multiple€depictionsÐ 2&Î% Ðare€involved,€the€court€may€consider€submitting€special€interrogatories.€€òòSeeóó€11.03.Ð 'º & Ðà  à4.€€Whether€the€statute€requires€the€defendant€have€knowledge€that€the€item€traveled€inÐ €("( Ðinterstate€commerce€has€not€yet€been€resolved€by€the€Eighth€Circuit;€if€analyzed€similarly€toÐ l)#) Ðfederal€gun€statutes,€interstate€transportation€without€the€knowledge€of€the€defendant€isÐ X*ô#* Ðsufficient.€€òòSee€United€States€v.€Robinsonóó,€137€F.3d€652,€655€(1òòstóó€Cir.€1998)€(ðð€2252);€òòbut€seeÐ D+à$+ ÐUnited€States€v.€Colavitoóó,€19€F.3d€69,€71€(2d€Cir.€1994)€(ðð€2252)€(the€defendant€must€know€thatÐ 0,Ì%, Ðhe€was€receiving€material€through€interstate€commerce€and€that€the€materials€contained€sexuallyÐ d Ðexplicit€depictions€of€minors).€€òòSeeóó€6.18.2252B€for€definitions€of€interstate€commerce.Ð Pì Ðà  à5.€€18€U.S.C.€ðð€2256(1).Ð ²N Ðà  à6.€€18€U.S.C.€ðð€2256(8)(A).€€The€Committee€believes€that€the€greatest€number€ofÐ  ° Ðprosecutions€will€be€brought€under€this€subsection€of€the€statute.€€Section€2256(8)(B)€and€(C)Ð  œ Ðcontain€two€additional€definitions€of€child€pornography.€€Ð ì ˆ Ðà  àSection€2256(8)(B)€was€amended€in€response€to€òòAshcroft€v.€Free€Speech€Coalitionóó,€535Ð N ê  ÐU.S.€234€(2002)€to€provide€that:€€Ð :Ö  Ðà0  àsuch€visual€depiction€is€a€digital€image,€computer€image,€or€computer€generated€imageÐ œ8  Ðthat€is,€or€is€indistinguishable€from,€that€of€a€minor€engaging€in€sexually€explicit€conduct.Ј$ (#(# ÐThe€Committee€expresses€no€opinion€whether€this€provision€will€be€found€to€have€the€sameÐ ê†  Ðconstitutional€infirmity€as€its€predecessor.Ð Ör  Ðà  àSection€2256(8)(C)€can€be€instructed€as€follows:€€Ð 8Ô  Ðà0  àThe€phrase€ð ðchild€pornographyðð€means€a€visual€depiction€that€has€been€created,€adapted,Ð š6 Ðor€modified€to€appear€that€an€identifiable€minor€is€engaging€in€sexually€explicit€conduct.І"(#(# Ðà  àIf€this€subsection€is€used,€the€following€definition€of€ð ðidentifiable€minorðð€should€beÐ è„ Ðincluded:Ð Ôp Ðà0  àThe€term€ð ðidentifiable€minorðð€as€used€in€the€definition€of€child€pornographyÐ6Ò(#(# Ðà0  àmeans€a€person€[who€was€a€minor€at€the€time€the€visual€depiction€was€created,€adapted€orÐ ˜4 Ðmodified]€[whose€image€as€a€minor€was€used€in€creating,€adapting,€or€modifying€theÐ „  Ðvisual€depiction]€and€who€is€recognizable€as€an€actual€person€by€the€personððs€face,Ð p  Ðlikeness,€or€other€distinguishing€characteristic,€such€as€a€unique€birthmark€or€otherÐ \ø Ðrecognizable€feature.€€[The€government€is€not€required€to€prove€the€actual€identity€of€theÐ Hä  Ðidentifiable€minor.]Ð4 Ð!(#(# Ð18€U.S.C.€ðð€2256(9).Ð –!2# Ðà  à7.€€18€U.S.C.€ðððð€2256(5)€and€(8).Ð ø"”% Ðà  à8.€€18€U.S.C.€ðð€2256(2)(A).€€If€the€prosecution€is€brought€under€18€U.S.C.€ðð€2256(8)(B),Ð Z$ö' Ðthe€definition€of€sexually€explicit€conduct€should€be€taken€from€18€U.S.C.€ðð€2256(2)(B).Ð F%â( ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¨&D * Ðà  àThis€instruction€has€been€drafted€to€comply€with€amendments€made€to€ðð€2252A€by€theÐ  (¦!, ÐProsecutorial€Remedies€and€Other€Tools€to€end€the€Exploitation€of€Children€Today€(PROTECT)Ð ö(’"- ÐÔ'&¨& ‘ÔAct€of€2003,€Pub.€L.€No.€108-21,€117€Stat.€650€(2003).€€The€amendments€are€effective€April€30,Ð â)~#. Ð2003.€€If€the€criminal€conduct€occurred€prior€to€April€30,€2003,€the€instruction€should€be€revisedÐ Î*j$/ Ðto€comply€with€the€unamended€statute.Ð  º+V%0 ÐÓ €ÓÖ€.,ìÍÖà@‘ ‘ ìàò òÔ% €Å ÔÔ  Ô6.18.2252A.€€ð ðLASCIVIOUSðð€EXPLAINEDÔ ))¼“Ôó óˆÐ d ÐÌÓ€Óà  àWhether€a€visual€depiction€of€the€genitals€or€pubic€area€constitutes€a€lascivious€exhibitionÐ <Ø Ðrequires€a€consideration€of€the€overall€content€of€the€material.€€You€may€consider€such€factors€asÐ ž : Ð(1)€whether€the€focal€point€of€the€picture€is€on€the€minorððs€genitals€€or€pubic€area;€(2)€whether€theÐ  œ Ðsetting€of€the€picture€is€sexually€suggestive,€that€is,€in€a€place€or€pose€generally€associated€withÐ b þ Ðsexual€activity;€(3)€whether€the€minor€is€depicted€in€an€unnatural€pose€or€in€inappropriate€attire,Ð Ä `  Ðconsidering€the€age€of€the€minor;€(4)€whether€the€minor€is€fully€or€partially€clothed,€or€nude;€(5)Ð &  Ðwhether€the€picture€suggests€sexual€coyness€or€a€willingness€to€engage€in€sexual€activity;€(6)Ð ˆ$  Ðwhether€the€picture€is€intended€or€designed€to€elicit€a€sexual€response€in€the€viewer;€(7)€whetherÐ ê†  Ðthe€picture€portrays€the€minor€as€a€sexual€object;€and€(8)€the€caption(s)€on€the€picture(s).Ð Lè  Ðà  àIt€is€for€you€to€decide€the€weight€or€lack€of€weight€to€be€given€to€any€of€these€factors.€€AÐ ®J Ðpicture€need€not€involve€all€of€these€factors€to€constitute€a€lascivious€exhibition€of€the€genitals€orÐ ¬ Ðpubic€area.Ð r ÐÓ€ÓÓ €ÓÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ôp Ðà  àTitle€18,€United€States€Code,€ðð€2256(2).€€The€first€six€factors€are€derived€from€òòUnitedÐ 6Ò ÐStates€v.€Dostóó,€636€F.€Supp.€828,€832€(S.D.€Cal.€1986),€òòaffððdóó€òòsub.€nomóó.òò€United€States€v.€Wiegandóó,Ð "¾ ÐÔ'&Ô¤™Ô812€F.2d€1239,€1244€(9òòthóó€Cir.€1987)€and€are€generally€cited.€€òòSee,€e.g.óó,€òòUnited€States€v.€Hornóó,€187Ð ª ÐF.3d€781,€789€(8òòthóó€Cir.€1999);òò€United€States€v.€Carrollóó,€190€F.3d€290,€296€(5òòthóó€Cir.€1999);€òòUnitedÐ ú– ÐStates€v.€Amiraultóó,€173€F.3d€28,€31€(1òòstóó€Cir.€1999).€€The€seventh€and€eighth€factors€were€added€byÐ æ‚  Ðthe€court€in€òòUnited€States€v.€Arvinóó,€900€F.2d€1385€(9th€Cir.€1990)€(interpreting€the€definition€ofÐ Òn! Ðð ðlasciviousðð€found€in€18€U.S.C.€ðð2256(2)(E)€for€purposes€of€ðð€2252).€€Ð ¾Z" Ðà  àThe€factors€are€ð ðneither€comprehensive€nor€necessarily€applicable€in€every€situation.€.€.Ð  !¼$ Ð[T]here€may€be€other€factors€that€are€equally€if€not€more€important€in€determining€whether€aÐ  "¨% Ðphotograph€contains€a€lascivious€exhibition.ðð€€òòUnited€States€v.€Amiraultóó,€173€F.3d€at€32.Ð ø"”& Ðà  àIn€òòUnited€States€v.€Raylóó,€270€F.3d€709,€714€(8th€Cir.€2001),€the€court€held€that€theÐ Z$ö( Ðquestion€whether€materials€depict€a€ð ðlascivious€exhibition€of€the€genitalsðð€is€for€the€finder€of€fact.€Ð F%â) ÐHowever,€the€meaning€of€ð ðlascivious€exhibition€of€the€genitalsðð€is€an€issue€of€law.€€The€districtÐ 2&Î* Ðcourt€therefore€should,€before€submitting€materials€offered€by€the€government€to€the€jury,Ð 'º + Ðconduct€a€preliminary€review€of€whether€those€materials€depict€sexually€explicit€conduct€as€aÐ  (¦!, Ðmatter€of€law.€€òòAccordóó€òòUnited€States€v.€Hornóó,€187€F.3d€at€789.šÐ  ö(’"- ÐÖ€0.ìÎÖÓ €Óà@‰ ‰ ìàò òÔ% €Ç ÔÔ  Ô6.18.2252B.€€ð ðINTERSTATE€COMMERCEðð€DEFINEDÔ ))ô¡Ôó óˆÐ d ÐÌÓ€Óà  àThe€phrase€"interstate€commerce"€means€commerce€between€any€combination€of€states,Ð <Ø Ðterritories,€and€possessions€of€the€United€States,€including€the€District€of€Columbia.òò1óóÐ ž : Ðà  à[The€phrase€"foreign€commerce,"€as€used€above,€means€commerce€between€any€state,Ð  œ Ðterritory€or€possession€of€the€United€States€and€a€foreign€country.]òò1óóÐ b þ Ðà  à[The€term€"commerce"€includes,€among€other€things,€travel,€trade,€transportation€andÐ Ä `  Ðcommunication.]òò1óóÐ &  Ðà  à[Images€transmitted€or€received€over€the€Internet€have€moved€in€interstate€or€foreignÐ ˆ$  Ðcommerce.òò2óó€€It€is€for€you€to€determine,€however,€if€[the€material€containing]€the€visual€depictionÐ ê†  Ð[had€been€transmitted€or€received€over€the€Internet]€[was€produced€using€materials€that€had€beenÐ Lè  Ðtransmitted€or€received€over€the€Internet]].òò3óóÐ ®J ÐÓ€ÓÓ €ÓÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¬ Ðà  à1.€€òòSee€óó6.18.1956J(2);€òòUnited€States€v.€Hamptonóó,€260€F.3d€832€(8òòthóó€Cir.€2001);€òòUnitedÐ r ÐStates€v.€Bauschóó,€140€F.3d€739€(8òòthóó€Cir.€1998).Ð ^ú ÐÔ'œœ¦Ôà  à2.€€òòSee€United€States€v.€Smithóó,€47€M.J.€588€(1997)€(relying€in€part€on€òòUnited€States€v.Ð À\ ÐCarrollóó,€105€F.3d€740,€742€(1òòstóó€Cir.€1997);€òòUnited€States€v.€Thomasóó,€74€F.3d€701,€706„07€(6òòthóó€Cir.Ð ¬H Ð1996);€òòUnited€States€v.€Runyanóó,€290€F.3d€223,€239€(5òòthóó€Cir.€2002).€€Each€item€must€beÐ ˜4 Ðindependently€linked€to€the€Internet.€€òòUnited€States€v.€Henriquesóó,€234€F.3d€263,€266€(5òòthóó€Cir.Ð „  Ð2000);€òòUnited€States€v.€Wilsonóó,€182€F.3d€737,€744€(10òòthóó€Cir.€1999).Ð p  Ðà  à3.€€The€last€bracketed€portion€of€this€sentence€is€applicable€only€in€prosecutions€underÐ Òn! Ððð2252A(a)(5)(B).šÐ  ¾Z" ÐÖ€20ìÏÖÓ €Óà@E E ìàò òÔ% €É ÔÔ  Ô6.18.2252C.€€ð ðCOMPUTERðð€DEFINEDÔ ))!«Ôó óˆÐ d ÐÌÓ€Óà  àThe€term€ð ðcomputerðð€as€used€in€this€instruction€means€an€electronic,€magnetic,€optical,Ð <Ø Ðelectrochemical,€or€other€high€speed€data€processing€device€performing€logical,€arithmetic,€orÐ ž : Ðstorage€functions,€and€includes€any€data€storage€facility€or€communications€facility€directlyÐ  œ Ðrelated€to€or€operating€in€conjunction€with€such€device,€but€such€term€does€not€include€anÐ b þ Ðautomated€typewriter€or€typesetter,€a€portable€hand€held€calculator,€or€other€similar€device.€Ð Ä `  ÐÓ€ÓÓ €ÓÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ &  Ðà  àòòSeeóó€18€U.S.C.€ðððð€1030(e),€2252A(a)(5)(B)€and€2256(6).Ô'N&ý­ÔÐ  ˆ$  ÐÖ€42ìÐÖÓ €Óà@ooìàò òÔ% €Ë ÔÔ  Ô6.18.2312.€€INTERSTATE€TRANSPORTATION€OF€STOLEN€VEHICLE€ˆÐ d Ðà@îî!ìà(18€U.S.C.€ðð2312)Ô €U ¯Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[interstate]€[foreign]€transportation€of€a€stolen€motor€vehicle,€as€charged€inÐ ( Ä Ð[Count€___€of]€the€indictment,€has€three€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€(describe€vehicle)€was€stolen;€Ð ì ˆ Ðà  àòòTwoóó,€after€the€vehicle€was€stolen,€the€defendant€[moved]€[caused€it€to€be€moved]€across€aÐ N ê  Ð[state€line]€[United€States€border];€Ð °L  Ðà  àòòThreeóó,€at€the€time€he€[moved€the€vehicle][caused€the€vehicle€to€be€moved]€across€a€[stateÐ ®  Ðline]€[United€States€border],€the€defendant€knew€it€was€stolen.€Ð t  Ðà  àProperty€has€been€"stolen"€when€it€has€been€taken€with€the€intent€to€permanently€orÐ Ör  Ðtemporarily€deprive€the€owner€of€the€rights€and€benefits€of€ownership.€Ð 8Ô  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ š6 ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ ü˜ Ðà  àòòSeeóó€òòUnited€States€v.€Harrisóó,€528€F.2d€1327,€1330€(8th€Cir.€1975);€òòUnited€States€v.€Gillissóó,Ð ^ú Ð645€F.2d€1269,€1279-80€n.25€(8th€Cir.€1981).€Ð Jæ ÐÔ'œüó³Ôà  à"Stolen"€is€defined€in€òòUnited€States€v.€Turleyóó,€352€U.S.€407,€410-17€(1957).€Ð ¬H Ðà  àWhere€a€person€lawfully€obtains€possession€of€a€motor€vehicle€and€later€forms€an€intentÐ ª Ðto€convert€it€to€his€own€use,€and€in€furtherance€of€that€intention€transports€it€across€state€lines,Ð ú– Ðthere€is€a€violation€of€section€2312.€€òòUnited€States€v.€Milesóó,€472€F.2d€1145,€1146€(8th€Cir.€1973);Ð æ‚  ÐòòUnited€States€v.€Brutonóó,€414€F.2d€905€(8th€Cir.€1969).€€In€such€a€case,€the€following€paragraphÐ Òn! Ðshould€be€added:€€Ð ¾Z" Ðà0  àIt€is€not€necessary€that€the€taking€of€the€vehicle€be€unlawful.€€Even€if€possession€of€theÐ  !¼$ Ðvehicle€is€lawfully€acquired,€the€vehicle€will€be€deemed€'stolen'€if€the€defendant€thereafterÐ  "¨% Ðforms€the€intent€to€deprive€the€owner€of€the€rights€and€benefits€of€ownership,€andÐ ø"”& Ðconverts€the€vehicle€to€his€own€use.Ðä#€'(#(# Ðà  àThe€taking€need€not€be€done€with€the€intent€to€permanently€deprive€the€owner€of€theÐ F%â) Ðvehicle.€€òòSeeóó€òòUnited€States€v.€Brutonóó,€414€F.2d€at€908.€€Ð 2&Î* Ðà  àThe€defendant€must€know€that€the€vehicle€in€question€is€stolen,€but€need€not€know€that€itÐ ”'0!, Ðis€being€transported€across€state€lines.€€òòSeeóó€òòUnited€StÔ_ÔatesÔ_Ô€v.€Spooneóó,€741€F.2d€680,€686€(4th€Cir.Ð €("- Ð1984);€òòUnited€States€v.€Martinezóó,€694€F.2d€71,€72€(5th€Cir.€1982).€Ð  l)#. ÐÖ€64ìÑÖÓ €Óà@__ ìàò òÔ% €Í ÔÔ  Ô6.18.2313.€€RECEIPT€OR€SALE€OF€A€STOLEN€MOTOR€VEHICLE€OR€AIRCRAFT€ˆÐ d Ðà@îî!ìà(18€U.S.C.€ðð€2313)Ô €UÑ»Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[receiving]€[possessing]€[concealing]€[storing]€[selling]€[disposing€of]€aÐ ( Ä Ðstolen€[motor€vehicle]€[aircraft],€as€charged€in€[Count€òò€€€€€óó€of]€the€indictment,€has€four€elements,Ð Š & Ðwhich€are:€Ð ì ˆ Ðà  àòòOneóó,€the€(describe€vehicle€or€aircraft)€was€stolen;€Ð N ê  Ðà  àòòTwoóó,€after€it€was€stolen,€the€[vehicle]€[aircraft]€was€moved€across€a€[state€line]€[UnitedÐ °L  ÐStates€border];€Ð ®  Ðà  àòòThreeóó,€after€the€[vehicle]€[aircraft]€had€been€stolen€and€moved€across€a€[state€line]Ð t  Ð[United€States€border],€the€defendant€[received]€[possessed]€[concealed]€[stored]€[sold]€[disposedÐ Ör  Ðof]òò1€€€óóit;€and€Ð 8Ô  Ðà  àòòFouróó,€at€the€time€the€defendant€[received]€[concealed]€[stored]€[sold]€[disposed€of]€theÐ š6 Ð[vehicle]€[aircraft],€he€knew€it€had€been€stolen.€Ð ü˜ Ðà  àProperty€has€been€"stolen"€when€it€has€been€taken€with€the€intent€to€permanently€orÐ ^ú Ðtemporarily€deprive€the€owner€of€the€rights€and€benefits€of€ownership.€Ð À\ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ "¾ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ „  Ðà  à1.€€If€acts€constituting€both€housing€of€stolen€vehicles€and€disposal€of€stolen€vehicles€areÐ æ‚! Ðcharged,€further€instructions€will€be€necessary€to€assure€jury€unanimity€on€at€least€one€theory.€Ð Òn" ÐòòSeeóó€òòÔ'&„ÂÔUnited€States€v.€Gipsonóó,€553€F.2d€453€(5th€Cir.€1977).€Ð ¾Z# ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ  !¼% Ðà  àòòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rAÄ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r‹Ä#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rÒÄ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r!Å#Ô:€€CriminalÐ ‚"' Ððð59.06€(5th€ed.€2000);€òòUnited€States€v.€Bradyóó,€425€F.2d€309,€311€(8th€Cir.€1970)Ô': !»ÃÔ.€€òòBUT€NOTEóó:€Ð n# ( ÐThose€referenced€instructions€are€all€based€on€18€U.S.C.€ðð2313€òòprioróó€to€being€amended€onÐ Z$ö) ÐOctober€25,€1984.€€This€instruction€6.18.2313€reflects€18€U.S.C.€ðð2313€as€amended.€Ð F%â* Ðà  àSection€2313€relates€to€the€receipt€or€sale€of€stolen€motor€vehicles€and€aircraft.€€SectionÐ ¨&D , Ð2315€relates€to€the€receipt€or€sale€of€stolen€money,€securities,€or€other€property.€€The€elements€ofÐ ”'0!- Ðthe€two€offenses€are€virtually€identical€except€that€section€2315€requires€that€the€stolen€propertyÐ €(". Ðhad€a€value€of€at€least€$5,000,€while€section€2313€contains€no€such€requirement.€€"Value"€meansÐ l)#/ Ðmarket€value.€€òòUnited€States€v.€Williamsóó,€657€F.2d€199,€202€(8th€Cir.€1981).€€If€the€defendant€isÐ X*ô#0 Ðcharged€under€section€2315,€an€additional€element€positing€a€minimum€value€of€$5,000.00€mustÐ D+à$1 Ðbe€included€in€this€instruction.€Ð 0,Ì%2 Ðà  àThis€statute€was€amended€as€of€October€25,€1984,€to€provide€that€federal€criminalÐ d Ðjurisdiction€continues€over€a€stolen€motor€vehicle€once€it€crosses€a€state€line€even€after€it€ceasesÐ Pì Ðto€be€part€of€the€flow€of€interstate€commerce.€€Thus€it€is€no€longer€necessary€to€prove€that€aÐ <Ø Ðvehicle€stolen€after€October€25,€1984€was€still€in€interstate€commerce€at€the€time€of€receipt,Ð ( Ä Ðpossession,€etc.€€A€similar€amendment€was€made€to€section€2315€as€of€November€10,€1986.€Ð  ° Ðà  àWith€respect€to€stolen€vehicles€taken€across€a€state€line€prior€to€October€25,€1984,€theÐ v  Ðquestion€of€whether€property€was€moving€in€interstate€commerce€at€the€relevant€time€is€ordinarilyÐ b þ Ðfor€the€jury.€€òòUnited€States€v.€Tobinóó,€576€F.2d€687,€691€(5th€Cir.€1978).€€òòSee€alsoóó€òòUnited€States€v.Ð N ê ÐHiscottóó,€586€F.2d€1271,€1274€(8th€Cir.€1978);€òòUnited€States€v.€Briddleóó,€430€F.2d€1335,€1338-39Ð :Ö  Ð(8th€Cir.€1970).€Ð &  Ðà  àThe€defendant's€knowledge€that€the€property€was€stolen€is€an€element€of€each€offenseÐ ˆ$  Ðcovered€by€sections€2312„2315.€€òòUnited€States€v.€Milleróó,€725€F.2d€462,€468€(8th€Cir.€1984);Ð t  ÐòòUnited€States€v.€Wilsonóó,€523€F.2d€828,€829-30€(8th€Cir.€1975).€€Such€knowledge€may€beÐ `ü  Ðestablished€by€evidence€of€the€defendant's€unexplained€possession€of€recently€stolen€property.€Ð Lè  ÐòòId.óó;€òòUnited€States€v.€Brothertonóó,€427€F.2d€1286,€1288€(8th€Cir.€1970).€€An€explanation€ofÐ 8Ô  Ðpossession€or€receipt€by€the€defendant€does€not€automatically€preclude€the€jury€from€weighingÐ $À Ðthe€inference€created€by€possession.€€òòUnited€States€v.€Burnsóó,€597€F.2d€939,€943-44€n.7€(5th€Cir.Ð ¬ Ð1979).€€òòSeeóó€Instruction€4.13,€òòsupraóó.€€Knowledge€of€the€involvement€of€interstate€commerce€is€notÐ ü˜ Ðnecessary€for€conviction.€€òòUnited€States€v.€Wilsonóó,€523€F.2d€at€829€n.2.€Ð è„ Ðà  à"Stolen"€is€defined€in€òòUnited€States€v.€Turleyóó,€352€U.S.€407,€410-17€(1957).€Ð Jæ Ðà  à"Possession"€will€not€ordinarily€need€to€be€defined.€€"Where€the€proof€of€possession€isÐ ¬H Ðoverwhelming€or€where€ordinary€laymen's€concepts€of€possession€will€suffice,€no€legal€definitionÐ ˜4 Ðis€necessary."€€òòKramer€v.€United€Statesóó,€408€F.2d€837,€840-41€(8th€Cir.€1969)€and€cases€citedÐ „  Ðtherein.€€òòKÔ_ÔramerÔ_Ôóó€does€recognize€that€in€certain€factual€situations€it€might€be€more€desirable€toÐ p  Ðdefine€the€word€"possession"€in€order€to€more€precisely€delineate€the€issues.€€408€F.2d€at€840€n.2.€Ð \ø ÐòòSeeóó€Instruction€8.02,€òòinfraóó.€Ð Hä Ðà  àLikewise€"conceal"€is€to€be€given€its€ordinary€meaning€by€the€jury,€although€the€courtÐ ª F Ðmay€illustrate€or€expand€on€that€meaning.€€òòSeeóó€òòUnited€States€v.€Folsomóó,€479€F.2d€1,€3€(8th€Cir.Ð –!2  Ð1973);€òòUnited€States€v.€Sherriffóó,€546€F.2d€604,€608€(5th€Cir.€1977).€€Concealing€does€requireÐ ‚"! Ðsome€overt€act€beyond€mere€possession.€€òòUnited€States€v.€Powellóó,€420€F.2d€949,€950€(6th€Cir.Ð n# " Ð1970).€€òòSee€alsoóó€òòUnited€States€v.€Mahannaóó,€461€F.2d€1110,€1117€(8th€Cir.€1972).€Ð  Z$ö# ÐÖ€86ìÒÖÓ €Óà@ìàò òÔ% €Ï ÔÔ  Ô6.18.2314.€€INTERSTATE€TRANSPORTATION€OF€STOLEN€PROPERTY€ˆÐ d Ðà@â â ìà(18€U.S.C.€ðð€2314)€(First€Paragraph)Ô €UIØÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[interstate]€[foreign]€transportation€of€[stolen]€[converted]€[fraudulentlyÐ ( Ä Ðtaken]€property,òò1óó€as€charged€in€[Count€òò€€€€€óó€of]€the€indictment,€has€four€elements,€which€are:€Ð Š & Ðà  àòòOneóó,€the€(describe€property)€was€[stolen]€[converted]€[taken€by€fraud];€Ð ì ˆ Ðà  àòòTwoóó,€the€(describe€property)€then€had€a€valueòò2óó€of€$5,000.00€or€more;€Ð N ê  Ðà  àòòThreeóó,€after€the€(describe€property)€was€[stolen]€[converted]€[taken€by€fraud],€theÐ °L  Ðdefendant€[moved€it]€[caused€it€to€be€moved]€across€a€[state€line]€[United€States€border];€and€€Ð ®  Ðà  àòòFouróó,€at€the€time€the€defendant€[moved€the€(describe€property)]€[caused€the€(describeÐ t  Ðproperty)€to€be€moved]€across€a€[state€line]€[United€States€border],€[he]€[she]€knew€that€it€hadÐ Ör  Ðbeen€[stolen]€[converted]€[taken€by€fraud].€Ð 8Ô  Ðà  à[Property€has€been€"stolen"€when€it€has€been€taken€with€the€intent€to€permanently€orÐ š6 Ðtemporarily€deprive€the€owner€of€the€rights€and€benefits€of€ownership.]€Ð ü˜ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ^ú ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ À\ Ðà  à1.€€The€statute€specifically€applies€to€"goods,€wares,€merchandise,€securities€or€money."€Ð "¾ ÐAny€of€these€terms€may€be€substituted€for€the€word€"property"€as€is€applicable.€€"Money"€andÐ ª Ð"Securities"€Ô'&À–ÞÔare€defined€in€section€2311.€Ð ú– Ðà  à2.€€"Value"€is€defined€in€section€2311.€€If€value€is€a€disputed€issue,€a€definition€should€beÐ \ø! Ðgiven€to€the€jury.€€òòSeeóó€Committee€Comments,€òòsupraóó.€Ð Hä" ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ª F$ Ðà  àòòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rrá#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¼á#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%râ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rRâ#Ô:€€CriminalÐ  "¨& Ððð59.09€(5th€ed.€2000).€€òòSee€generallyóó€òòGay€v.€United€Statesóó,€408€F.2d€923,€926-29€(8th€Cir.Ð ø"”' ÐÔ'&ª ìàÔ1969).€Ð ä#€( Ðà  àòòSeeóó€Committee€Comments,€Instructions€6.18.2312€and€6.18.2313,€òòsupraóó.€Ð F%â* Ðà  àKnowledge€that€the€property€was€stolen€or€taken€by€fraud€is€an€element€of€this€offense,Ð ¨&D , Ðbut€"specific€intent"€is€not.€€òòUnited€States€v.€Milleróó,€725€F.2d€462,€468€(8th€Cir.€1984);€òòUnitedÐ ”'0!- ÐStates€v.€Zarattinióó,€552€F.2d€753,€760€(7th€Cir.€1977).€€Knowledge€or€foreseeability€of€interstateÐ €(". Ðtransportation€is€not€necessary€for€conviction.€€òòUnited€States€v.€Kibbyóó,€848€F.2d€920,€923€(8thÐ l)#/ Ðâ âCir.€1988);€òòUnited€States€v.€Ludwigóó,€523€F.2d€705,€707€(8th€Cir.€1975).Ð X*ô#0 Ðà  àThis€offense€is€not€limited€to€the€physical€movement€of€tangible€property€from€one€stateÐ d Ðâ âto€another;€it€is€a€violation€of€Section€2314€to€cause€an€interstate€wire€transfer€of€stolen€funds.€Ð Pì ÐòòSeeóó€òòUnited€States€v.€Wrightóó,€791€F.2d€133€(10th€Cir.€1986).€Ð <Ø Ðà  à"Stolen"€is€defined€in€òòUnited€States€v.€Turleyóó,€352€U.S.€407,€410-17€(1957).€Ð ž : Ðà  àFraud€includes€false€representation,€dishonesty€and€deceit.€€"It€may€result€from€recklessÐ  œ Ðrepresentation€even€when€not€made€with€a€deliberate€intent€to€deceive."€€òòUnited€States€v.Ð ì ˆ ÐGraingeróó,€701€F.2d€308,€311€(4th€Cir.€1983).€Ð Ø t Ðà  à"Value"€is€defined€in€section€2311.€€Market€value€is€ordinarily€used€to€determine€theÐ :Ö  Ðvalue€of€stolen€property.€€However€any€reasonable€method€may€be€used€to€ascribe€a€monetaryÐ &  Ðvalue€to€goods€which€have€no€market€value€or€the€value€of€which€depends€on€intangibleÐ ®  Ðcomponents,€including€development€and€production€costs,€revenues,€or€price€in€a€"thieves'Ð þš  Ðmarket."€€òòSeeóó€òòUnited€States€v.€Stegoraóó,€849€F.2d€291,€292€(8th€Cir.€1988).€Ð ê†  Ðà  àSeparate€transactions€under€$5,000€may€be€aggregated€for€the€purpose€of€meeting€theÐ Lè  Ð$5,000€limit€of€18€U.S.C.€ðð€2314€provided€they€are€substantially€related€and€charged€as€a€singleÐ 8Ô  Ðoffense.€€òòUnited€States€v.€Lagerquistóó,€758€F.2d€1279€(8th€Cir.€1985);€òòSchaffer€v.€United€Statesóó,Ð $À Ð362€U.S.€511€(1960).€€In€such€a€case,€Element€òòTwoóó€should€be€modified€to€include€"total€€value."€Ð  ¬ ÐÓ €ÓÖ€<8ìÓÖÑ8€Ìw,ÌXXdìXXdì8Ñà@GG ìàò òÔ% €Ô ÔÔ  Ô6.18.2421.€€TRANSPORTATION€FOR€PROSTITUTION€(18€U.S.C.€ðð€2421)Ô Ý ÇíÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€[attempted]€[interstate]€[foreign]€transportation€of€an€individual€to€engage€inÐ <Ø Ð[prostitution]€[(any€sexual€activity€for€which€a€person€can€be€charged€with€a€criminal€offense)]òò1óóÐ ž : Ðas€charged€in€[Count€____€of]€the€indictment€has€two€elements,€which€are:Ð  œ Ðà  àòòOneóó,€the€defendant€knowingly€[transported]€[attempted€to€transport]€(name€of€personÐ b þ Ðalleged€in€indictment)€across€a€state€line€or€across€a€national€border;€and€Ð Ä `  Ðà  àòòTwoóó,€the€defendant€[transported]€[attempted€to€transport]€(name€of€person€alleged€inÐ &  Ðindictment)€with€the€intent€that€such€person€engage€in€[prostitution]€[(describe€sexual€activityÐ ˆ$  Ðcharged€in€the€indictment)].Ð ê†  Ðà  à[Prostitution€means€(set€out€elements€of€crime€of€prostitution€from€jurisdiction€in€whichÐ Lè  Ðact€occurred€or€would€have€occurred).]òò2óóÐ ®J Ðà  à[(Set€out€elements€of€applicable€Federal€or€State€law)€[is]€[are]€[a€crime]€[crimes]€underÐ ¬ Ðthe€laws€of€[the€United€States]€[the€State€of€(identify€the€state)].]òò3óóÐ r Ðà  à[A€person€may€be€found€guilty€of€an€attempt€if€[he]€[she]€intended€to€(describe€attemptedÐ Ôp Ðact,€i.e.,€transport€Jane€Doe€across€a€state€line€with€the€intent€that€Jane€Doe€engage€inÐ 6Ò Ðprostitution)€and€voluntarily€and€intentionally€carried€out€some€act€which€was€a€substantial€stepòò4óóÐ ˜4 Ðtoward€that€(describe€attempted€act).]òò5óóÐ ú–  Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð \ø" ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ¾Z$ Ðà  à1.€€ð ðProstitutionðð€or€ð ðany€sexual€activity€for€which€a€person€can€be€charged€with€aÐ  !¼& Ðcriminal€offenseðð€should€be€defined€in€this€instruction.Ð  "¨' Ðà  à2.€€Use€when€the€defendant€is€charged€with€travel€or€attempted€travel€to€engage€inÐ n# ) Ðprostitution.Ð Z$ö* Ðà  à3.€€Use€when€the€defendant€is€charged€with€travel€or€attempted€travel€to€engage€in€anyÐ ¼%X, Ðsexual€activity€for€which€any€person€can€be€charged€with€a€criminal€offense.Ð ¨&D - Ðà  à4€€An€instruction€defining€ð ðsubstantial€stepðð€may€be€given.€€òòSeeóó€Instruction€8.01,€Notes€onÐ  (¦!/ ÐUse,€n.2,€òòinfraóó.Ð ö(’"0 Ðà  à5.€€Use€when€the€defendant€is€charged€with€an€attempt.€€òòSee€generallyóó,€Instruction€8.01,Ð X*ô#2 Ðòòinfraóó.€Ð  D+à$3 ÐÓ €ÓÖ€><ìÔÖÑ8€Ìw,ÌXdìÌXXdì8Ñà@Ì Ì ìàò òÔ% €Ù ÔÔ  Ô6.18.2422A.€€PERSUADING€OR€COERCING€TO€TRAVEL€ˆÐ d Ðà@g g ìàTO€ENGAGE€IN€PROSTITUTION€(18€U.S.C.€ðð€2422(a))Ô Ý ßùÔó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[persuading]€[inducing]€[enticing]€[coercing]€an€individual€to€travel€inÐ ( Ä Ð[interstate]€[foreign]€commerce€to€engage€in€[prostitution]€[(any€sexual€activity€for€which€aÐ Š & Ðperson€can€be€charged€with€a€criminal€offense)]€as€charged€in€[Count€______€of€]€the€indictmentÐ ì ˆ Ðhas€three€elements,€which€are:Ð N ê  Ðà  à[òòOneóó,€the€defendant€knowingly€[persuaded]€[induced]€[enticed]€[coerced]€(name€personÐ °L  Ðalleged€in€indictment)€to€travel€in€[interstate]€[foreign]€commerce;]Ð ®  Ðà  à[òòOneóó,€the€defendant€attempted€to€[persuade]€[induce]€[entice]€[coerce]€(name€of€personÐ t  Ðalleged€in€indictment)€to€travel€in€[interstate]€[foreign]€commerce;]òò1óó€Ð Ör  Ðà  à[òòTwoóó,€during€such€travel€a€[state€line]€[national€boundary]€was€crossed;€and]Ð 8Ô  Ðà  à[òòTwoóó,€had€such€travel€occurred,€a€[state€line]€[national€boundary]€would€have€beenÐ š6 Ðcrossed;€and]òò1óóÐ ü˜ Ðà  àòòThreeóó,€the€defendant€[did€so]€[attempted€to€do€so]€with€the€intent€that€(name€of€personÐ ^ú Ðalleged€in€indictment)€engage€in€[prostitution]€[(any€sexual€activity€for€which€a€person€can€beÐ À\ Ðcharged€with€a€criminal€offense)].Ð "¾ Ðà  à[A€person€may€be€found€guilty€of€an€attempt€if€[he]€[she]€intended€to€(describe€attemptedÐ „  Ðact,€i.e.,€persuade€Jane€Doe€to€travel€in€interstate€commerce€with€the€intent€that€Jane€Doe€engageÐ æ‚! Ðin€prostitution)€and€voluntarily€and€intentionally€carried€out€some€act€which€was€a€substantialÐ Hä# Ðstepòò2óó€toward€that€(describe€attempted€act).]òò3óóÐ ª F% Ðà  à[(Set€out€elements€of€applicable€Federal€or€State€law)€[is]€[are]€[a€crime]€[crimes]€underÐ  "¨' Ðthe€laws€of€[the€United€States]€[the€State€of€(identify€the€state)].]òò4óóÐ n# ) Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð Ð$l+ ÐÓ €ÓÓ€Óà@ÇÇ$ìàò òNotes€on€UseˆÐ 2&Î- Ðà  àó ó1.€€Use€when€the€defendant€is€charged€with€an€attempt.Ð ”'0!/ Ðà  à2€€An€instruction€defining€ð ðsubstantial€stepðð€may€be€given.€€òòSeeóó€Instruction€8.01,€Notes€onÐ ö(’"1 ÐUse,€n.2,€òòinfraóó.Ð â)~#2 Ðà  à3.€€Use€when€the€defendant€is€charged€with€an€attempt.€€òòSee€generallyóó,€Instruction€8.01,Ð D+à$4 Ðòòinfraóó.Ð 0,Ì%5 Ðà  à4.€€Use€when€the€defendant€is€charged€with€persuading€or€coercing€an€individual€toÐ d Ðengage€in€any€activity€for€which€any€person€can€be€charged€with€a€criminal€offense,€or€an€attemptÐ Pì Ðto€do€so.€Ð  <Ø ÐÓ €ÓÖ€@>ìÕÖà@® ® ìàò òÔ% €ä ÔÔ  Ô6.18.2422B.€€PERSUADING€OR€COERCING€A€MINOR€TO€ˆÐ d Ðà@g g ìàENGAGE€IN€SEXUAL€ACTIVITY€(18€U.S.C.€ðð€2422(b))Ô Ý ©Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[using€the€mail]€[using€any€facility€or€means€of€[interstate]€[foreign]Ð ( Ä Ðcommerce]€to€[persuade]€[induce]€[entice]€[coerce]€anyone€under€eighteen€(18)€years€of€age€toÐ Š & Ðengage€in€[prostitution]€[(any€sexual€activity€for€which€any€person€can€be€charged€with€a€criminalÐ ì ˆ Ðoffense)]€as€charged€in€[Count€____€of]€the€indictment€has€[€two]òò1óó€[three]òò2óó€elements,€which€are:Ð N ê  Ðà  àòòOneóó,€the€defendant€knowingly€used€[the€mail]€[a€computer]€(describe€other€interstateÐ °L  Ðfacility€as€alleged€in€the€indictment)€to€[attempt€to]€[persuade]€[induce]€[entice]€[coerce]€anÐ ®  Ðindividual€under€the€age€of€eighteen€(18)€years€of€age€to€engage€in€[prostitution]€[(describeÐ t  Ðsexual€activity€charged€in€indictment)];€andÐ Ör  Ðà  àòòTwoóó,€the€defendant€believed€that€such€individual€was€less€than€eighteen€(18)€years€of€age;Ð 8Ô  Ð[and]Ð š6 Ðà  à[òòThreeóó,€that€[if€the€sexual€activity€had€occurred]€[based€upon€the€sexual€activity€thatÐ ü˜ Ðoccurred],€the€defendant€could€have€been€charged€with€a€criminal€offense€under€the€laws€of€[theÐ ^ú ÐUnited€States]€(identify€the€state)].òò3óóÐ À\ Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð "¾ Ðà  àIt€is€not€necessary€for€the€Government€to€prove€that€the€individual€was,€in€fact,€less€thanÐ „  Ðeighteen€(18)€years€of€age;€but€it€is€necessary€for€the€Government€to€prove€the€defendant€believedÐ æ‚! Ðsuch€individual€to€be€under€that€age.Ð Hä# Ðà  à[It€is€not€necessary€for€the€Government€to€prove€that€the€individual€was€actuallyÐ ª F% Ð[persuaded]€[induced]€[enticed]€[coerced]€to€engage€in€[prostitution]€[(describe€sexual€activityÐ  "¨' Ðcharged€in€indictment)];€but€it€is€necessary€for€the€Government€to€prove€that€the€defendantÐ n# ) Ðintended€to€engage€in€[prostitution]€[(some€form€of€unlawful€sexual€activity)]€with€the€individualÐ Ð$l+ Ðand€knowingly€and€willfully€took€some€action€that€was€a€substantial€step€toward€bringing€aboutÐ 2&Î- Ðor€engaging€in€[prostitution]€[(describe€sexual€activity€charged€in€indictment)].]òò4óóÐ ”'0!/ Ðà  à[Set€out€elements€of€applicable€Federal€or€State€law)€[is]€[are]€[a€crime]€[crimes]€underÐ ö(’"1 Ðâ âthe€laws€of€[the€United€States]€[the€State€of€(identify€the€state)].òò5óó€Ð X*ô#3 ÐÔ& ¢ Ôâ âÓ €ÓÓ€Óà@®®$ìàò òNotes€on€Useó ó€ˆÐ d Ðà  à1.€€Use€when€the€defendant€is€charged€with€persuading€or€coercing€a€minor€to€engage€inÐ Ìh Ðprostitution.Ð ¸T ÐÔ'¢dÔà  à2.€€Use€when€the€defendant€is€charged€with€persuading€or€coercing€a€minor€to€engage€inÐ  ¶ Ðany€sexual€activity€for€which€any€person€can€be€charged€with€a€criminal€offense.Ð  ¢ Ðà  à3.€€Use€when€the€defendant€is€charged€with€persuading€or€coercing€a€minor€to€engage€inÐ h  Ðany€sexual€activity€for€which€any€person€can€be€charged€with€a€criminal€offense.Ð T ð  Ðà  à4.€€Use€when€the€defendant€is€charged€with€an€attempt.Ð ¶R  Ðà  à5.€€Use€when€the€defendant€is€charged€with€persuading€or€coercing€a€minor€to€engage€in€Ð ´  Ðany€sexual€activity€for€which€any€person€can€be€charged€with€a€criminal€offense.Ð    Ðà@55!ìàò òCommittee€Commentsó óˆÐ f  Ðà  àThere€is€no€requirement€that€the€defendant€complete€a€sex€act€with€the€intended€victim€toÐ Èd  Ðsupport€a€conviction€under€this€section,€even€if€the€crime€is€not€charged€as€an€attempt.€€òòUnitedÐ ´P ÐStates€v.€Baileyóó,€228€F.3d€637,€638„39€(6òòthóó€Cir.€2000).Ð  < Ðà  àThe€defendant€need€not€know€the€age€of€the€intended€victim,€so€long€as€the€defendantÐ ž Ðbelieves€that€the€victim€is€under€the€age€of€eighteen€(18).€€òòUnited€States€v.€Helderóó,€452€F.3d€751,Ð îŠ Ð756€(8òòthóó€Cir.€2006);€òòUnited€States€v.€Hicksóó,€457€F.3d€838,€841€(8òòthóó€Cir.€2006).Ð Úv Ðà  àAn€actual€minor€victim€is€not€required€for€an€attempt€conviction€under€section€2422(b);Ð <Ø Ðthe€ð ðvictimðð€may,€in€fact,€be€an€undercover€police€officer.€€òòHelderóó,€452€F.3d€at€753„56;€òòHicksóó,Ð (Ä Ð457€F.3d€at€839„41.Ð ° Ðà  àThe€Eighth€Circuit€has€upheld€attempt€convictions€under€section€2422(b)€where€theÐ v Ðmeans€of€interstate€communication€used€was€the€internet.€€òòSeeóó,€òòe.g.óó,€òòHelderóó,€òòsupraóó;€òòHicksóó,€òòsupraóó;Ð bþ ÐòòUnited€States€v.€Pattenóó,€397€F.3d€1100€(8òòthóó€Cir.€2005).Ð  Nê  ÐÓ €ÓÖ€B@ìÖÖà@ææìàò òÔ% €ê ÔÔ  Ô6.18.2423A.€€TRANSPORTATION€OF€MINOR€TO€ENGAGE€IN€ˆÐ d Ðà@_ _ ìàCRIMINAL€SEXUAL€ACTIVITY€(18€U.S.C.€ðð€2423(a))Ô Ý êÔ€òò1óóó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€[interstate]€[foreign]€transportation€of€anyone€under€eighteen€(18)€years€ofÐ ( Ä Ðage€to€engage€in€[prostitution]€[(specify€sexual€activity€for€which€a€person€can€be€charged€with€aÐ Š & Ðcriminal€offense)]€as€charged€in€[Count€___€of]€the€indictment€has€[three]òò2óó€[four]òò3óó€elements,Ð ì ˆ Ðwhich€are:€Ð N ê  Ðà  àòòOneóó,€the€defendant€knowingly€[transported]€[attempted€to€transport]€(name€of€personÐ °L  Ðalleged€in€indictment)€across€a€state€line€or€national€border;Ð ®  Ðà  àòòTwoóó,€the€defendant€[transported]€[attempted€to€transport]€(name€of€person€alleged€inÐ t  Ðindictment)€with€the€intent€such€person€engage€in€[prostitution]€[(describe€sexual€activity€chargedÐ Ör  Ðin€indictment)];€andÐ 8Ô  Ðà  àòòThreeóó,òò4óó€[(name€of€person€alleged€in€indictment)€was€under€the€age€of€eighteen€(18)€years]òò5óóÐ š6 Ð[the€defendant€believed€such€individual€was€under€the€age€of€eighteen€(18)€years€of€age]òò6,€7óó€[;€and]Ð ü˜ Ðà  à[òòFouróó,€(describe€sexual€activity€charged€in€indictment)€is€a€crime€under€the€law€of€theÐ ^ú ÐState€of€(identify€state).]€òò8óóÐ À\ Ðà  à[Prostitution€means€(set€out€elements€of€crime€of€prostitution€from€jurisdiction€in€whichÐ "¾ Ðact€occurred€or€would€have€occurred).]òò9óóÐ „  Ðà  à[(Set€out€elements€of€applicable€Federal€or€State€law)€[is]€[are]€[a€crime]€[crimes]€underÐ æ‚! Ðthe€laws€of€[the€United€States]€[the€State€of€(identify€state)].]òò10óóÐ Hä# Ðà  à[A€person€may€be€found€guilty€of€an€attempt€if€[he]€[she]€intended€to€(describe€attemptedÐ ª F% Ðact,€i.e.,€transport€Jane€Doe€across€a€state€line€with€the€intent€that€Jane€Doe€engage€inÐ  "¨' Ðprostitution)€and€voluntarily€and€intentionally€carried€out€some€act€which€was€a€substantial€stepòò11óóÐ n# ) Ðtoward€that€(describe€attempted€act).]òò12óó€Ð Ð$l+ Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ð 2&Î- Ðà  à[It€is€not€necessary€for€the€Government€to€prove€that€the€defendant€knew€that€(name€ofÐ ”'0!/ Ðâ âperson€alleged€in€indictment)€was,€in€fact,€less€than€eighteen€(18)€years€of€age.]òò13óóÐ ö(’"1 Ðà  à[It€is€not€necessary€for€the€Government€to€prove€that€the€individual€was,€in€fact,€less€thanÐ d Ðeighteen€(18)€years€of€age;€but€it€is€necessary€for€the€Government€to€prove€the€defendant€believedÐ Æb Ðsuch€individual€to€be€under€that€age.]òò14óóÐ ( Ä Ðâ âÓ €ÓÓ€Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Š & Ðà  à1.€€Title€18€U.S.C.€ðð€2423(e)€authorizes€the€charging€of€an€attempt€or€conspiracy€underÐ ì ˆ Ðthis€statute.€€If€a€conspiracy€is€charged,€modify€instruction€accordingly.Ð Ø t  Ðà  à2.€€Use€when€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€prostitution.Ð :Ö  Ðà  à3.€€Use€when€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€any€sexualÐ œ8  Ðactivity€for€which€a€person€can€be€charged€with€a€criminal€offense.Ð ˆ$  Ðà  à4.€€Use€when€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€prostitution.Ð ê†  Ðà  à5.€€Use€when€the€defendant€is€charged€with€the€actual€transportation€of€the€victim.Ð Lè  Ðà  à6.€€Use€when€the€defendant€is€charged€with€the€attempted€transportation€and€the€ð ðvictimððÐ ®J Ðis€an€undercover€officer.Ð š6 Ðà  à7.€€When€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€any€sexualÐ ü˜ Ðactivity€for€which€a€person€can€be€charged€with€a€criminal€offense,€and€mistake€of€age€is€aÐ è„ Ðdefense€to€such€offense,€instruction€must€be€modified€to€set€out€elements€of€that€offense.Ð Ôp Ðà  à8.€€Use€when€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€any€sexualÐ 6Ò Ðactivity€for€which€a€person€can€be€charged€with€a€criminal€offense.Ð "¾ Ðà  à9.€€Use€when€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€prostitution.Ð „  Ðà  à10.€€Use€when€the€defendant€is€charged€with€transporting€a€minor€to€engage€in€any€sexualÐ æ‚  Ðactivity€for€which€a€person€can€be€charged€with€a€criminal€offense.Ð Òn! Ðà  à11.€€An€instruction€defining€ð ðsubstantial€stepðð€should€be€given.€€òòSeeóó€Instruction€8.01,Ð 4 Ð# ÐNotes€on€Use,€n.2,€òòinfraóó.Ð  !¼$ Ðà  à12.€€Use€when€the€defendant€is€charged€with€an€attempt.€€òòSee€generallyóó,€Instruction€8.01,Ð ‚"& Ðòòinfraóó.Ð n# ' Ðà  à13.€€Use€when€the€defendant€is€charged€with€the€actual€transportation€of€the€victim€andÐ Ð$l) Ðthe€charge€does€not€involve€a€sexual€offense€to€which€mistake€of€age€is€a€defense.Ð ¼%X* Ðà  à14.€€Use€when€the€defendant€is€charged€with€the€attempted€transportation€and€theÐ 'º , Ðâ âð ðvictimðð€is€an€undercover€officer.Ð  (¦!- ÐÔ& & Ôâ ââ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àAlthough€the€matter€has€not€been€decided€in€the€Eighth€Circuit,€every€circuit€to€addressÐ Æb Ðthe€issue€has€determined€that€the€Government€need€not€prove€the€defendantððs€knowledge€of€theÐ ²N Ðâ âÔ'&d{2Ôvictimððs€minority,€rather€the€victimððs€minor€status€is€a€fact€which€the€prosecution€must€prove€andÐ ž : Ðfor€which€the€defendant€is€responsible.€€òòSeeóó€òòUnited€States€v.€Jonesóó,€471€F.3d€535,€538„40€(4òòthóó€Cir.Ð Š & Ð2006);€òòUnited€States€v.€Griffithóó,€284€F.3d€338,€349„51€(2òòndóó€Cir.€2002);€òòUnited€States€v.€Tayloróó,Ð v  Ð239€F.3d€994,€996„97€(9òòthóó€Cir.€2001);€òòUnited€States€v.€Scisumóó,€32€F.3d€1479,€1485„86€(10òòthóó€Cir.Ð b þ Ð1994);€òòUnited€States€v.€Hamiltonóó,€456€F.2d€171,€173€(3òòrdóó€Cir.€1972).€€In€òòGilmour€v.€Rogersonóó,Ð N ê Ð117€F.3d€368€(8òòthóó€Cir.€1997),€a€habeas€corpus€proceeding,€the€Eighth€Circuit€held€that€a€defendantÐ :Ö  Ðcharged€with€the€Iowa€offense€of€sexual€exploitation€of€a€minor€was€not€entitled€to€a€mistake„of„Ð &  Ðage€defense€based€on€the€reasonable€belief€that€the€sexually€exploited€victim€was,€in€fact,€anÐ ®  Ðadult.Ð þš  Ðà  àThe€Eighth€Circuit€has€held€that€a€defendant€may€be€convicted€of€violating€18€U.S.C.Ð `ü  Ððð2423(b)€if€he€or€she€travels€in€interstate€commerce€for€the€purpose€of€engaging€in€criminalÐ Lè  Ðsexual€conduct€with€a€person€believed€to€be€a€minor€regardless€of€whether€such€person€is€actuallyÐ 8Ô  Ða€minor.€€òòUnited€States€v.€Hicksóó,€457€F.3d.€838,€841€(8òòthóó€Cir.€2006).Ð  $À ÐÓ €ÓÔü<쮣ÔÔm<ìÔÖ€EBì×Öà@³ ³ ìàò òÔ% €î ÔÔ  Ô6.21.841A.€€CONTROLLED€SUBSTANCES€„€POSSESSION€ˆÐ dx Ðà@= = ìàWITH€INTENT€TO€DISTRIBUTE€(21€U.S.C.€ðð€841(a)(1))Ô in?:Ôó óˆÐ Pd  ÐÌà  àÓ€ÓThe€crime€of€possession€of€(describe€substance,€e.g.,€cocaine)€with€intent€to€distribute,€asÐ ( <  Ðcharged€in€[Count€_____€of]€the€indictment,€has€three€elements,€which€are:€Ð Š ž  Ðà  àòòOneóó,€the€defendant€was€in€possession€of€(describe€substance,€e.g.,€cocaine);òò1€óó€Ð ì  Ðà  àòòTwoóó,€the€defendant€[knew€that€he€was]€[intended€to€be]€in€possession€of€[a€controlledÐ N b  Ðsubstance]€[(describe€substance,€e.g.,€cocaine)];òò2óó€and€Ð °Ä  Ðà  àòòThreeóó,€the€defendant€intended€to€distributeòò3óó€some€or€allòò4óó€of€the€(describe€substance,€e.g.,Ð & Ðcocaine)€to€another€person.€Ð tˆ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð Öê ÐÓ€ÓÓ €ÓÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 8L Ðà  à1.€€For€jury€instructions€involving€enhanced€drug€offenses€under€òòApprendi€v.€New€Jerseyóó,Ð š® Ðòòseeóó€6.21.841A1€„€6.21.846A1.€Ð †š ÐÔ'œ8¨>Ôà  à2.€€The€defendant€need€not€know€what€the€controlled€substance€is€if€he€knows€he€hasÐ èü  Ðpossession€of€some€controlled€substance.€€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.Ð Ôè! Ð2000).€€The€alternative€language€which€best€fits€the€case€should€be€used.€Ð ÀÔ" Ðà  à3.€€In€òòUnited€States€v.€Shurnóó,€849€F.2d€1090€(8th€Cir.€1988),€the€court€approved€theÐ "6$ Ðfollowing€instruction€on€"intent€to€distribute":€Ð "% Ðà0  àI€instruct€you€that€possession€of€a€large€€quantity€of€heroin€supports€an€inference€of€anÐ p„' Ðintent€to€distribute.€Ð\p((#(# Ðà0  àThus,€in€determining€whether€the€defendant€possessed€heroin€with€the€specific€intent€toÐ ¾Ò* Ðdistribute€it,€you€should€consider€whether€the€defendant€possessed€a€large€quantity€ofÐ ª ¾+ Ðheroin.€€If€you€believe€that€he€did,€then€you€may€infer€that€he€had€the€specific€intent€toÐ –!ª, Ðdistribute.€Ð‚"– -(#(# Ð849€F.2d€at€1095€n.6.€Ð ä#ø!/ Ðà  àWhen€such€an€instruction€is€used,€care€must€be€used€that€the€instruction€not€be€phrased€inÐ F%Z#1 Ða€manner€which€indicates€the€jury€must€make€an€inference.€€Likewise,€"specific"€should€beÐ 2&F$2 Ðomitted€as€modifying€intent.€€The€Committee€recommends€that€such€an€instruction€be€rephrasedÐ '2%3 Ðas€suggested€in€Instruction€4.13,€òòsupraóó.€Ð  (&4 Ðà  à"Distribute"€may€be€defined€if€the€meaning€is€unclear€in€the€context€of€the€case.€€TheÐ l)€'6 Ðstatute€also€makes€it€unlawful€to€manufacture,€dispense€or€possess€with€intent€to€manufacture,Ð X*l(7 Ðdistribute€or€dispense.€€If€one€of€these€alternatives€has€been€charged,€this€element€should€beÐ D+X)8 Ðchanged€accordingly.€Ð 0,D*9 Ðà  à4.€€It€is€uncertain€whether,€in€section€841(a)(1)€possession€with€intent€to€distribute€cases,Ð d Ðdrugs€intended€only€for€personal€use€are€included€in€the€drug€quantity.€€In€òòUnited€States€v.Ð Pì ÐWilliamsóó,€247€F.3d€353,€357€(2d€Cir.€2001),€the€court€held€that€such€amounts€are€not€included.€Ð <Ø ÐThe€Eighth€Circuit€has€not€ruled€on€the€precise€issue;€however,€in€òòUnited€States€v.€Fraseróó,€243Ð ( Ä ÐF.3d€473,€476€(8òòthóó€Cir.€2001),€it€concluded€that€in€determining€relevant€conduct€under€theÐ  ° Ðguidelines€for€a€section€841(a)(1)€offense,€drugs€possessed€for€solely€personal€use€should€not€beÐ  œ Ðincluded.€€The€phrase€"some€or€all"€therefore€should€be€used€with€care.šÐ ì ˆ ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ N ê Ðà  àòòSeeóó€2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rôJ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r>K#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r…K#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÔK#Ô:€€CriminalÐ °L  Ððððð64.01„.18€(5th€ed.€2000);€òòUnited€States€v.€Hudsonóó,€717€F.2d€1211,€1212-13€(8th€Cir.€1983);Ð œ8  ÐòòÔ'&N oJÔUnited€States€v.€Brischettoóó,€538€F.2d€208,€210€(8th€Cir.€1976).€Ð ˆ$  Ðà  àAny€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€a€crimeÐ ê†  Ðmust€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonable€doubt.€Ð Ör  ÐòòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220€F.3d€926Ð Â^  Ð(8òòthóó€Cir.€2000);€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000).€€Under€the€section€841(b)Ð ®J Ðsentencing€provisions,€some€of€the€facts€that€may€raise€the€statutory€maximum€are€the€quantity€ofÐ š6 Ðdrugs€involved€in€the€offense,€or€whether€death€or€serious€bodily€injury€results€from€use€of€theÐ †" Ðdrugs€involved.€€For€jury€instructions€involving€such€enhanced€drug€offenses,€òòseeóó€6.21.841A1€„Ð r Ð6.21.846A1.€€In€òòHarris€v.€United€Statesóó,€536€U.S.€545€(2002),€the€Supreme€Court€declined€toÐ ^ú Ðextend€òòApprendióó€to€facts€increasing€the€statutory€minimum€sentence,€reaffirming€its€earlierÐ Jæ Ðdecision€in€òòMcMillan€v.€Pennsylvaniaóó,€477€U.S.€79€(1986).€€Therefore,€such€facts€need€not€beÐ 6Ò Ðsubmitted€to€the€jury.€€Ð "¾ Ðà  àThe€element€of€"possession"€ordinarily€does€not€need€to€be€defined.€€òòJohnson€v.€UnitedÐ „  ÐStatesóó,€506€F.2d€640,€643€(8th€Cir.€1974).€€Where€the€government€is€relying€on€a€joint€possessionÐ p  Ðor€constructive€possession€theory,€however,€a€definitional€instruction€may€be€required.€€òòSeeóóÐ \ø ÐInstruction€8.02,€òòinfraóó;€òòsee€alsoóó€1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÎS#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rT#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r_T#ÔÐ Hä ÐIÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÂT#Ô:€€Criminal€ðð€16.05€(5th€ed.€2000);€òòUnited€States€v.€Haynesóó,€653€F.2d€332,€333€(8thÐ 4 Ð ÐCir.€1981);òòóó€òòUnited€States€v.€Weisseróó,€737€F.2d€729,€732€(8th€Cir.€1984).Ð  !¼ Ðà  à"Intent€to€distribute"€typically€is€established€through€circumstantial€evidence.€€òòUnitedÐ ‚"! ÐStates€v.€Shurnóó,€849€F.2d€1090,€1093,€1095€(8th€Cir.€1988)€and€cases€cited€therein.€€In€particular,Ð n# " Ðpossession€of€a€large€quantity€of€a€controlled€substance€can€be€sufficient€evidence€of€an€intent€toÐ Z$ö# Ðdistribute.€€òòUnited€States€v.€Lopezóó,€42€F.3d€463,€467„68€(8th€Cir.€1994).€€Other€indicia€of€intent€toÐ F%â$ Ðdistribute€include€"[drug]€purity€and€presence€of€firearms,€cash,€packaging€material,€or€otherÐ 2&Î% Ðdistribution€paraphernalia."€€òòId.óó€Ð 'º & Ðà  àIt€is€uncertain€whether,€in€section€841(a)(1)€possession€with€intent€to€distribute€cases,Ð €("( Ðdrugs€intended€only€for€personal€use€are€included€in€the€drug€quantity.€€In€òòUnited€States€v.Ð l)#) ÐWilliamsóó,€247€F.3d€353,€357€(2d€Cir.€2001),€the€court€held€that€such€amounts€are€not€included.€Ð X*ô#* ÐThe€Eighth€Circuit€has€not€ruled€on€the€precise€issue;€however,€in€òòUnited€States€v.€Fraseróó,€243Ð D+à$+ ÐF.3d€473,€476€(8òòthóó€Cir.€2001),€it€concluded€that€in€determining€relevant€conduct€under€theÐ 0,Ì%, Ðguidelines€for€a€ðð841(a)(1)€offense,€drugs€possessed€for€solely€personal€use€should€not€beÐ d Ðincluded.€€The€phrase€"some€or€all"€therefore€should€be€used€with€care.Ð Pì Ðà  àIn€an€appropriate€case,€a€lesser„included€offense€instruction€under€21€U.S.C.€ðð€844€mustÐ ²N Ðbe€given.€€òòSeeóó€òòUnited€States€v.€Brischettoóó,€538€F.2d€208€(8th€Cir.€1976);€òòseeóó,€òòe.g.óó,€òòUnited€States€v.Ð ž : ÐSwiderskióó,€548€F.2d€445€(2d€Cir.€1977)€in€which€the€court€held€that€joint€purchasers€andÐ Š & Ðpossessors€of€a€controlled€substance€who€intend€to€share€it€between€themselves€may€not€be€foundÐ v  Ðguilty€of€distribution€or€possession€with€intent€to€distribute,€but€only€of€simple€possession.€€òòSeeóóÐ b þ ÐInstruction€3.10,€òòsupraóó,€for€a€form€of€lesser„included€offense€instruction.€Ð N ê Ðà  àWhen€distribution€by€a€physician€is€charged,€there€must€be€a€finding€that€the€defendantÐ °L  Ðdispensed€the€drug€other€than€for€a€legitimate€medical€purpose€and€not€in€the€usual€course€ofÐ œ8  Ðmedical€practice.€€òòUnited€States€v.€Greenóó,€511€F.2d€1062,€1069-70€(7th€Cir.€1975).€€In€such€aÐ ˆ$  Ðcase,€the€defendant€may€be€entitled€to€a€"good€faith"€instruction.€€òòGreenóó,€511€F.2d€at€1071-72.€Ð t  ÐòòSeeóó€Instructions€9.05€and€9.08,€òòinfraóó.€Ð `ü  Ðà  àThe€question€whether€something€is€a€"controlled€substance"€under€21€U.S.C.€ðð€802(6)€orÐ Â^  Ða€"narcotic€drug"€within€the€meaning€of€section€802(16)€is€a€question€of€law.€€òòUnited€States€v.Ð ®J ÐPorteróó,€544€F.2d€936,€940€(8th€Cir.€1976).€Ð  š6 ÐÓ €ÓšÖ€GEìØÖò òGreater€and€lesser„included€offense€„€short€versionà@ìì*ìàó óˆÐ d ÐÌà@úú ìàò òÔ% €ó ÔÔ  Ô6.21.841A.1.€(short)€€CONTROLLED€SUBSTANCES€„€POSSESSION€WITH€ˆÐ <Ø Ðà@88ìàINTENT€TO€DISTRIBUTE€(21€U.S.C.€ðð€841(a)(1))€(òòApprendióó„Affected€Possession)Ô €o‹bÔó óˆÐ ( Ä КšÖ€IGìÙÖÑ8€w,XXdìÌXdì8ÑÌÓ€Óà  àThe€crime€of€possession€of€(describe€substance€(and€amount),€e.g.,€[a€controlledÐ  œ Ðsubstance]€[name€of€controlled€substance]€[500€grams€or€more€of€a€mixture€or€substanceÐ b þ Ðcontaining€methamphetamine)€with€intent€to€distribute,€as€charged€in€[Count€_____€of]€theÐ Ä `  Ðindictment,€has€four€elements,€which€are:€Ð &  Ðà  àòòOneóó,€the€defendant€possessed€[a€controlled€substance]€[(describe€substance,€e.g.,€aÐ ˆ$  Ðmixture€or€substance€containing€methamphetamine)];Ð ê†  Ðà  àòòTwoóó,€the€defendant€[knew€that€he]€[intended€to]€possess[ed]€[a€controlled€substance]Ð Lè  Ð[(describe€substance,€e.g.,€a€mixture€or€substance€containing€methamphetamine)];€Ð ®J Ðà  àòòThreeóó,€the€defendant€intended€to€distributeòò1óó€[the€controlled€substance]€[(describeÐ ¬ Ðsubstance,€e.g.,€some€or€all€of€the€mixture€or€substance€containing€methamphetamine)]òò2óó;€andÐ r Ðà  àòòFouróó,€(describe€aggravating€element,òò3óó€e.g.,€[the€amount€the€defendant€possessed€withÐ Ôp Ðintent€to€distribute€was€500€grams€or€more€of€a€mixture€or€substance€containingÐ 6Ò Ðmethamphetamine]€[the€amount€involved€in€the€offense€was€500€grams€or€more€of€a€mixture€orÐ ˜4 Ðsubstance€containing€methamphetamine],€[or€if€that€is€not€proved,€that€(describe€lesser„includedÐ ú– Ðbut€still€aggravated€crime,€e.g.€[the€amount€the€defendant€possessed€with€intent€to€distribute€wasÐ \ø! Ð50€grams€or€more€but€less€than€500€grams€of€a€€mixture€or€substance€containingÐ ¾Z# Ðmethamphetamine]€[the€amount€involved€in€the€offense€was€50€grams€or€more€but€less€than€500Ð  !¼% Ðgrams€of€a€mixture€or€substance€containing€methamphetamine]]).Ð ‚"' Ðà  àIf€you€find€these€four€elements€unanimously€and€beyond€a€reasonable€doubt,€[and€if€youÐ ä#€) Ðfind€unanimously€and€beyond€a€reasonable€doubt€that€the€defendant€was€not€[entrapped]€[asÐ F%â+ Ðdefined€in€Instruction€No.€___]],€then€you€must€find€the€defendant€guilty€of€the€crime€of€(describeÐ ¨&D - Ðcrime).€€Record€your€determination€on€the€Verdict€Form€which€will€be€submitted€to€you€withÐ  (¦!/ Ðthese€instructions.Ð l)#1 Ðà  àIf€you€do€not€find€the€defendant€guilty€of€this€crime€[under€Count€___],€go€on€to€considerÐ Î*j$3 Ðwhether€the€defendant€possessed€with€intent€to€distribute€some€amount€of€(describe€controlledÐ 0,Ì%5 Ðsubstance).€€If€you€find€the€first€three€elements€set€forth€above€unanimously€and€beyond€aÐ d Ðreasonable€doubt,€[and€if€you€find€unanimously€and€beyond€a€reasonable€doubt€that€the€defendantÐ Æb Ðwas€not€[entrapped]€[as€defined€in€Instruction€No.€___]],€you€must€find€the€defendant€guilty€ofÐ ( Ä Ðthe€crime€of€possession€with€intent€to€distribute€(describe€controlled€substance,€e.g.,€a€mixture€orÐ Š & Ðsubstance€containing€methamphetamine).€€Otherwise,€you€must€find€the€defendant€not€guilty.€Ð ì ˆ ÐRecord€your€determination€on€the€Verdict€Form.€€Ð N ê  Ðà  à(Instruction€3.09,€òòsupraóó,€which€describes€the€Governmentððs€burden€of€proof,€has€alreadyÐ °L  Ðbeen€incorporated€in€this€instruction€and€should€not€be€repeated.)€Ó€ÓÓ €ÓÐ ®  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ t  Ðà  à1.€€In€òòUnited€States€v.€Shurnóó,€849€F.2d€1090€(8th€Cir.€1988),€the€court€approved€theÐ Ör  Ðfollowing€instruction€on€"intent€to€distribute."€Ð Â^  ÐÔ'œtËqÔà0  àI€instruct€you€that€possession€of€a€large€quantity€of€heroin€supports€an€inference€of€anÐ $À Ðintent€to€distribute.€Ð¬(#(# Ðà0  àThus,€in€determining€whether€the€defendant€possessed€heroin€with€the€specific€intent€toÐ r Ðdistribute€it,€you€should€consider€whether€the€defendant€possessed€a€large€quantity€ofÐ ^ú Ðheroin.€€If€you€believe€that€he€did,€then€you€may€infer€that€he€had€the€specific€intent€toÐ Jæ Ðdistribute.€Ð6Ò(#(# Ð849€F.2d€at€1095€n.6.€Ð ˜4 Ðà  àWhen€such€an€instruction€is€used,€care€must€be€used€that€the€instruction€not€be€phrased€inÐ ú– Ða€manner€which€indicates€the€jury€must€make€an€inference.€€Likewise,€"specific"€should€beÐ æ‚  Ðomitted€as€modifying€intent.€€The€Committee€recommends€that€such€an€instruction€be€rephrasedÐ Òn! Ðas€suggested€in€Instruction€4.13,€òòsupraóó.€Ð ¾Z" Ðà  à"Distribute"€may€be€defined€if€the€meaning€is€unclear€in€the€context€of€the€case.€€TheÐ  !¼$ Ðstatute€also€makes€it€unlawful€to€manufacture,€dispense€or€possess€with€intent€to€manufacture,Ð  "¨% Ðdistribute€or€dispense.€€If€one€of€these€alternatives€has€been€charged,€this€element€should€beÐ ø"”& Ðchanged€accordingly.€Ð ä#€' Ðà  à2.€€It€is€uncertain€whether,€in€section€841(a)(1)€possession€with€intent€to€distribute€cases,Ð F%â) Ðdrugs€intended€only€for€personal€use€are€included€in€the€drug€quantity.€€In€òòUÔ_ÔnitedÔ_Ô€States€v.Ð 2&Î* ÐWilliamsóó,€247€F.3d€353,€357€(2d€Cir.€2001),€the€court€held€that€such€amounts€are€not€included.€Ð 'º + ÐThe€Eighth€Circuit€has€not€ruled€on€the€precise€issue;€however,€in€òòUnited€States€v.€Fraseróó,€243Ð  (¦!, ÐF.3d€473,€476€(8òòthóó€Cir.€2001),€it€concluded€that€in€determining€relevant€conduct€under€theÐ ö(’"- Ðguidelines€for€a€section€841(a)(1)€offense,€drugs€possessed€for€solely€personal€use€should€not€beÐ â)~#. Ðâ âincluded.€€The€phrase€"some€or€all"€therefore€should€be€used€with€care.Ð Î*j$/ Ðà  à3.€€Any€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€aÐ d Ðâ âcrime€must€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonableÐ Pì Ðdoubt.€€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220Ð <Ø ÐF.3d€926€(8òòthóó€Cir.€2000);€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000).€€Under€theÐ ( Ä Ðsection€841(b)€sentencing€provisions,€some€of€the€facts€that€may€raise€the€statutory€maximum€areÐ  ° Ðthe€quantity€of€drugs€involved€in€the€offense,€whether€death€or€serious€bodily€injury€results€fromÐ  œ Ðuse€of€the€drugs€involved,€or€whether€the€defendant€has€a€prior€felony€drug€conviction.€€Inòò€UnitedÐ ì ˆ ÐStates€v.€Sheppardóó,€219€F.3d€at€768„69,€the€panel€suggested€that€the€district€courtððs€submission€ofÐ Ø t Ðdrug€quantity€to€the€jury€in€a€special€interrogatory€rather€than€as€an€element€of€the€offense€wasÐ Ä ` Ðharmless€error.€€However,€in€òòUnited€States€v.€Harris,€óó310€F.3d€1105€(8òòthóó€Cir.€2002),€the€Court,Ð °L  Ðwithout€mentioning€òòSheppardóó,€explicitly€held€that€it€was€not€an€òòApprendi€óóerror€to€submit€theÐ œ8  Ðissue€of€drug€quantity€to€the€jury€by€use€of€a€special€interrogatory.€€The€Committee€believes,Ð ˆ$  Ðtherefore,€that€submission€of€drug€quantity€either€as€a€formal€element,€as€is€done€in€6.21.841A.1Ð t  Ð(short)€and€6.21.841A.1€(long)€or€by€special€interrogatory€is€permissible.€€òòSeeóó€6.21.841A.1(b)€forÐ `ü  Ða€verdict€form€with€special€interrogatories.€€Ð Lè  Ðà  àIn€òòApprendióó,€530€U.S.€at€488,€the€majority€left€open€the€possibility€that€it€might€revisit€theÐ ®J Ðissue€of€whether€a€defendantððs€prior€conviction(s)€must€be€submitted€to€the€jury€and€foundÐ š6 Ðbeyond€a€reasonable€doubt€before€an€enhanced€punishment€based€on€prior€convictions€isÐ †" Ðappropriate.€€Unless€and€until€the€Court€does€so,€prior€convictions€used€to€enhance€a€sentenceÐ r Ðneed€not€be€submitted€to€the€jury€and€proven€beyond€a€reasonable€doubt.€€òòAlmendarez„Torres€v.Ð ^ú ÐUnited€Statesóó,€523€U.S.€224,€235€(1998);€òòUnited€States€v.€Peltieróó,€276€F.3d€1003,€1006€(8òòthóó€Cir.Ð Jæ Ð2002);€òòUnited€States€v.€Abernathyóó,€277€F.3d€1048,€1050€(8òòthóó€Cir.€2002).€€In€òòHarris€v.€UnitedÐ 6Ò ÐStaÔ_ÔtesÔ_Ôóó,€536€U.S.€545€(2002),€the€Supreme€Court€declined€to€extend€òòApprendi€óóto€facts€increasingÐ "¾ Ðthe€statutory€minimum€sentence,€reaffirming€its€earlier€decision€in€òòMcMillan€v.€Pennsylvaniaóó,Ð ª Ð477€U.S.€79€(1986).€€Therefore,€such€facts€need€not€be€submitted€to€the€jury.Ð ú– Ðà  àSuggested€wording€for€the€aggravating€facts€listed€in€the€above€paragraph€are:€Ð \ø Ðà0  àà ` àa)€€the€crime€involved€(describe€substance€and€amount)€or€more.€€[This€alternativeÐ ¾Z Ðis€to€be€used€where€the€amount€of€drugs€increasing€the€maximum€sentence€is€not€inÐ ª F Ðdispute.€€Where€the€offense€involves€two€or€more€controlled€substances,€and€theÐ –!2 Ðindictment€alleges€quantities€of€each€substance€sufficient€to€raise€the€maximum€sentence,Ð ‚"  Ðan€additional€element€should€be€submitted€to€the€jury€for€a€finding€on€each€controlledÐ n# ! Ðsubstance.]€ÐZ$ö"(#(# Ðà0  àà ` àb)€€a€death€resulted€from€use€of€the€(describe€substance).€€[In€òòUnited€States€v.Ð ¼%X$ ÐMcIntoshóó,€236€F.3d€968,€972€(8òòthóó€Cir.€2001),€the€Eighth€Circuit€held€that€the€"deathÐ ¨&D % Ðresulting"€charge€is€a€strict€liability€one€„€the€court€may€not€impose€"a€foreseeability€orÐ ”'0!& Ðproximate€cause€requirement."€€òòAccordóó€òòUnited€States€v.€Soleróó,€275€F.3d€146€(1òòstóó€Cir.Ð €("' Ð2002)].€Ðl)#((#(# ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ Î*j$* Ðà  àòòSeeóó€Committee€Comments€to€6.21.841A.Ô'NÎ*)ŒԚР 0,Ì%, Ðò òÖ€ŽIìÚÖÓ €ÓGreater€and€lesser„included€offenseó 󀄀ò òlong€versionó óÐ d ÐÌà@   ìàò òÔ% €ö ÔÔ  Ô6.21.841A.1.€(long)€€CONTROLLED€SUBSTANCES€„€POSSESSION€WITH€ˆÐ @Ü Ðà@88ìàINTENT€TO€DISTRIBUTE€(21€U.S.C.€ðð€841(a)(1))€(òòApprendióó„Affected€Possession)Ô h€sÔó óˆÐ , È ÐÌÓ€Óà  àThe€crime€of€possession€of€(describe€substance€(and€amount),€e.g.,€[a€controlledÐ    Ðsubstance]€[name€of€controlled€substance]€[500€grams€or€more€of€a€mixture€or€substanceÐ f  Ðcontaining€methamphetamine)€with€intent€to€distribute,€as€charged€in€[Count€_____€of]€theÐ È d  Ðindictment,€has€four€elements,€which€are:€Ð *Æ  Ðà  àòòOneóó,€the€defendant€possessed€[a€controlled€substance]€(describe€substance,€e.g.,€a€mixtureÐ Œ(  Ðor€substance€containing€methamphetamine);€€Ð îŠ  Ðà  àòòTwoóó,€the€defendant€[knew€that€he]€[intended€to]€possess[ed]€[a€controlled€substance]Ð Pì  Ð[(describe€substance,€e.g.,€a€mixture€or€substance€containing€methamphetamine)];€Ð ²N Ðà  àòòThreeóó,€the€defendant€intended€to€distributeòò1óó€[the€controlled€substance]€[(describeÐ ° Ðsubstance,€e.g.,€some€or€all€of€the€mixture€or€substance€containing€methamphetamine)]òò2óó;€andÐ v Ðà  àòòFouróó,€(describe€aggravating€element,òò3óó€e.g.€[the€amount€the€defendant€possessed€withÐ Øt Ðintent€to€distribute€was€500€grams€or€more€of€a€mixture€or€substance€containingÐ :Ö Ðmethamphetamine]€[the€amount€involved€in€the€offense€was€500€grams€or€more€of€a€mixture€orÐ œ8 Ðsubstance€containing€methamphetamine]).Ð þš Ðà  àIf€you€find€these€four€elements€unanimously€and€beyond€a€reasonable€doubt,€[and€if€youÐ `ü! Ðfind€unanimously€and€beyond€a€reasonable€doubt€that€the€defendant€was€not€[entrapped]€[asÐ Â^# Ðdefined€in€Instruction€No.€òò€€€€€€€€óó]],€then€you€must€find€the€defendant€guilty€of€the€crime€ofÐ $!À% Ð(describe€crime).€€Record€your€determination€on€the€Verdict€Form€which€will€be€submitted€to€youÐ †""' Ðwith€these€instructions.Ð è#„) Ðà  à[If€you€do€not€find€the€defendant€guilty€of€this€crime€[under€Count€___],€go€on€to€considerÐ J%æ+ Ðwhether€(describe€lesser€aggravating€element,€e.g.€[the€amount€the€defendant€possessed€withÐ ¬&H - Ðintent€to€distribute€was€50€grams€or€more€but€less€than€500€grams€of€a€mixture€or€substanceÐ (ª!/ Ðcontaining€methamphetamine]€[the€crime€involved€50€grams€or€more€but€less€than€500€grams€ofÐ p) #1 Ða€mixture€or€sÔ_ÔubstanceÔ_Ô€containing€methamphetamine].€€Ð Ò*n$3 Ðà  àIf€you€find€unanimously€and€beyond€a€reasonable€doubt:Ð 4,Ð%5 Ðà  àThe€first€three€elements€set€forth€above;€andÐ d Ðà  àFourth,€€that€(describe€lesser€aggravating€element,€e.g.€[the€defendant€possessed€withÐ Æb Ðintent€to€distribute€50€grams€or€more€but€less€than€500€grams€of€a€mixture€or€substanceÐ ( Ä Ðcontaining€methamphetamine]€[the€crime€involved€50€grams€or€more€but€less€than€500€grams€ofÐ Š & Ða€mixture€or€substance€containing€methamphetamine]€Ð ì ˆ Ð[and€if€you€find€unanimously€and€beyond€a€reasonable€doubt€that€the€defendant€was€notÐ N ê  Ð[entrapped]€[as€defined€in€Instruction€No.€___]],€then€you€must€find€the€defendant€guilty€ofÐ °L  Ð(describe€crime).€€Record€your€determination€on€the€Verdict€Form.]Ð ®  Ðà  àIf€you€do€not€find€the€defendant€guilty€of€this€crime€[under€Count€___],€go€on€to€considerÐ t  Ðwhether€the€defendant€possessed€with€intent€to€distribute€some€amount€of€(describe€controlledÐ Ör  Ðsubstance).€€Ð 8Ô  Ðà  àIf€you€find€the€first€three€elements€set€forth€above€unanimously€and€beyond€a€reasonableÐ š6 Ðdoubt,€[and€if€you€find€unanimously€and€beyond€a€reasonable€doubt€that€the€defendant€was€notÐ ü˜ Ð[entrapped]€[as€defined€in€Instruction€No.€___]]€you€must€find€the€defendant€guilty€of€the€crimeÐ ^ú Ðof€(describe€crime).€€Otherwise,€you€must€find€the€defendant€not€guilty.€€Record€yourÐ À\ Ðdetermination€on€the€Verdict€Form.€€Ð "¾ Ðà  à(Instruction€3.09,€òòsupraóó,€which€describes€the€Governmentððs€burden€of€proof,€has€alreadyÐ „   Ðbeen€incorporated€in€this€instruction€and€should€not€be€repeated.)€Ó€ÓÓ €ÓÐ æ‚" ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Hä$ Ðà  à1.€€In€òòUnited€States€v.€Shurnóó,€849€F.2d€1090€(8th€Cir.€1988),€the€court€approved€theÐ ª F& Ðfollowing€instruction€on€"intent€to€distribute."€Ð –!2' ÐÔ'œHÞŸÔà0  àI€instruct€you€that€possession€of€a€large€quantity€of€heroin€supports€an€inference€of€anÐ ø"”) Ðintent€to€distribute.€Ðä#€*(#(# Ðà0  àThus,€in€determining€whether€the€defendant€possessed€heroin€with€the€specific€intent€toÐ F%â, Ðdistribute€it,€you€should€consider€whether€the€defendant€possessed€a€large€quantity€ofÐ 2&Î- Ðheroin.€€If€you€believe€that€he€did,€then€you€may€infer€that€he€had€the€specific€intent€toÐ 'º . Ðdistribute.€Ð (¦!/(#(# Ð849€F.2d€at€1095€n.6.€Ð l)#1 Ðà  àWhen€such€an€instruction€is€used,€care€must€be€used€that€the€instruction€not€be€phrased€inÐ Î*j$3 Ða€manner€wÔ_ÔhichÔ_Ô€indicates€the€jury€must€make€an€inference.€€Likewise,€"specific"€should€beÐ º+V%4 Ðomitted€as€modifying€intent.€€The€Committee€recommends€that€such€an€instruction€be€rephrasedÐ d Ðas€suggested€in€Instruction€4.13,€òòsupraóó.€Ð Pì Ðà  à"Distribute"€may€be€defined€if€the€meaning€is€unclear€in€the€context€of€the€case.€€TheÐ ²N Ðstatute€also€makes€it€unlawful€to€manufacture,€dispense€or€possess€with€intent€to€manufacture,Ð ž : Ðdistribute€or€dispense.€€If€one€of€these€alternatives€has€been€charged,€this€element€should€beÐ Š & Ðchanged€accordingly.€Ð v  Ðà  à2.€€It€is€uncertain€whether,€in€section€841(a)(1)€possession€with€intent€to€distribute€cases,Ð Ø t Ðdrugs€intended€only€for€personal€use€are€included€in€the€drug€quantity.€€In€òòUnited€States€v.Ð Ä `  ÐWilliamsóó,€247€F.3d€353,€357€(2d€Cir.€2001),€the€court€held€that€such€amounts€are€not€included.€Ð °L  ÐThe€Eighth€Circuit€has€not€ruled€on€the€precise€issue;€however,€in€òòUnited€States€v.€Fraseróó,€243Ð œ8  ÐF.3d€473,€476€(8òòthóó€Cir.€2001),€it€concluded€that€in€determining€relevant€conduct€under€theÐ ˆ$  Ðguidelines€for€a€section€841(a)(1)€offense,€drugs€possessed€for€solely€personal€use€should€not€beÐ t  Ðincluded.€€The€phrase€"some€or€all"€therefore€should€be€used€with€care.Ð `ü  Ðà  à3.€€Any€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€aÐ Â^  Ðcrime€must€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonableÐ ®J Ðdoubt.€€òòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220Ð š6 ÐF.3d€926€(8òòthóó€Cir.€2000);€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000).€€Under€theÐ †" Ðsection€841(b)€sentencing€provisions,€some€of€the€facts€that€may€raise€the€statutory€maximum€areÐ r Ðthe€quantity€of€drugs€involved€in€the€offense,€whether€death€or€serious€bodily€injury€results€fromÐ ^ú Ðuse€of€the€drugs€involved,€or€whether€the€defendant€has€a€prior€felony€drug€conviction.€€Inòò€UnitedÐ Jæ ÐStates€v.€Sheppardóó,€219€F.3d€at€768„69,€the€panel€suggested€that€the€district€courtððs€submission€ofÐ 6Ò Ðdrug€quantity€to€the€jury€in€a€special€interrogatory€rather€than€as€an€element€of€the€offense€wasÐ "¾ Ðharmless€error.€€However,€in€òòUnited€States€v.€Harris,€óó310€F.3d€1105,€1110€(8òòthóó€Cir.€2002),€theÐ ª ÐCourt,€without€mentioning€òòSheppardóó,€explicitly€held€that€it€was€not€an€òòApprendi€óóerror€to€submitÐ ú– Ðthe€issue€of€drug€quantity€to€the€jury€by€use€of€a€special€interrogatory.€€The€Committee€believes,Ð æ‚ Ðtherefore,€that€submission€of€drug€quantity€either€as€a€formal€element,€as€is€done€in€6.21.841A.1Ð Òn Ð(short)€and€6.21.841A.1€(long)€or€by€special€interrogatory€is€permissible.€€òòSeeóó€6.21.841A.1(b)€forÐ ¾Z Ða€verdict€form€with€special€interrogatories.€€Ð ª F Ðà  àIn€òòApprendióó,€530€U.S.€at€488,€the€majority€left€open€the€possibility€that€it€might€revisit€theÐ  "¨  Ðissue€of€whether€a€defendantððs€prior€conviction(s)€must€be€submitted€to€the€jury€and€foundÐ ø"”! Ðbeyond€a€reasonable€doubt€before€an€enhanced€punishment€based€on€prior€convictions€isÐ ä#€" Ðappropriate.€€Unless€and€until€the€Court€does€so,€prior€convictions€used€to€enhance€a€sentenceÐ Ð$l# Ðneed€not€be€submitted€to€the€jury€and€proven€beyond€a€reasonable€doubt.€€òòAlmendarez„Torres€v.Ð ¼%X$ ÐUnited€Statesóó,€523€U.S.€224,€235€(1998);€òòUnited€States€v.€Peltieróó,€276€F.3d€1003,€1006€(8òòthóó€Cir.Ð ¨&D % Ð2002);€òòUnited€States€v.€Abernathyóó,€277€F.3d€1048,€1050€(8òòthóó€Cir.€2002).€€In€òòHarris€v.€UnitedÐ ”'0!& ÐStatesóó,€536€U.S.€545€(2002),€the€Supreme€Court€declined€to€extend€òòApprendióó€to€facts€increasingÐ €("' Ðthe€statutory€minimum€sentence,€reaffirming€its€earlier€decision€in€òòMcMillan€v.€Pennsylvaniaóó,Ð l)#( Ð477€U.S.€79€(1986).€€Therefore,€such€facts€need€not€be€submitted€to€the€jury.Ð X*ô#) Ðà  àSuggested€wording€for€the€aggravating€facts€listed€in€the€above€paragraph€are:€Ð º+V%+ Ðà0  àà ` àa)€€the€crime€involved€(describe€substance€and€amount)€or€more.€€[This€alternativeÐ d Ðis€to€be€used€where€the€amount€of€drugs€increasing€the€maximum€sentence€is€not€inÐ Pì Ðdispute.€€Where€the€offense€involves€two€or€more€controlled€substances,€and€theÐ <Ø Ðindictment€alleges€quantities€of€each€substance€sufficient€to€raise€the€maximum€sentence,Ð ( Ä Ðan€additional€element€should€be€submitted€to€the€jury€for€a€finding€on€each€controlledÐ  ° Ðsubstance.]€òòóóÐ œ(#(# Ðà0  àà ` àb)€€a€death€resulted€from€use€of€the€(describe€substance).€€[In€òòUnited€States€v.Ð b þ ÐMcIntoshóó,€236€F.3d€968,€972€(8òòthóó€Cir.€2001),€the€Eighth€Circuit€held€that€the€"deathÐ N ê Ðresulting"€charge€is€a€strict€liability€one€„€the€court€may€not€impose€"a€foreseeability€orÐ :Ö  Ðproximate€cause€requirement."€€òòAccordóó€òòUnited€States€v.€Soleróó,€275€F.3d€146€(1òòstóó€Cir.Ð &  Ð2002)].€Ð® (#(# ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ t  Ðà  àòòSeeóó€Committee€Comments€to€6.21.841A.Ô'NtºԚР Ör  ÐÓ €Óà@ ìàò òÔ% €ø ÔÔ  Ô6.21.841A.1(a).€€VERDICT€FORM;€WITH€LESSER„INCLUDED€OFFENSEÔ óõºÔó óˆÐ d ÐÖ€LŽìÛÖÌà@=='ìàVERDICTˆÐ <Ø ÐÌà  àWe,€the€jury,€find€Defendant€(name)€_______________of€the€crime€of€(insert€briefÐ  ° Ðà  àà ` àà ¸ àà  àà h àà À à€€€€[guilty/not€guilty]Ó€ÓÐ  œ Ðdescription,€e.g.,€possession€with€intent€to€distribute€500€grams€or€more€of€a€mixture€or€substanceÐ b þ Ðcontaining€methamphetamine)€[as€charged€in€Count€_____€of€the€indictment]€[under€InstructionÐ Ä `  ÐNo.€_____].Ð &  ÐÓ€Óà  àà ` àà ¸ àà  àà h àà À àà  à____________________________________Ð ˆ$  Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ t  Ð_______________Ð `ü  Ð(Date)Ð Lè  ÐÌà0  àà ` àIf€you€unanimously€find€Defendant€(name)€guilty€of€the€above€crime,€have€yourÐ $À Ðforeperson€write€"guilty"€in€the€above€blank€space,€sign€and€date€this€verdict€form.€€DoÐ ¬ Ðnot€consider€the€following€verdict€form.Ðü˜(#(# ÐÌà0  àà ` àIf€you€unanimously€find€the€Defendant€(name)€not€guilty€of€the€above€charge,Ð Ôp Ðhave€your€foreperson€write€"not€guilty"€in€the€above€blank€space.€€You€then€must€considerÐ À\ Ðwhether€the€defendant€is€guilty€of€(specify€lesser„included€offense)€on€the€followingÐ ¬H Ðverdict€form.И4(#(# ÐÌà0  àà ` àIf€you€are€unable€to€reach€a€unanimous€decision€on€the€above€charge,€leave€theÐ p  Ðspace€blank€and€decide€whether€the€defendant€is€guilty€of€(specify€lesser„includedÐ \ø Ðoffense,€e.g.,€possession€with€intent€to€distribute€50€grams€or€more€of€a€mixture€orÐ Hä Ðsubstance€containing€methamphetamine)€as€follows:€Ð4 Ð(#(# ÐÌà@ìàò ò[LESSER„INCLUDED€OFFENSE]ó óòòóóˆÐ  "¨  ÐÌà  à[We,€the€jury,€find€Defendant€(name)€_______________€of€the€crime€of€(insert€briefÐ ä#€" Ðâ âÓ€Óà  àà ` àà ¸ àà  àà h àà À à€€€€[guilty/not€guilty]Ð Ð$l# ÐÔ& L Ôâ âdescription,€e.g.,€possession€with€intent€to€distribute€50€grams€or€more€of€a€mixture€or€substanceÐ d Ðcontaining€methamphetamine)€[as€charged€in€Count€_____€of€the€indictment]€[under€InstructionÐ Æb ÐNo.€_____].Ó€ÓÐ ( Ä Ðà  àà ` àà ¸ àà  àà h àà À àà  à___________________________________Ð  ° Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ  œ Ð_____________Ð ì ˆ Ð(Date)Ð Ø t ÐÔ'LdœÄÔÌà0  àà ` àIf€you€unanimously€find€Defendant€(name)€guilty€of€the€above€crime,€have€yourÐ °L  Ðforeperson€write€"guilty"€in€the€above€blank€space,€sign€and€date€this€verdict€form.€€DoÐ œ8  Ðnot€consider€the€following€verdict€form.Ј$ (#(# ÐÌà0  àà ` àIf€you€unanimously€find€Defendant€(name)€not€guilty€of€the€above€charge,€haveÐ `ü  Ðyour€foreperson€write€"not€guilty"€in€the€above€blank€space.€€You€then€must€considerÐ Lè  Ðwhether€the€defendant€is€guilty€of€(specify€lesser„included€offense)€on€the€followingÐ 8Ô  Ðverdict€form.Ð$À(#(# ÐÌà0  àà ` àIf€you€are€unable€to€reach€a€unanimous€decision€on€the€above€charge,€leave€theÐ ü˜ Ðspace€blank€and€decide€whether€the€defendant€is€guilty€of€(specify€lesser„includedÐ è„ Ðoffense)€as€follows:]€ÐÔp(#(# ÐÌà@PPìàò òLESSER„INCLUDED€OFFENSEó óˆÐ ¬H ÐÌà  àWe,€the€jury,€find€Defendant€(name)€_______________€of€the€crime€of€(insert€briefÐ „  ÐÓ€Óà  àà ` àà ¸ àà  àà h àà À à€€€€[guilty/not€guilty]Ð p  Ðdescription,€e.g.,€possession€with€intent€to€distribute€a€mixture€or€substance€containingÐ Òn Ðmethamphetamine))€[as€charged€in€Count€_____€of€the€indictment]€[under€Instruction€No.€__€].Ó€ÓÐ 4 Ð ÐÌà  àà ` àà ¸ àà  àà h àà À àà  à____________________________________Ð  "¨  Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ ø"”! Ð_______________Ð ä#€" Ð(Date)Ð  Ð$l# ÐÖ€MLìÜÖà@= = ìàò òÔ% €ú ÔÔ  Ô6.21.841A.1(b).€€SPECIAL€VERDICT€FORM€ˆÐ d Ðà@| | ìà(INTERROGATORIES€TO€FOLLOW€FINDING€OF€GUILT)Ô €FƒÎÔó óˆÐ Pì ÐÌÓ€Óà@=='ìàVERDICTˆÐ ( Ä ÐÓ€Óà  àšWe,€the€jury,€find€Defendant€(name)€__________________€of€possession€of€a€controlled€Ð Š & Ðà  àà ` àà ¸ àà  àà h àà À à(guilty/not€guilty)Ó€xÏÓÐ v  Ðsubstance€with€intent€to€distribute€[as€charged€in€Count€_____€of€the€indictment]€[underÐ Ø t ÐInstruction€No.€_____€].Ð :Ö  Ðà  àIf€you€find€the€defendant€"guilty,"€you€must€answer€the€following:€òòóóÐ œ8  Ðà  àThe€quantity€of€(describe€substance,€e.g.€[a€mixture€or€substance€containing€a€detectableÐ þš  Ðamount€of]€[name€controlled€substance])€the€defendant€possessed€with€intent€to€distribute€was:Ð `ü  ÐÓ€Óà0  àa.à ` à€€€€€€€€à0¸ (#(#àà ` à_____à ¸ à(describe€substance€and€the€highest€applicable€quantity€range,€e.g.€5Ð Â^  Ðkilograms€or€more€of€a€mixture€or€substance€containing€a€detectableÐ ®J Ðamount€of€cocaine);К6¸ (#¸ (# ÐÌà0  àb.à0` (#(#àà0¸ ` (#` (#àà ` à_____à ¸ à(describe€substance€and€next€lower€quantity€range,€e.g.€500€grams€or€moreÐ r Ðbut€less€than€5€kilograms€of€a€mixture€or€substance€containing€a€detectableÐ ^ú Ðamount€of€cocaine.)ÐJæ¸ (#¸ (# ÐÌà0  àc.à0` (#(#àà0¸ ` (#` (#àà ` à_____à ¸ à(describe€substance€and€lowest€quantity€range,€e.g.,€less€than€500€grams€ofÐ "¾ Ða€mixture€or€substance€containing€cocaine).Ó€xÒÓЪ¸ (#¸ (# Ðà  àCheck€the€drug€quantity€which€the€jury€unanimously€agrees€was€involved€in€the€offense.Ð p  ÐIf€you€are€unable€to€agree,€check€[b][c](the€entry€for€the€lowest€drug€quantity).Ó€ÓÐ Òn ÐÌÌà  àà ` àà ¸ àà  àà h àà À àà  à____________________________________Ð –!2" Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ ‚"# ÐÌ____________________Ð Z$ö% Ð(Date)Ó €ÓÐ  F%â& ÐÓ €ÓÖ€OMìÝÖà@ŠŠìàò òÔ% €û ÔÔ  Ô6.21.841B.€€CONTROLLED€SUBSTANCES€-€DISTRIBUTION€(21€U.S.C.€ðð€841(a)(1))Ô ó®ØÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€distributing€(describe€substance,€e.g.,heroin),€as€charged€in€[Count€_____]Ð <Ø Ðof€the€indictment,€has€two€elements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€intentionally€transferredòò1óó€(describe€substance,€e.g.,€heroin)òò2óó€to€(nameÐ  œ Ðof€transferee,€e.g.,€Special€Agent€Jones);€andÐ b þ Ðà  àòòTwoóó,€at€the€time€of€the€transfer,€the€defendant€knew€that€it€was€[a€controlled€substance]Ð Ä `  Ð[(describe€substance,€e.g.,€heroin)].òò3óóÐ &  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ˆ$  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ê†  Ðà  à1.€€The€statute€uses€the€term€"distribute."€€The€Committee€is€of€the€opinion€that€in€manyÐ Lè  Ðcases€"transfer"€may€be€more€understandable.€€"Distribute,"€of€course,€may€be€used€in€theÐ 8Ô  ÐÔ'&ê>ÜÔinstruction.€Ð $À Ðà  à2.€€For€jury€instructions€involving€enhanced€drug€offenses€under€òòApprendi€v.€New€Jerseyóó,Ð †" Ðòòseeóó€6.21.841A1€„€6.21.846A1.€€Ð r Ðà  à3.€€The€defendant€need€not€know€what€the€controlled€substance€is€if€he€knows€he€hasÐ Ôp Ðpossession€of€some€controlled€substance.€€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.Ð À\ Ð2000)òòóó.€€The€alternative€language€which€best€fits€the€case€should€be€used.€Ð ¬H ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ª Ðà  àòòSeeóó€òòalsoóó€òòUnited€States€v.€Jardanóó,€552€F.2d€216,€219€(8th€Cir.€1977)€(government€mustÐ p  Ðshow€that€transfer€was€Ô':®ßÔintentional).€Ð \ø  Ðà  àòòSeeóó€Committee€Comments,€Instruction€6.21.841A,€òòsupraóó,€particularly€the€discussion€ofÐ ¾Z" ÐòòApprendi€v.€New€Jerseyóó.Ð  ª F# ÐÓ €ÓÖ€QOìÞÖà@³³ìàò òÔ% €ü ÔÔ  Ô6.21.843.€€CONTROLLED€SUBSTANCES€„€USE€OF€A€COMMUNICATIONS€FACILITY€ˆÐ d Ðà@¦¦ ìà(21€U.S.C.€ðð€843(b))Ô  ÌáÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€use€of€a€communication€facility€to€[commit]€[facilitate€the€commission€of]Ð ( Ä Ðanother€controlled€substance€offense€has€two€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€knowingly€used€a€"communication€facility";€andÐ ì ˆ Ðà  àòòTwoóó,€the€defendant€did€so€with€the€intent€to€[commit]€[facilitate€the€commission€of]€theÐ N ê  Ðoffense€of€(describe€the€offense,€e.g.,€attempted€possession€of€cocaine€with€intent€to€distribute).Ð °L  Ðà  àThe€term€"communication€facility"€includes€(specify€means€alleged,€e.g.,€mail,€telephone,Ð ®  Ðwire,€radio,€and€all€other€means€of€communication).òò1óóÐ t  Ðà  à[To€"facilitate"€the€commission€of€an€offense€means€to€make€easier€or€less€difficult€or€toÐ Ör  Ðassist€or€aid.]òò2óó€€[It€is€sufficient€if€a€defendant's€use€of€the€(specify€communication€facility,€e.g.,Ð 8Ô  Ðtelephone)€facilitates€either€the€defendant's€own€or€another€person's€commission€of€the€offense.]Ð š6 Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ü˜ ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ^ú Ðà  à1.€€Title€21€U.S.C.€ðð€843(b)€defines€"communication€facility"€as€"any€and€all€public€andÐ À\ Ðprivate€instrumentalities€used€or€useful€in€the€transmission€of€writing,€signs,€signals,€pictures,€orÐ ¬H ÐÔ'&^¯çÔsounds€of€all€kinds€.€.€.€."€€Ordinarily,€it€should€not€be€necessary€to€distinguish€between€public€orÐ ˜4 Ðprivate€facilities€or€set€forth€the€complete€definition.Ð „  Ðà  à2.€€Ordinarily€it€should€not€be€necessary€to€define€facilitate.€€If€necessary,€the€definitionÐ æ‚  Ðprovided€should€suffice.€€òòSee€United€States€v.€Adleróó,€879€F.2d€491,€495€(9th€Cir.€1988);€òòUnitedÐ Òn! ÐStates€v.€Phillipsóó,€664€F.2d€971,€1032€(5th€Cir.€Unit€B€1981);€òòMyers€v.€United€Statesóó,€457€U.S.Ð ¾Z" Ð1136€(1982);€and€òòPlatshorn€v.€United€Statesóó,€459€U.S.€906€(1982).Ð ª F# ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ  "¨% Ðà  àòòSeeóó€Fifth€Circuit€Pattern€Jury€Instructions:€€Criminal€ðð€2.88€(1997);€Ninth€Cir.€Crim.€JuryÐ n# ' ÐInstr.€9.4.5€(1997).Ô': "™ëÔÐ  Z$ö( ÐÓ €ÓÖ€³QìßÖà@} } ìàò òÔ% €þ ÔÔ  Ô6.21.846A.€€CONSPIRACY€(21€U.S.C.€ðð€846)Ô  ñìÔó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€conspiracy€as€charged€in€[Count€___€of]€the€indictment,€has€three€elements,Ð <Ø Ðwhich€are:Ð ž : Ðà  àòòOneóó,€on€or€before€(insert€date),€two€[or€more]€persons€reached€an€agreement€or€came€to€anÐ  œ Ðunderstanding€to€(insert€offense,€e.g.,€distribute€cocaine);òòóóÐ b þ Ðà  àòòTwoóó,€the€defendant€voluntarily€and€intentionally€joined€in€the€agreement€orÐ Ä `  Ðunderstanding,€either€at€the€time€it€was€first€reached€or€at€some€later€time€while€it€was€still€inÐ &  Ðeffect;€andÐ ˆ$  Ðà  àòòThreeóó,€at€the€time€the€defendant€joined€in€the€agreement€or€understanding,€[he]€[she]Ð ê†  Ðknew€the€purpose€of€the€agreement€or€understanding.Ð Lè  Ðà  àFor€you€to€find€[a]€defendant€guilty€of€this€crime,€the€Government€must€prove€all€of€theseÐ ®J Ðelements€beyond€a€reasonable€doubt€[as€to€that€defendant];€otherwise,€you€must€find€[that]Ð ¬ Ðdefendant€not€guilty.Ó€ÓÓ €ÓÐ r ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ Ôp Ðà  àòòSeeóó€Committee€Comments€and€Notes€on€Use,€Instructions€5.06A„I,€òòsupraóó.€€ThisÐ 6Ò Ðinstruction€omits€the€overt€act€element€of€Instruction€5.06A€of€this€Manual.€€Section€846€does€notÐ "¾ ÐÔ'&ÔÞñÔrequire€proof€of€an€overt€act.€€òòUnited€States€v.€Shabanióó,€513€U.S.€10€(1994).Ð ª Ðà  àAny€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€a€crimeÐ p   Ðmust€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonable€doubt.€Ð \ø! ÐòòApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220€F.3d€926Ð Hä" Ð(8òòthóó€Cir.€2000);€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000).€€Under€the€section€841(b)Ð 4 Ð# Ðsentencing€provisions,€some€of€the€facts€that€may€raise€the€statutory€maximum€are€the€quantity€ofÐ  !¼$ Ðdrugs€involved€in€the€offense,€or€whether€death€or€serious€bodily€injury€results€from€use€of€theÐ  "¨% Ðdrugs€involved.€€For€jury€instructions€involving€such€enhanced€drug€offenses,€òòseeóó€6.21.841A1€„Ð ø"”& Ð6.21.846A1.€€In€òòHarris€v.€United€Statesóó,€536€U.S.€545€(2002),€the€Supreme€Court€declined€toÐ ä#€' Ðextend€òòApprendióó€to€facts€increasing€the€statutory€minimum€sentence,€reaffirming€its€earlierÐ Ð$l( Ðdecision€in€òòMcMillan€v.€Pennsylvaniaóó,€477€U.S.€79€(1986).€€Therefore,€such€facts€need€not€beÐ ¼%X) Ðsubmitted€to€the€jury.Ð ¨&D * Ðà  àIn€cases€where€the€indictment€conjunctively€alleges€multiple€objects€of€a€conspiracy,€e.g.,Ð  (¦!, Ða€conspiracy€to€distribute€cocaine€and€marijuana,€the€Eighth€Circuit€has€approved€instructionsÐ ö(’"- Ðadvising€the€jury€that€they€may€convict€upon€proof€that€there€was€a€conspiracy€to€distribute€oneÐ â)~#. Ðor€both€of€the€controlled€substances.€€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€783€(8th€Cir.€1992);Ð Î*j$/ ÐòòUnited€States€v.€Luethóó,€807€F.2d€719,€732„34€(8th€Cir.€1986).€€If€the€evidence€is€not€clear€as€toÐ º+V%0 Ðwhich€substance€was€involved€in€a€conspiracy,€the€Eighth€Circuit€has€recommended€instructingÐ d Ðthe€jury€to€specify€which€controlled€substance(s)€the€conspiracy€involved€because€of€disparateÐ Pì Ðsentencing€ranges€for€different€controlled€substances.€€òòUnited€States€v.€Owensóó,€904€F.2d€411€(8thÐ <Ø ÐCir.€1990);€òòcf.€United€States€v.€Page„Beyóó,€960€F.2d€724,€727„28€(8th€Cir.€1992),€òòand€UnitedÐ ( Ä ÐStates€v.€Wattsóó,€950€F.2d€508,€514„15€(8th€Cir.€1991)€(distinguishing€òòOwensóó).€€òòSeeóó€CommitteeÐ  ° ÐComments€to€Instruction€11.03,€òòinfraóó.Ð   œ ÐÖ€¶³ìàÖÓ €Óà@ËËìàò òÔ% € ÔÔ  Ô6.21.846A.1.€€CONSPIRACY€(21€U.S.C.€ðð€846)€(òòApprendióó„Affected€Conspiracy)Ô  ¹ýÔó óˆÐ d ÐÖ€·¶ìáÖÌÓ€Óà  àThe€crime€of€conspiracy€as€charged€in€[Count€òò€€€óó€of]€the€indictment,€has€four€elements,Ð <Ø Ðwhich€are:Ð ž : Ðà  àòòOneóó,€on€or€about€[insert€date,€e.g.,€between€January€1,€1998,€and€October€1,€2000],€twoÐ  œ Ð[or€more]€persons€reached€an€agreement€or€came€to€an€understanding€to€(describe€offense,òòóó€e.g.,Ð b þ Ðdistribute€a€mixture€or€substance€containing€methamphetamine€[and€a€mixture€or€substanceÐ Ä `  Ðcontaining€cocaine]òò1óó);Ð &  Ðà  àòòTwoóó,€the€defendant€voluntarily€and€intentionally€joined€in€the€agreement€orÐ ˆ$  Ðunderstanding,€either€at€the€time€it€was€first€reached€or€at€some€later€time€while€it€was€still€inÐ ê†  Ðeffect;€Ð Lè  Ðà  àòòThreeóó,€at€the€time€the€defendant€joined€in€the€agreement€or€understanding,€[he]€[she]Ð ®J Ðknew€the€purpose€of€the€agreement€or€understanding;€and€Ð ¬ Ðà  àòòFouróó,€describe€aggravating€element,òò2óó€e.g€[the€agreement€or€understanding€involved€500Ð r Ðgrams€or€more€of€a€mixture€or€substance€containing€methamphetamineòò3óó€[and€5€kilograms€or€moreÐ Ôp Ðof€a€mixture€or€substance€containing€cocaine]]òò4óó).Ð 6Ò Ðà  àIf€you€find€these€four€elements€unanimously€and€beyond€a€reasonable€doubt,€[and€if€youÐ ˜4 Ðfind€unanimously€and€beyond€a€reasonable€doubt€that€the€defendant€was€not€[entrapped]€[asÐ ú–  Ðdefined€in€Instruction€No.€òò€€€€€€€€€€€óó]],€then€you€must€find€the€defendant€guilty€of€the€crime€ofÐ \ø" Ðconspiracy€(describe€offense,€e.g.€[to€distribute€500€grams€or€more€of€a€mixture€or€substanceÐ ¾Z$ Ðcontaining€methamphetamine€[and€5€kilograms€or€more€of€a€mixture€or€substance€containingÐ  !¼& Ðcocaine]]).€€Record€your€determination€on€the€Verdict€Form€which€will€be€submitted€to€you€withÐ ‚"( Ðthese€instructions.€Ð ä#€* Ðà  à[If€you€do€not€find€the€defendant€guilty€of€this€crime€[under€Count€òò€€€€óó],€go€on€to€considerÐ F%â, Ðwhether€the€defendant€conspired€(describe€lesser€offense,€e.g.€[to€distribute€50€grams€or€more€of€aÐ ¨&D . Ðmixture€or€substance€containing€methamphetamine€[and€any€amount€of€cocaine]]).€€Ð  (¦!0 Ðà  àIf€you€find€unanimously€and€beyond€a€reasonable€doubt:Ð l)#2 Ðâ âà  àThe€first€three€elements€set€forth€above;€and€Ð Î*j$4 Ðà  àFourth,€you€find€that€(describe€lesser€offense,€e.g.€[the€agreement€or€understandingÐ d Ðâ âinvolved€50€grams€or€more€of€a€mixture€or€substance€containing€methamphetamine€[and€anyÐ Æb Ðamount€of€cocaine]]),Ð ( Ä Ðà  à[and€if€you€find€unanimously€and€beyond€a€reasonable€doubt€that€the€defendant€was€notÐ Š & Ð[entrapped]€[as€defined€in€Instruction€No.€___]],€then€you€must€find€the€defendant€guilty€of€theÐ ì ˆ Ðcrime€of€conspiracy€to€distribute€(describe€substance€and€amount,€e.g.,€50€grams€or€more€of€aÐ N ê  Ðmixture€or€substance€containing€methamphetamine€[and€any€amount€of€cocaine]).€€Record€yourÐ °L  Ðdetermination€on€the€Verdict€Form.]Ð ®  Ðà  àIf€you€do€not€find€the€defendant€guilty€of€this€crime€[under€Count€___],€go€on€to€considerÐ t  Ðwhether€the€defendant€conspired€to€distribute€(describe€substance,€e.g.,€some€amount€ofÐ Ör  Ðmethamphetamine€and€cocaine).€€If€you€find€the€first€three€elements€unanimously€and€beyond€aÐ 8Ô  Ðreasonable€doubt,€[and€if€you€find€unanimously€and€beyond€a€reasonable€doubt€that€the€defendantÐ š6 Ðwas€not€[entrapped]€[as€defined€in€Instruction€No.€___]],€you€must€find€the€defendant€guilty€ofÐ ü˜ Ðthe€crime€of€conspiracy€to€distribute€(describe€substance,€e.g.,€methamphetamine€and€cocaine).€Ð ^ú ÐOtherwise,€you€must€find€the€defendant€not€guilty.€€Record€your€determination€on€the€VerdictÐ À\ ÐForm.€€Ð "¾ Ðà  à[The€quantity€of€controlled€substances€involved€in€the€agreement€or€understandingÐ „   Ðincludes€the€controlled€substances€the€defendant€possessed€for€personal€useòò5€óóor€distributed€orÐ æ‚" Ðagreed€to€distribute.€€The€quantity€also€includes€the€controlled€substances€fellow€conspiratorsÐ Hä$ Ðdistributed€or€agreed€to€distribute,€if€you€find€that€those€distributions€or€agreements€to€distributeÐ ª F& Ðwere€a€necessary€or€natural€consequence€of€the€agreement€or€understanding€and€were€reasonablyÐ  "¨( Ðforeseeable€by€the€defendant.]òò6óóÓ€ÓÓ €ÓÐ n# * ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ð$l, Ðà  à1.€€In€cases€where€the€indictment€conjunctively€alleges€multiple€objects€of€a€conspiracy,Ð 2&Î. Ðòòe.g.óó,€a€conspiracy€to€distribute€cocaine€and€marijuana,€the€Eighth€Circuit€has€approvedÐ 'º / ÐÔ'&Ð$£Ôinstructions€advising€the€jury€that€they€may€convict€upon€proof€that€there€was€a€conspiracy€toÐ  (¦!0 Ðdistribute€one€or€both€of€the€controlled€substances.€€òòUnited€States€v.€Davilaóó,€964€F.2d€778,€783Ð ö(’"1 Ð(8th€Cir.€1992);€òòUnited€States€v.€Luethóó,€807€F.2d€719,€732„34€(8th€Cir.€1986).€Ð â)~#2 Ðà  à2.€In€òòApprendióó,€530€U.S.€at€488,€the€majority€left€open€the€possibility€that€it€might€revisitÐ D+à$4 Ðthe€issue€of€whether€a€defendantððs€prior€conviction(s)€must€be€submitted€to€the€jury€and€foundÐ 0,Ì%5 Ðbeyond€a€reasonable€doubt€before€an€enhanced€punishment€based€on€prior€convictions€isÐ d Ðappropriate.€€Unless€and€until€the€Court€does€so,€prior€convictions€used€to€enhance€a€sentenceÐ Pì Ðneed€not€be€submitted€to€the€jury€and€proven€beyond€a€reasonable€doubt.€€òòAlmendarez„Torres€v.Ð <Ø ÐUnited€Statesóó,€523€U.S.€224,€235€(1998);€òòUnited€States€v.€Peltieróó,€276€F.3d€1003,€1006€(8òòthóó€Cir.Ð ( Ä Ð2002);€òòUnited€States€v.€Abernathyóó,€277€F.3d€1048,€1050€(8òòthóó€Cir.€2002).Ð  ° Ðà  à3.€€Under€the€section€841(b)€sentencing€provisions,€some€of€the€facts€that€may€raise€theÐ v  Ðstatutory€maximum€are€the€quantity€of€drugs€involved€in€the€offense,€whether€death€or€seriousÐ b þ Ðbodily€injury€results€from€use€of€the€drugs€involved,€or€whether€the€defendant€has€a€prior€felonyÐ N ê Ðdrug€conviction€.Ð :Ö  Ðà  àSuggested€wording€for€the€aggravating€facts€listed€in€the€above€paragraph€are:€Ð œ8  Ðà0  àà ` àa)€€the€crime€involved€(describe€substance€and€amount)€or€more.€€[This€alternativeÐ þš  Ðis€to€be€used€where€the€amount€of€drugs€increasing€the€maximum€sentence€is€not€inÐ ê†  Ðdispute.€€Where€the€offense€involves€two€or€more€controlled€substances,€and€theÐ Ör  Ðindictment€alleges€quantities€of€each€substance€sufficient€to€raise€the€maximum€sentence,Ð Â^  Ðan€additional€element€should€be€submitted€to€the€jury€for€a€finding€on€each€controlledÐ ®J Ðsubstance.]€Ðš6(#(# Ðà0  àà ` àb)€€a€death€resulted€from€use€of€the€(describe€substance).€€[In€òòUnited€States€v.Ð ü˜ ÐMcIntoshóó,€236€F.3d€968,€972€(8òòthóó€Cir.€2001),€the€Eighth€Circuit€held€that€the€"deathÐ è„ Ðresulting"€charge€is€a€strict€liability€one€„€the€court€may€not€impose€"a€foreseeability€orÐ Ôp Ðproximate€cause€requirement."€€òòAccord€United€States€v.€Soleróó,€275€F.3d€146€(1òòstóó€Cir.Ð À\ Ð2002)].€Ð¬H(#(# Ðà  à4.€€Where€the€conspiracy€involves€two€or€more€controlled€substances,€and€the€indictmentÐ ª Ðalleges€quantities€of€each€substance€sufficient€to€raise€the€maximum€sentence,€the€jury€shouldÐ ú– Ðmake€a€finding€on€each€controlled€substance.€€òòSeeóó€the€last€sentence€of€5.06F.Ð æ‚ Ðà  à5.€€The€amount€of€drugs€attributable€to€a€defendant€in€a€conspiracy€includes€drugsÐ Hä Ðpurchased€for€personal€use.€€òòUnited€States€v.€Jimenez„Villasenoróó,€270€F.3d€554,€562€(8òòthóó€Cir.Ð 4 Ð Ð2001).Ð  !¼  Ðà  à6.€€Whether€òòApprendióó€and€sections€841(b)€and€846€require€a€jury€finding€of€reasonableÐ ‚"" Ðforeseeability€for€each€coconspirator€has€not€yet€been€decided.€€In€òòUnited€States€v.€Jonesóó,€965Ð n# # ÐF.2d€1507€(8òòthóó€Cir.€1992),€the€court,€without€explicitly€stating€the€basis€for€its€decision,Ð Z$ö$ Ðdetermined€that€before€a€district€court€may€impose€a€mandatory€minimum€upon€a€defendantÐ F%â% Ðbased€upon€the€activities€of€other€defendants,€it€must€find€that€those€activities€were€in€furtheranceÐ 2&Î& Ðof€the€conspiracy€and€were€known€to€the€defendant€or€reasonably€foreseeable€to€him.€€òòId.óó,€atÐ 'º ' Ð1517.€€Other€circuits€have€explicitly€stated€that€section€846€requires€such€a€foreseeabilityÐ  (¦!( Ðdetermination,€and€that€the€foreseeability€determination€is€governed€by€the€relevant€conductÐ ö(’") Ðprovisions€of€the€Sentencing€Guidelines.€€òòSee,€e.g.,€United€States€v.€Martinezóó,€987€F.2d€920,€924„Ð â)~#* Ð26€(2d€Cir.€1993);€òòUnited€States€v.€Irwinóó,€2€F.3d€72,€77€(4òòthóó€Cir.€1993);€òòUnited€States€v.€Swineyóó,Ð Î*j$+ Ð203€F.3d€397,€405„06€(6òòthóó€Cir.€2000).€€Although€these€decisions€occurred€in€the€context€ofÐ º+V%, Ðguideline€sentencing€by€the€court,€because€they€are€based€on€statutory€construction€of€sectionsÐ d Ð846€and€841(b),€they€arguably€establish€foreseeability€as€an€element€of€the€offense.€€However,€theÐ Pì ÐEighth€Circuit€in€òòUnited€States€v.€McIntoshóó,€236€F.3d€968,€974€(8òòthóó€Cir.€2001),€indicated€that€theÐ <Ø Ðissue€is€in€doubt,€noting€that€ð ð[i]f€the€government€seeks€to€enhance€a€conspiracy€defendantððsÐ ( Ä Ðsentence€.€.€.€based€solely€on€conduct€of€a€coconspirator,€a€foreseeability€analysis€òòmayóó€be€requiredÐ  ° Ðin€determining€whether€Congress€intended,€under€ðð€846,€that€the€defendant€be€held€accountableÐ  œ Ðfor€the€conduct€of€a€coconspiratorðð€(emphasis€in€the€original).Ð ì ˆ Ðà  àThe€Committee€believes€that€until€the€issue€is€decided,€the€district€court€should€instructÐ N ê Ðthe€jury€on€foreseeability,€unless€the€defendant€agrees€to€an€òòApprendióó€waiver.Ð :Ö  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ œ8  Ðà  àòòSeeóó€Committee€Comments€and€Notes€on€Use,€Instructions€5.06A„I,€òòsupraóó.€€ThisÐ þš  Ðinstruction€omits€the€overt€act€element€of€Instruction€5.06A€of€this€Manual.€€Section€846€does€notÐ ê†  ÐÔ'&œU)Ôrequire€proof€of€an€overt€act.€€òòUnited€States€v.€Shabanióó,€513€U.S.€10€(1994).Ð Ör  Ðà  àThe€penalty€for€conspiracy€under€21€U.S.C.€ðð€846€is€the€same€as€for€the€substantiveÐ 8Ô  Ðoffense€committed.€€Thus,€the€quantity€of€the€drugs€involved€or€other€facts€may€affect€theÐ $À Ðmaximum€punishment€authorized€for€the€offense.€€Any€fact€(other€than€a€prior€conviction)€thatÐ ¬ Ðincreases€the€maximum€penalty€for€a€crime€must€be€charged€in€the€indictment,€submitted€to€theÐ ü˜ Ðjury€as€an€element€of€the€offense,€and€proven€beyond€a€reasonable€doubt.€€òòApprendi€v.€NewÐ è„ ÐJerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220€F.3d€926€(8òòthóó€Cir.€2000);Ð Ôp ÐòòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000).€€Under€the€section€841(b)€sentencingÐ À\ Ðprovisions,€some€of€the€facts€that€may€raise€the€statutory€maximum€are€the€quantity€of€drugsÐ ¬H Ðinvolved€in€the€offense,€or€whether€death€or€serious€bodily€injury€results€from€use€of€the€drugsÐ ˜4 Ðinvolved€.€€òòSeeóó€Notes€2€and€3,€òòsupraóó.€€ššIn€òòHarris€v.€United€Statesóó,€536€U.S.€545€(2002),€theÐ „  ÐSupreme€Court€declined€to€extend€òòApprendi€óóto€facts€increasing€the€statutory€minimum€sentence,Ð p  Ðreaffirming€its€earlier€decision€in€òòMcMillan€v.€Pennsylvaniaóó,€477€U.S.€79€(1986).€€Therefore,Ð \ø Ðsuch€facts€need€not€be€submitted€to€the€jury.Ð Hä Ðà  àInòò€United€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000),€the€panel€suggested€that€theÐ ª F Ðdistrict€courtððs€submission€of€drug€quantity€to€the€jury€in€a€special€interrogatory€rather€thanÐ –!2  Ðtreating€it€as€an€element€of€the€offense€was€harmless€error.€€However,€in€òòUnited€States€v.€Harrisóó,Ð ‚"! Ð310€F.3d€1105€(8òòthóó€Cir.€2002),€the€Court,€without€mentioning€òòSheppardóó,€explicitly€held€that€it€wasÐ n# " Ðnot€an€òòApprendióó€error€to€submit€the€issue€of€drug€quantity€to€the€jury€by€use€of€a€specialÐ Z$ö# Ðinterrogatory.€€The€Committee€believes,€therefore,€that€submission€of€drug€quantity€either€as€aÐ F%â$ Ðformal€element,€as€is€done€in€6.21.841A.1€(short)€and€6.21.841A.1€(long)€or€by€specialÐ 2&Î% Ðinterrogatory€is€permissible.€€òòSeeóó€11.03€for€a€verdict€form€with€special€interrogatories.€€Ð 'º & Ðà  àThe€verdict€forms€provided€for€6.21.841A.1(a)€and€(b)€offenses€may€be€modified€for€useÐ €("( Ðin€conspiracy€cases.šÐ  l)#) ÐÓ €ÓÖ€¸·ìâÖà@- - ìàò òÔ% € ÔÔ  Ô6.21.846B.€€ATTEMPT€(21€U.S.C.€ðð€846)Ô €t‘5Ôó óˆÐ d ÐÌÓ€Óà  àThe€crime€of€attempting€to€(describe€conduct,€e.g.,€distribute€methamphetamine),€asÐ <Ø Ðcharged€in€[Count€____€of]€the€indictment,€has€three€elements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€intended€to€(describe€conduct,€e.g.,€distribute€methamphetamine€toÐ  œ Ðanother€person);Ð b þ Ðà  àòòTwoóó,€the€defendant€knew€the€material€he€then€intended€to€distribute€was€[a€controlledÐ Ä `  Ðsubstance]€[(describe€substance,€e.g.,€methamphetamine)];€andÐ &  Ðà  àòòThreeóó,€the€defendant€voluntarily€and€intentionally€carried€out€some€act€which€was€aÐ ˆ$  Ðsubstantial€step€toward€(describe€conduct,€e.g.,€distribution€of€methamphetamine€to€anotherÐ ê†  Ðperson).Ð Lè  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ ®J ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ¬ Ðà  àAny€fact€(other€than€a€prior€conviction)€that€increases€the€maximum€penalty€for€a€crimeÐ r Ðmust€be€charged€in€the€indictment,€submitted€to€the€jury,€and€proven€beyond€a€reasonable€doubt.€Ð ^ú ÐòòÔ'&ø9ÔApprendi€v.€New€Jerseyóó,€530€U.S.€466€(2000);€òòUnited€States€v.€Aguayo„Delgadoóó,€220€F.3d€926Ð Jæ Ð(8òòthóó€Cir.€2000);€òòUnited€States€v.€Sheppardóó,€219€F.3d€766€(8òòthóó€Cir.€2000).€€Under€the€section€841(b)Ð 6Ò Ðsentencing€provisions,€some€of€the€facts€that€may€raise€the€statutory€maximum€are€the€quantity€ofÐ "¾ Ðdrugs€involved€in€the€offense,€or€whether€death€or€serious€bodily€injury€results€from€use€of€theÐ ª Ðdrugs€involved.€€For€jury€instructions€involving€such€enhanced€drug€offenses,€òòseeóó€6.21.841A1€„Ð ú– Ð6.21.846A1.€€In€òòHarris€v.€United€Statesóó,€536€U.S.€545€(2002),€the€Supreme€Court€declined€toÐ æ‚ Ðextend€òòApprendióó€to€facts€increasing€the€statutory€minimum€sentence,€reaffirming€its€earlierÐ Òn  Ðdecision€in€òòMcMillan€v.€Pennsylvaniaóó,€477€U.S.€79€(1986).€€Therefore,€such€facts€need€not€beÐ ¾Z! Ðsubmitted€to€the€jury.Ð ª F" Ðà  àòòSeeóó€Instructions€6.21.841A,€6.21.841A.1,€and€6.21.841B,€òòsupraóó,€and€Instruction€8.01,Ð  "¨$ Ðòòinfraóó;€òòsee€alsoóó€2€Kevin€F.€OððMalley,€šet€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rû?#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rE@#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŒ@#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÛ@#Ô:€Ð ø"”% ÐCriminal€ðððð21.01„.04€(5th€ed.€2000).šÐ  ä#€& ÐÓ €ÓÖ€¹¸ìãÖà@6 6 ìàò òÔ% € ÔÔ  Ô6.21.848A.€€CONTROLLED€SUBSTANCES€„€ˆÐ d Ðà@E E ìàCONTINUING€CRIMINAL€ENTERPRISE€(21€U.S.C.€ðð€848(c))Ô €„ËAÔó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€a€continuing€criminal€enterprise€as€charged€in€Count€_____€of€theÐ ( Ä Ðindictment€has€five€elements,€which€are:Ð Š & Ðà  àòòOneóó,€the€defendant€committed€the€offense€of€(describe€offense);Ð ì ˆ Ðà  àòòTwoóó,€the€offense€was€part€of€a€continuing€series€of€three€or€more€relatedòò1óó€felony€violationsÐ N ê  Ðof€the€federal€controlled€substance€laws;Ð °L  Ðà  àòòThreeóó,€such€offenses€were€undertaken€by€the€defendant€in€concert€with€five€or€more€otherÐ ®  Ðpersons;€Ð t  Ðà  àòòFouróó,€the€defendant€acted€as€organizer,€supervisor€or€manager€of€€those€five€or€more€otherÐ Ör  Ðpersons;òò2óó€andÐ 8Ô  Ðà  àòòFiveóó,€the€defendant€obtained€a€substantial€amount€of€money€or€other€property€from€theÐ š6 Ðseries€of€violations.Ð ü˜ Ðà  àTo€act€"in€concert"€means€to€act€pursuant€to€a€common€design€or€plan.€€The€defendantÐ ^ú Ðmust€have€organized,€supervised€or€managed,€either€personally€or€through€others,€five€or€moreÐ À\ Ðpersons€with€whom€[he]€[she]€was€acting€in€concert€while€[he]€[she]€committed€the€series€ofÐ "¾ Ðoffenses.€€However,€it€is€not€necessary€that€the€defendant€have€managed€all€five€at€once€or€thatÐ „  Ðthe€five€other€persons€have€acted€together€at€any€time€or€in€the€same€place.Ð æ‚! Ðà  àFurthermore,€it€is€not€necessary€that€the€defendant€have€been€the€only€person€whoÐ Hä# Ðorganized,€managed€or€supervised€the€five€or€more€other€persons€or€that€[he]€[she]€have€exercisedÐ ª F% Ðthe€same€amount€of€control€over€each€of€the€five€or€that€[he]€[she]€have€had€the€highest€rank€ofÐ  "¨' Ðauthority.Ð n# ) Ðà  à[All€money€or€property€which€passed€through€the€defendant's€hands€as€a€result€of€illegalÐ Ð$l+ Ðdrug€dealings€and€not€just€profit€may€be€considered€by€you€in€determining€whether€the€amountÐ 2&Î- Ðwas€substantial.]òò3óóÐ ”'0!/ Ðà  à[An€organizer€is€a€person€who€puts€together€a€number€of€people€engaged€in€separateÐ ö(’"1 Ðactivities€and€arranges€them€in€these€activities€in€one€operation€or€enterprise.]€€[A€supervisor€is€aÐ X*ô#3 Ðperson€who€manages€or€directs€or€oversees€the€activities€of€others.]òò4óóÐ º+V%5 Ðà  àThe€[indictment€charges]€[Government€contends]€that€the€[violations€charged€in€CountsÐ d Ð_____€and€_____]€[the€defendant's€previous€conviction[s]€for€(list€convictions)]€are€part€of€theÐ Æb Ðseries€of€three€or€more€violations.€€[You€must€unanimously€agree€on€which€three€violationsÐ ( Ä Ðconstitute€the€series€of€three€or€more€violations€in€order€to€find€that€element€No.€Two€has€beenÐ Š & Ðproved.]òò5óóÐ ì ˆ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ N ê  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ °L  Ðà  à1.€€If€the€court€wants€to€define€"continuing€series€of€violations,"€the€following€may€beÐ ®  Ðappropriate:Ð þš  ÐÔ'œ° OÔà0  àAt€least€three€violations€of€the€federal€controlled€substances€laws€that€were€connectedÐ `ü  Ðtogether€as€a€series€of€related€or€ongoing€activities€as€distinguished€from€isolated€andÐ Lè  Ðdisconnected€acts.€Ð8Ô (#(# Ðà  à2.€€The€jury€is€not€required€to€unanimously€agree€on€the€identities€of€the€five€persons.€Ð š6 ÐòòUnited€States€v.€Jelinekóó,€57€F.3d€655€(8th€Cir.€1995);€òòUnited€States€v.€Rockelmanóó,€49€F.3d€418,Ð †" Ð421€(8th€Cir.€1995).€€Even€though€unanimity€is€not€required,€problems€can€arise€if€more€than€fiveÐ r Ðpersons€are€alleged€to€be€supervised€or€managed€by€the€defendant€and,€on€appeal,€it€is€determinedÐ ^ú Ðthat€some€of€those€persons€were€not€properly€included.€€òòSee€United€States€v.€Jeromeóó,€924€F.2dÐ Jæ Ð170,€172„73€(9th€Cir.€1991)€(Kozenski,€J.,€concurring)€(conviction€reversed€where€jury€hadÐ 6Ò Ð"confusing€array€of€persons€presented"€and€insufficient€instructions€regarding€who€could€properlyÐ "¾ Ðbe€counted).€€This€problem€can€be€addressed€by€use€of€a€special€interrogatory.€€òòUnited€States€v.Ð ª ÐJelinekóó.€Ð ú– Ðà  à3.€€Use€if€"income"€needs€to€be€so€clarified€under€the€issues€raised€at€trial.Ð \ø Ðà  à4.€€Ordinarily€these€terms€do€not€need€definition,€but€these€definitions€are€provided€shouldÐ ¾Z! Ða€particular€need€for€them€arise.Ð ª F" Ðà  à5.€€This€instruction€should€be€given€on€request€where€more€than€three€violations€haveÐ  "¨$ Ðbeen€alleged.€€If€one€or€more€of€the€violations€is€not€a€prior€conviction€or€a€charged€offense,€theÐ ø"”% Ðinstruction€should€be€modified€to€describe€that€violation.€€The€Eighth€Circuit€has€indicated€that€itÐ ä#€& Ðis€preferable€to€list€the€felonies€comprising€the€criminal€enterprise€in€the€CCE€count€of€theÐ Ð$l' Ðindictment,€although€failure€to€do€so€would€not€necessarily€be€error.€€òòUnited€States€v.€Bectonóó,€751Ð ¼%X( ÐF.2d€250,€257€(8th€Cir.€1984).Ð ¨&D ) ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ  (¦!+ Ðà  àòòSeeóó€òòUnited€States€v.€Lewisóó,€759€F.2d€1316,€1331€(8th€Cir.€Ô'N (›XÔ1985);€òòUnited€States€v.€Possickóó,Ð l)#- Ðâ â849€F.2d€332,€335€(8th€Cir.€1988).Ð X*ô#. Ðà  àThe€statute€is€written€in€disjunctive€language,€and€the€Government€need€prove€only€thatÐ d Ðâ âthe€defendant€was€an€organizer,€or€a€supervisor,€or€held€some€management€role,€not€all€three.€Ð Pì ÐòòUnited€States€v.€Possickóó,€849€F.2d€at€335.€€The€terms€"organizer,"€"supervisor"€and€"manager"Ð <Ø Ðare€given€their€plain€meaning.€€òòId.óó,€849€F.2d€at€335.€€They€should€be€applied€in€the€ordinary€senseÐ ( Ä Ðas€understood€by€the€public€or€the€business€community.€€òòUnited€States€v.€Butleróó,€885€F.2d€195Ð  ° Ð(4th€Cir.€1989).€€Accordingly,€these€terms€do€not€require€specific€definition.€€òòUnited€States€v.Ð  œ ÐHernandez„Escarsegaóó,€886€F.2d€1560€(9th€Cir.€1989).Ð ì ˆ Ðà  àAs€summarized€in€òòPossickóó,€a€defendant€need€not€be€the€"king€pin"€or€ultimate€authority€inÐ N ê Ðthe€organization,€but€need€only€occupy€some€managerial€position,€òòUnited€States€v.€Maullóó,€806Ð :Ö  ÐF.2d€1340,€1343€(8th€Cir.€1986);€òòUnited€States€v.€Bectonóó,€751€F.2d€250,€255€(8th€Cir.€1984),€orÐ &  Ðperform€a€"central€role."€€òòUnited€States€v.€Lewisóó,€759€F.2d€at€1331.€€The€Government€need€notÐ ®  Ðestablish€that€the€defendant€managed€five€people€at€once,€that€the€five€acted€in€concert€with€eachÐ þš  Ðother,€that€the€defendant€exercised€the€same€kind€of€control€over€each€of€the€five,€or€even€that€theÐ ê†  Ðdefendant€had€personal€contact€with€each€of€the€five.€€òòSeeóó,€òòe.g.óó,€òòMaullóó,€806€F.2d€at€1343;€òòUnitedÐ Ör  ÐStates€v.€Jonesóó,€801€F.2d€304,€308€(8th€Cir.€1986);€òòBectonóó,€751€F.2d€at€254„55.€€In€essence,€theÐ Â^  Ðmanagement€element€is€established€by€demonstrating€that€the€defendant€exerted€some€type€ofÐ ®J Ðinfluence€over€another€individual€as€exemplified€by€that€individual's€compliance€with€theÐ š6 Ðdefendant's€directions,€instructions,€or€terms.€€òòSeeóó€òòUnited€States€v.€Grubbsóó,€829€F.2d€18,€19„20Ð †" Ð(8th€Cir.€1987)€(per€curiam);€òòUnited€States€v.€Luethóó,€807€F.2d€719,€732€(8th€Cir.€1986);€òòJonesóó,Ð r Ð801€F.2d€at€310.€€The€control€need€not€be€exclusive€or€absolute.€€òòUnited€States€v.€Possickóó,€849Ð ^ú ÐF.2d€at€336„37.€€Moreover,€it€is€irrelevant€that€others€may€have€superior€control€as€long€as€theÐ Jæ Ðdefendant€occupies€some€managerial€position.€€òòUnited€States€v.€Bectonóó,€751€F.2d€at€255.Ð 6Ò Ðà  àThe€"supervisor"€element€can€be€met€by€showing€that€the€defendant€put€"together€aÐ ˜4 Ðnumber€of€people€engaged€in€separate€activities€and€arrange[s]€them€in€their€activities€in€oneÐ „  Ðessentially€orderly€operation€or€enterprise."€€òòUnited€States€v.€Roleyóó,€893€F.2d€992,€994€(8th€Cir.Ð p  Ð1990)€(citations€omitted).€€"[A]€person€can€organize€persons€without€being€able€to€control€theirÐ \ø Ðactions."€€òòId.óóÐ Hä Ðà  àThe€five€or€more€subordinates€need€not€have€worked€in€concert€with€each€other.€€òòUnitedÐ ª F ÐStates€v.€Maullóó,€806€F.2d€at€1343;€òòUnited€States€v.€Jonesóó,€801€F.2d€at€308;€òòUnited€States€v.Ð –!2 ÐBectonóó,€751€F.2d€at€254„55.€€The€defendant€need€not€act€in€concert€with€five€or€more€persons€atÐ ‚"  Ðthe€same€time€or€in€the€same€state€or€district.€€òòUnited€States€v.€Maullóó,€806€F.2d€at€1344.€€òòSee€alsoóóÐ n# ! ÐòòUnited€States€v.€Fryóó,€413€F.€Supp.€1269€(E.D.€Mich.€1976),€òòaff'dóó,€559€F.2d€1221€(6th€Cir.€1977).€Ð Z$ö" ÐMoreover,€it€is€not€necessary€that€the€defendant€know€the€name€of€each€individual.€€òòPossickóó,€849Ð F%â# ÐF.2d€at€337;€òòsee€alsoóó€òòRoleyóó,€893€F.2d€at€995.Ð 2&Î$ Ðà  àThe€income€received€by€the€defendant€must€have€been€substantial.€€"Substantial"€meansÐ ”'0!& Ð"of€real€worth€and€importance€„„€of€considerable€value;€valuable."€€òòUnited€States€v.€Collieróó,€358Ð €("' ÐF.€Supp.€1351,€1355€(E.D.€Mich.€1973),€òòaff'dóó,€493€F.2d€327€(6th€Cir.€1974).€€In€òòUnited€States€v.Ð l)#( ÐJeffersóó,€532€F.2d€1101,€1116„17€(7th€Cir.€1976),€òòaff'd.€in€part,€vacated,€in€part,€on€other€groundsóó,Ð X*ô#) Ð432€U.S.€137€(1977),€the€court€upheld€an€instruction€stating€that€substantial€income€"does€notÐ D+à$* Ðnecessarily€mean€net€income€.€.€.€[but]€could€mean€gross€receipts€or€gross€income."€€In€òòUnitedÐ 0,Ì%+ ÐStates€v.€Thomasóó,€632€F.2d€837,€847€(10th€Cir.€1980),€a€jury€instruction€emphasizing€cash€flowÐ d Ðrather€than€net€income€was€upheld.€€òòSee€alsoóó€òòUnited€States€v.€Boltsóó,€558€F.2d€316,€320€(5th€Cir.Ð Pì Ð1977).Ð <Ø Ðà  àA€"continuing€series"€of€violations€has€been€defined€as€three€or€more€violations.€€òòUnitedÐ ž : ÐStates€v.€Samuelsonóó,€697€F.2d€255,€259€n.2€(8th€Cir.€1983).€€òòBut€seeóó€òòUnited€States€v.€Bakeróó,€905Ð Š & ÐF.2d€1100,€1104€(7th€Cir.€1990)€("continuing€series"€requirement€is€met€by€two€substantiveÐ v  Ðoffenses).€€These€violations€must€be€"related,"€òòUnited€States€v.€Jonesóó,€801€F.2d€304,€307€(8th€Cir.Ð b þ Ð1986),€in€the€sense€that€they€are€"driven€by€a€single€impulse€and€operated€by€unintermittentÐ N ê Ðforce."€€òòMaullóó,€806€F.2d€at€1342„43.€€Proof€of€a€violation€of€the€drug€laws€may€count€as€aÐ :Ö  Ð"violation"€even€though€not€the€basis€for€a€separate€substantive€count.€€òòUnited€States€v.€Michelóó,Ð &  Ð588€F.2d€986,€1000€n.15€(5th€Cir.€1979),€and€cases€cited€therein.€€Current€charges€and€previousÐ ®  Ðconvictions€may€constitute€the€requisite€violations.€€òòGarrett€v.€United€Statesóó,€471€U.S.€773Ð þš  Ð(1985).€€Although€most€circuits€allow€a€section€846€conspiracy€to€count€as€one€of€the€requiredÐ ê†  Ðthree€offenses,€one€circuit€has€refused€to€do€so.€€òòSee€Bakeróó,€905€F.2d€at€1103€(citing€sevenÐ Ör  Ðcircuits€which€do€and€the€basis€for€its€disagreement).Ð Â^  Ðà  àIf€more€than€three€violations€are€charged,€the€jury€must€unanimously€agree€on€which€threeÐ $À Ðacts€constitute€the€continuing€series€of€violations.€€òòUnited€States€v.€Echeverrióó,€854€F.2d€638,€642„Ð ¬ Ð43€(3d€Cir.€1988).Ð ü˜ Ðà  àCCE€is€a€separate€offense€from€the€predicate€offenses€and€prosecution€of€one€defendantÐ ^ú Ðfor€both€the€predicate€offense€and€CCE€does€not€violate€the€Double€Jeopardy€Clause.€€òòGarrett€v.Ð Jæ ÐUnited€Statesóó,€471€U.S.€at€792„93.€€The€Double€Jeopardy€Clause€likewise€does€not€barÐ 6Ò Ðcumulative€punishment€for€CCE€and€the€predicate€substantive€offenses.€€òòId.óó,€473€U.S.€at€793„95.€Ð "¾ ÐHowever,€where€the€predicate€offense€is€a€conspiracy€under€section€846,€cumulative€penalties€areÐ ª Ðnot€allowed€because€the€dangers€posed€by€CCE€and€a€conspiracy€are€similar.€€òòId.óó;€òòJeffers€v.Ð ú– ÐUnited€Statesóó,€432€U.S.€137€(1977)€(plurality€opinion);€òòUnited€States€v.€Maullóó,€806€F.2d€1340Ð æ‚ Ð(8th€Cir.€1986);€òòUnited€States€v.€Dukeóó,€940€F.2d€1113€(8th€Cir.€1991)Ð Òn Ðà  àAppellate€courts€are€divided€as€to€whether€accomplice€liability€applies€to€CCE€offenses.€Ð 4 Ð ÐòòSeeóó€this€discussion€in€Instruction€5.01,€òòsupraóó.Ð   !¼ ÐÖ€¼¹ìäÖÓ €Óà@œœìàò òÔ% € ÔÔ  Ô6.21.848B.€€FELONY€VIOLATIONS€OF€FEDERAL€NARCOTIC€LAWS€ˆÐ d Ðà@>>ìà(21€U.S.C.€ðð€848(c)(1))Ô  }xÔó óˆÐ Pì ÐÌà  àÓ€ÓOffenses€which€are€felony€violations€of€the€federal€narcotic€laws€may€be€any€or€all€of€theÐ ( Ä Ðfollowing€offenses:Ð Š & Ðà  à[Conspiracy€to€distribute€cocaine]€[Conspiracy€to€possess€cocaine€with€the€intent€toÐ ì ˆ Ðdistribute]€[Possession€of€cocaine€with€intent€to€distribute]€[Distribution€of€cocaine]€[UnlawfulÐ N ê  Ðuse€of€a€communication€facility€in€furtherance€of€a€narcotics€felony].òò1óó€Ð °L  Ðà  à(Follow€with€elements€instruction€for€each€offense€alleged€to€have€constituted€one€of€theÐ ®  Ðrequisite€felony€violations€or,€if€the€violation€was€the€subject€of€a€separate€count,€a€reference€toÐ t  Ðthe€elements€instruction€for€that€count.)Ó€ÓÓ €ÓÐ Ör  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 8Ô  Ðà  à1.€€List€only€those€offenses€which€are€alleged€to€have€been€part€of€the€series€of€violationsÐ š6 Ðand€which€are€supported€by€the€evidence.€€If€an€offense€not€on€this€list,€but€covered€by€21€U.S.C.Ð †" ÐÔ'&8Š|Ôðð€848,€has€been€charged,€it€should€be€included.€€òòSeeóó€additional€discussion€in€Note€4,€InstructionÐ r Ð6.21.848A,€òòsupraóó.Ð ^ú ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ À\ Ðà  àòòSeeóó€21€U.S.C.€ðð€848.€€Any€felony€offense€found€in€21€U.S.C.€ðððð€841„846€is€covered.€€TheÐ "¾ Ðinstruction€covers€those€most€commonly€used.Ô':À‚~ÔÐ  ª ÐÖ€¿¼ìåÖÓ €Óà@­ ­ ìàò òÔ% € ÔÔ  Ô6.21.853.€€CRIMINAL€FORFEITURE€OF€PROPERTYÔ %/ôÔó óˆÐ d ÐÌÓ€Óà  àMembers€of€the€jury,€you€have€reached€a€verdict€that€the€[defendant€is]€[defendants€are]Ð <Ø Ðguilty€of€(insert€charges),€as€charged€in€Count(s)€(insert€count€numbers€or€titles).€€You€now€haveÐ ž : Ðone€more€task€to€perform.òò1óó€€I€must€ask€you€to€render€a€special€verdict€concerning€property€theÐ  œ ÐUnited€States€has€alleged€is€subject€to€forfeiture€by€(name(s)€of€the€defendant(s)€convicted)€to€theÐ b þ ÐUnited€States.€€Forfeiture€means€the€defendant€loses€any€ownership€or€interest€[he,€she]€has€orÐ Ä `  Ðclaims€to€have€in€the€property,€as€a€part€of€the€penalty€for€engaging€in€criminal€activity.€€[YouÐ &  Ðneed€not€concern€yourself€with€any€other€person's€interest€in€the€property.€€I€will€take€care€of€anyÐ ˆ$  Ðsuch€claims.€€Your€only€concern€is€with€defendant€(name)'s€interest€in€the€property.]Ð ê†  Ðà  àThe€United€States€alleges€that€certain€properties€should€be€forfeited€because€they€[wereÐ Lè  Ðderived€from€proceeds€of€the€defendant's€drug€offense(s)]€[were€used€or€intended€to€be€used€byÐ ®J Ðthe€defendant€to€facilitate€the€commission€of€the€drug€offense(s).]€€The€Count(s)€(insert€countÐ ¬ Ðnumbers€or€titles)€alleging€property€to€be€forfeited€to€the€United€States€and€[the€particularÐ r Ðproperty€alleged€to€be€related€to€a€particular€count]€[the€property€alleged€to€be€related€to€theÐ Ôp Ðcount]€[is,€are]€as€follows:òò2óóÐ 6Ò Ðà0  àà ` à(List€each€count€for€which€there€has€been€a€conviction€and€the€specific€propertyÐ ˜4 Ðalleged€to€be€related€to€it€and€subject€to€forfeiture€by€the€defendant€or€by€a€particularÐ ú–  Ðdefendant.)Ð\ø"(#(# Ðà  àYou€must€determine€what€property,€if€any,€is€subject€to€forfeiture.€€Property€is€subject€toÐ ¾Z$ Ðforfeiture€if€the€United€States€has€proved,€by€the€greater€weight€of€the€evidence€[either]òò3óó€that:Ð  !¼& Ðà0  àà ` à[òòOneóó,€the€property€constituted€or€was€derived€from€any€proceeds€the€[particular]Ð ‚"( Ðdefendant€obtained,€directly€or€indirectly,€as€a€result€of€the€offense(s)€of€which€[he,€she]Ð ä#€* Ðhas€been€found€guilty,]€[òòoróó]ÐF%â,(#(# Ðà0  àà ` à[òòTwoóó,€the€property€was€used€or€was€intended€to€be€used,€in€any€manner€or€part,€toÐ ¨&D . Ðcommit€or€to€facilitate€the€commission€of€an€offense€of€which€the€defendant€has€beenÐ  (¦!0 Ðfound€guilty.]Ðl)#2(#(# Ðà  à[Property€"derived"€from€the€proceeds€of€drug€violations€includes€any€property€obtainedÐ Î*j$4 Ð(directly€or€indirectly)€using€money€or€any€other€source€of€wealth€gained€as€a€result€of€havingÐ 0,Ì%6 Ðparticipated€in€drug€violations.òò4óó€€Property€which€"facilitates"€the€commission€of€drug€violationsÐ d Ðincludes€property€which€€makes€the€commission€of€the€violations€easier€or€is€used€to€assist€in€theÐ Æb Ðcommission€of€the€violation.òò5óó]Ð ( Ä ÐØØà  à[You€may,€but€are€not€required€to,€find€that€property€is€subject€to€forfeiture€if€the€UnitedÐ Š & ÐStates€has€proved€by€the€greater€weight€of€the€evidence€that:Ð ì ˆ Ðà0  àà ` àa.€€such€property€was€acquired€by€the€defendant€during€the€period€€the€defendantÐ N ê  Ðwas€committing€the€offense(s)€of€which€[he,€she]€has€been€found€guilty€or€within€aÐ °L  Ðreasonable€time€after€the€commission€of€[that€offense,€those€offenses],€òòandóóЮ (#(# Ðà0  àà ` àb.€€there€was€no€likely€source€for€such€property€other€than€the€offense(s)€for€whichÐ t  Ðthe€defendant€has€been€found€guilty.]ÐÖr (#(# Ðà  àTo€prove€something€by€the€greater€weight€of€the€evidence€is€to€prove€that€it€is€more€likelyÐ 8Ô  Ðtrue€than€not€true.€€The€decision€is€made€by€considering€all€of€the€evidence€on€the€subject€andÐ š6 Ðdeciding€which€evidence€you€believe.€€Each€party€is€entitled€to€the€benefit€of€all€evidenceÐ ü˜ Ðreceived,€regardless€of€who€offered€the€evidence.€€Greater€weight€of€the€evidence€is€a€lesserÐ ^ú Ðstandard€than€proof€beyond€a€reasonable€doubt.Ð À\ Ðà  à[Property€subject€to€forfeiture€may€include€(specify€property€which€the€United€StatesÐ "¾ Ðclaims€is€subject€to€forfeiture),€whether€or€not€the€property€has€been€seized€by€the€United€States.]Ð „   Ðà  àAll€of€my€previous€instructions€[regarding€(identify€the€applicable€instructions€by€title€orÐ æ‚" Ðnumber,€e.g.,€Credibility€of€Witnesses€and€Duty€to€Deliberate),]€apply€with€respect€to€this€specialÐ Hä$ Ðverdict.€Ð ª F& Ðà  àA€Special€Verdict€Form€has€been€prepared€for€your€use.€€With€respect€to€each€property,Ð  "¨( Ðyou€are€asked€to€determine€unanimously€whether€it€is€to€be€forfeited€to€the€United€States.Ð n# * Ðà  àYou€may€answer€by€simply€putting€an€"X"€or€a€check€mark€in€the€space€provided€next€toÐ Ð$l, Ðthe€words€"yes"€or€"no."€€The€foreperson€must€then€sign€and€date€the€special€verdict€form.Ó€ÓÐ 2&Î. Ðâ âÐ 'º / ÐÔ& þ Ôâ ââ âò òà@ÕÕìàòòSPECIAL€VERDICT€FORMóó€òò6óóó óˆÐ d ÐÌà  àÓ€ÓWe,€the€Jury,€return€the€following€Special€Verdict€as€to€the€defendant's€interest€in€each€ofÐ <Ø Ðthe€properties€alleged€in€Count(s)€(insert€count€number(s))€to€be€subject€to€forfeiture€of€theÐ ž : Ðâ âÔ'þd–ÔUnited€States:Ð  œ Ðà  à1.€€(Insert€dollar€amount€in€United€States€currency,€real€property€or€other€tangible€orÐ b þ Ðintangible€personal€property€as€alleged€in€indictment);Ð Ä `  Ðà  àWe,€the€jury,€unanimously€find€this€property€is€subject€to€forfeiture.Ð &  ÐÌà  àà ` àà ¸ àà  àà h àà À àò òYES€€______________Ð ê†  Ðà  àà ` àà ¸ àà  àà h àà À àNO€€______________ó ó_Ð Lè  ÐÌ[Continue€with€these€questions€based€upon€the€specific€assets€of€the€indictment.]Ð ² ÐÌà  àThis€_____€day€of€____________________,€20_____.Ð Úv ÐÌà  àà ` àà ¸ àà  àà h àà À à___________________________________Ð ž: Ðà  àà ` àà ¸ àà  àà h àà À àForepersonÓ€ÓÐ œ  ÐÌÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Øt" Ðà  à1.€€The€Committee€recommends€that€the€guilt€phase€of€the€trial€be€partially€bifurcatedÐ : Ö$ Ðfrom€the€forfeiture€phase;€verdicts€should€first€be€accepted€as€to€the€guilt€or€innocence€ofÐ &!Â% ÐÔ'&Ø¥›Ôindividual€defendants,€and€the€jury€should€then€be€separately€instructed€as€to€forfeiture.€€InÐ "®& ÐòòUnited€States€v.€Sandinióó,€816€F.2d€869€(3d€Cir.€1987),€the€court€required€that€the€guilt€andÐ þ"š' Ðforfeiture€proceedings€be€bifurcated€and€that€a€defendant€be€given€the€opportunity€to€testify€at€theÐ ê#†( Ðforfeiture€hearing€if€he€so€requests.€€The€court€held€that€requiring€the€defendant€to€testify€at€hisÐ Ö$r) Ðcriminal€trial€about€the€forfeiture€aspects€of€the€case,€or€not€testify€at€all,€presented€the€defendantÐ Â%^* Ðwith€a€constitutionally€impermissible€"Hobson's€choice."Ð ®&J + Ðà  àOther€courts€have€favored€(but€have€not€required)€partially€bifurcated€proceedings.€TheseÐ (¬!- Ðcourts€have€recommended€separate€arguments€and€instructions€on€forfeiture,€but€leave€the€issueÐ ü(˜". Ðof€testimony€in€the€forfeiture€phase€to€the€discretion€of€the€trial€court.€€òòUnited€States€v.€Caubleóó,Ð è)„#/ Ðâ â706€F.2d€1322€(5th€Cir.€1983);€òòUnited€States€v.€Jenkinsóó,€904€F.2d€549€(10th€Cir.€1990);€òòUnitedÐ Ô*p$0 ÐStates€v.€Feldmanóó,€853€F.2d€648€(9th€Cir.€1988);€òòUnited€States€v.€Elgersmaóó,€971€F.2d€690€(11thÐ d ÐCir.€1992)€(òòen€bancóó).Ð Pì Ðâ âà  àThe€Committee€recommends€the€approach€of€the€above€courts.€€After€guilty€verdicts€areÐ ²N Ðreceived,€the€court€may€allow€arguments€and€instruct€the€jury€on€forfeiture.€€Whether€or€notÐ ž : Ðfurther€testimony€is€allowed€in€the€forfeiture€phase€will€be€left€to€the€sound€discretion€of€the€trialÐ Š & Ðcourt€to€be€determined€on€a€case„by„case€basis.Ð v  Ðà  à2.€€If€the€property€is€held€in€the€name€of€or€owned€by€third€parties,€the€followingÐ Ø t Ðinstruction€may€be€given:Ð Ä `  Ðà0  à[You€will€have€noted€that€certain€property€is€held€in€the€name€of€a€person€or€businessÐ &  Ðentity€other€than€the€defendant's.€€You€should€simply€disregard€any€such€title€or€formalÐ ®  Ðclaim€of€ownership€of€such€property€if€you€find€that€such€property€either€constituted€orÐ þš  Ðwas€derived€from€any€proceeds€the€defendant€obtained,€directly€or€indirectly,€as€the€resultÐ ê†  Ðof€his€criminal€activity€or€was€used,€or€intended€to€be€used,€in€any€manner€or€part€toÐ Ör  Ðcommit€or€to€facilitate€the€commission€of€such€criminal€activity.ÐÂ^ (#(# Ðà0  àThe€defendant's€interest€in€any€such€property€becomes€vested€in€the€United€States€€at€theÐ $À Ðmoment€the€property€was€acquired€by€way€of€the€illegal€acts€prohibited€in€the€statute.€Ð ¬ ÐAny€interest€that€another€person€may€claim€to€have€in€such€property€will€be€taken€intoÐ ü˜ Ðaccount€later€by€this€court€in€imposing€a€sentence€and€in€disposing€of€the€property.€€ThisÐ è„ Ðis€not€for€your€consideration€as€jurors.€€Stated€differently,€your€sole€task€is€to€decideÐ Ôp Ðwhether€this€property,€regardless€in€whose€name€it€is€now€held,€was€derived€from€or€wasÐ À\ Ðintended€to€facilitate€the€defendant's€drug€violations.]ЬH(#(# Ðà  à3.€€The€following€two€subsections€of€21€U.S.C.€ðð€853€are€relevant€to€the€proper€burden€ofÐ ª Ðproof€in€a€criminal€forfeiture€matter.€€Ð ú– ÐÔ& & Ôà@Ç Ç ìàòòProperty€Subject€to€Criminal€ForfeitureóóˆÐ \ø Ðà  à(a)€Any€person€convicted€of€a€violation€of€this€subchapter€or€subchapter€II€of€this€chapterÐ ¾Z Ðpunishable€by€imprisonment€for€more€than€one€year€shall€forfeit€to€the€United€States,€irrespectiveÐ ª F  ÐÔ'&\²ªÔof€any€provision€of€State€law„„Ð –!2! Ðà0  àà ` à(1)€any€property€constituting,€or€derived€from,€any€proceeds€the€person€obtained,Ð ø"”# Ðdirectly€or€indirectly,€as€the€result€of€such€violation;Ðä#€$(#(# Ðà0  àà ` à(2)€any€of€the€person's€property€used,€or€intended€to€be€used,€in€any€manner€orÐ F%â& Ðpart,€to€commit,€or€to€facilitate€the€commission€of,€such€violation;€andÐ2&Î'(#(# Ðà0  àà ` à(3)€in€the€case€of€a€person€convicted€of€engaging€in€a€continuing€criminalÐ ”'0!) Ðenterprise€in€violation€of€section€848€of€this€title,€the€person€shall€forfeit,€in€addition€toÐ €("* Ðany€property€described€in€paragraph€(1)€or€(2),€any€of€his€interest€in,€claims€against,€andÐ l)#+ Ðproperty€or€contractual€rights€affording€a€source€of€control€over,€the€continuing€criminalÐ X*ô#, Ðenterprise.ÐD+à$-(#(# ÐÔ& & Ôà@((ìàòòRebuttable€PresumptionóóˆÐ d Ðà  à(d)€€There€is€a€rebuttable€presumption€at€trial€that€any€property€of€a€person€convicted€of€aÐ Æb Ðfelony€under€this€subchapter€or€subchapter€II€of€this€chapter€is€subject€€to€forfeiture€under€thisÐ ²N ÐÔ'&dø¯Ôsection€if€the€United€States€establishes€by€the€greater€weight€of€the€evidence€that„„Ð ž : Ðà0  àà ` à(1)€€such€property€was€acquired€by€such€person€during€the€period€of€the€violationÐ  œ Ðof€this€subchapter€or€subchapter€II€of€this€chapter€or€within€a€reasonable€time€after€suchÐ ì ˆ Ðperiod;€andÐØ t(#(# Ðà0  àà ` à(2)€there€was€no€likely€source€for€such€property€other€than€the€violation€of€thisÐ :Ö  Ðsubchapter€or€subchapter€II€of€this€chapter.Ð& (#(# Ðà  àSix€circuit€courts€of€appeal€including€the€Eighth€Circuit€have€found€that€forfeiture€isÐ ˆ$  Ðmerely€part€of€the€punishment€for€a€crime€in€addition€to€any€sentence€that€the€defendant€receives.€Ð t  ÐFive€of€these€circuits€including€the€Eighth€Circuit€have€definitively€held€that€the€proper€burden€ofÐ `ü  Ðproof€in€a€forfeiture€matter€is€the€preponderance€of€the€evidence.€€òòUnited€States€v.€Bierióó,€21€F.3dÐ Lè  Ð819€(8th€Cir.€1994).Ð 8Ô  Ðà  àThe€Committee€recommends€following€the€clear€pronouncement€of€the€Eighth€Circuit€inÐ š6 ÐòòUnited€States€v.€Bierióó,€that€the€greater€weight€of€the€evidence€is€the€proper€burden€of€proof.Ð †" Ðà  à4.€€òòUnited€States€v.€Miliciaóó,€769€F.€Supp.€877€(E.D.€Pa.€1991).Ð è„ Ðà  à5.€€òòUnited€States€v.€Premises€Known€as€3639„„2nd€St.,€N.E.óó,€869€F.2d€1093,€1096€(8thÐ Jæ ÐCir.€1989);€òòUnited€States€v.€Schifferlióó,€895€F.2d€987,€990€(4th€Cir.€1990).Ð 6Ò Ðà  à6.€€Rule€31(e),€Federal€Rules€of€Criminal€Procedure,€requires€that€"special€verdicts"€beÐ ˜4 Ðused€in€all€criminal€forfeiture€matters.Ð „  ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ æ‚ Ðà  àòòSeeóó€21€U.S.C.€ðð€853(a)€through€(d).Ð Hä  ÐÔ'°æ“¸Ôà  àTwo€recent€Supreme€Court€decisions€deal€with€certain€types€of€innocent€owners€ofÐ ª F" Ðforfeitable€property€and€with€the€"proportionality"€of€forfeitures€under€the€excessive€fine€clauseÐ –!2# Ðof€the€Eighth€Amendment€of€the€U.S.€Constitution.€€òòSeeóó€òòUnited€States€v.€92€Buena€Vista€Avenue,Ð ‚"$ ÐRumson,€N.J.óó,€507€U.S.€111€(1993);€òòAustin€v.€United€Statesóó,€509€U.S.€602€(1993).€€AlthoughÐ n# % Ðthese€cases€should€be€carefully€considered€€because€they€will€have€an€effect€on€post„trial€hearingsÐ Z$ö& Ðinvolving€innocent€owners€(21€U.S.C.€ðð€853€n.(1)„n.(7),€and€on€post„trial€hearings€and€findings€toÐ F%â' Ðdetermine€the€proportionality€of€a€particular€forfeiture,€the€Committee€believes€they€should€notÐ 2&Î( Ðhave€an€effect€on€any€of€the€jury€instructions€in€this€section.€Ð  'º ) ÐÖ€À¿ìæÖÓ €Óà@HHìàò òÔ% €  ÔÔ  Ô6.21.856A.€€ESTABLISHMENT€OF€MANUFACTURING€OPERATIONS€„€ˆÐ d Ðà@ññ ìàMaintaining€Any€Place€For€Manufacturing€(21€U.S.C.€ðð€856(a)(1))Ô re"½Ôó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€maintaining€a€place€for€the€purpose€of€[manufacturing]€[distributing]Ð ( Ä Ð[using]òò1óó€a€controlled€substance,€as€charged€in€[Count€__€of]€the€indictment€has€two€elements,Ð Š & Ðwhich€are:Ð ì ˆ Ðà  àòòOneóó,€the€defendant€knowingly€[opened]€[maintained]òò2óó€a[n]€(describe€place€as€charged€inÐ N ê  Ðthe€indictment);€andÐ °L  Ðà  àòòTwoóó,€the€defendant€did€so€for€the€purpose€ofòò3óó€[manufacturing]€[distributing]€[using]€aÐ ®  Ðcontrolled€substance€(describe€controlled€substanceòò4óó€as€charged€in€the€indictment).Ð t  Ðà  àA€defendant€[opens]€[maintains]€a€place€for€the€purpose€of€[manufacturing]€[distributing]Ð Ör  Ð[using]€(describe€controlled€substance€as€charged€in€indictment)€if€the€defendant€maintains€theÐ 8Ô  Ðplace€for€the€specific€purpose€of€[manufacturing]€[€distributing]€[using]€the€controlled€substance.€Ð š6 ÐThe€specific€purpose€need€not€be€the€sole€purpose€for€which€the€place€is€used,€but€must€be€one€ofÐ ü˜ Ðthe€primary€or€principal€uses€to€which€the€place€is€used.òò5óóÐ ^ú Ðà  à(Insert€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09€òòsupraóó.)Ó€ÓÓ €ÓÐ À\ ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ "¾ Ðà  à1.€€òòSeeóó€21€U.S.C.€ðð€856(a)(1).Ð „  ÐÔ'°"–ÃÔà  à2.€€òòSeeóó€21€U.S.C.€ðð€856(a)(1).€€The€committee€recommends€that€if€the€place€is€aÐ æ‚! Ðresidence,€the€jury€be€instructed€that€in€order€for€the€defendant€to€have€maintained€the€residence,Ð Òn" Ðthe€defendant€must€have€a€substantial€connection€to€the€home.€€òòSee€United€States€v.€Vernersóó,€53Ð ¾Z# ÐF.3d€291,€296€(10òòthóó€Cir.€1995).Ð ª F$ Ðà  à3.€€The€purpose€element€applies€to€the€person€charged€with€maintaining€the€place€forÐ  "¨& Ðillegal€activity.€€It€is€not€sufficient€that€others€possess€the€requisite€purpose.€€òòUnited€States€v.Ð ø"”' ÐChenóó,€913€F.3d€at€189„90.Ð ä#€( Ðà  à4.€€If€the€controlled€substance€cannot€be€precisely€identified,€the€phrase€ð ða€controlledÐ F%â* Ðsubstanceðð€may€be€used.Ð 2&Î+ Ðà  à5.€€òòUnited€States€v.€Vernersóó,€53€F.3d€at€296;€òòUnited€States€v.€Lancasteróó,€968€F.2d€1250,Ð ”'0!- Ðâ â1253€(D.C.€Cir.€1992);€òòUnited€States€v.€Robertsóó,€913€F.2d€211,€220€(5òòthóó€Cir.€1990).Ð €(". ÐÔ& & Ôâ ââ âà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€òòUnited€States€v.€Chenóó,€913€F.2d€183,€186€(5òòthóó€Cir.€1990);€òòUnited€States€v.€Vernersóó,€53Ð Æb ÐF.3d€291,€295€(10òòthóó€Cir.€1995);€òòUnited€States€v.€Clavisóó,€956€F.2d€1079,€1090,€òòmodified€on€otherÐ ²N Ðâ âÔ'&d¬ÈÔgroundsóó,€977€F.2d€538€(11òòthóó€Cir.€1992).Ð ž : Ðà  àAs€part€of€the€comprehensive€drug€legislation€passed€in€October€1986,€Congress€enactedÐ  œ Ðsection€856€to€strengthen€federal€efforts€to€ð ðoutlaw€operation€of€houses€or€buildings,€so„calledÐ ì ˆ Ðððcrack€houses,ðð€where€ððcrack,ðð€cocaine€and€other€drugs€are€manufactured€and€used.ðð€€H.R.€5484,Ð Ø t Ð99òòthóó€Cong.,€2òòndóó€Sess.,€132€Cong.€Rec.€S13779€(9/26/86).€€The€drug„house€statute€is€aimed,€like€theÐ Ä `  Ðdrug„kingpin€statute,€at€persons€who€occupy€a€supervisory,€managerial€or€entrepreneurial€role€inÐ °L  Ða€drug€enterprise,€or€who€knowingly€allow€such€an€enterprise€to€use€their€premises€to€conduct€itsÐ œ8  Ðaffairs.€€òòUnited€States€v.€Thomasóó,€956€F.2d€165,€166€(7òòthóó€Cir.€1992).€€The€Eleventh€Circuit€hasÐ ˆ$  Ðheld€that€the€statute€contemplates€continuity€in€pursuit€of€the€alleged€objective:€€manufacturing,Ð t  Ðdistributing€or€using€controlled€substances.€€As€such,€it€found€that€an€isolated€instance€of€drugÐ `ü  Ðuse€or€distribution€or€manufacturing€is€not€sufficient€to€constitute€a€violation€of€the€statute.€Ð Lè  ÐòòUnited€States€v.€Clavisóó,€956€F.2d€at€1090.Ð 8Ô  Ðà  àProof€of€ð ðdominion€or€controlðð€is€not€necessary€to€establish€ð ðmaintenance.ðð€€òòUnitedÐ š6 ÐStates€v.€Basingeróó,€60€F.3d€1400,€1405€(9òòthóó€Cir.€1995);€òòUnited€States€v.€Clavisóó,€956€F.2d€at€1091.€Ð †" ÐHowever,€proof€of€a€defendantððs€ð ðdominion€and€controlðð€over€a€place€may€be€sufficient€to€showÐ r Ðthat€the€defendant€was€maintaining€a€place.òò€€See€United€States€v.€Howellóó,€31€F.3d€740,€741€(8òòthóóÐ ^ú ÐCir.€1994)€(evidence€that€the€defendant€had€sprayed€and€cultivated€field€provided€circumstantialÐ Jæ Ðevidence€of€constructive€possession€and€control€to€sufficiently€support€a€finding€that€theÐ 6Ò Ðdefendant€maintained€a€place€for€the€growing€of€marijuana).€€Acts€evidencing€maintenanceÐ "¾ Ðinclude€control,€duration,€acquisition€of€the€site,€renting€or€furnishing€the€site,€repairing€the€site,Ð ª Ðsupervising,€protecting,€supplying€food€to€those€at€the€site,€and€continuity.€€òòUnited€States€v.Ð ú– ÐClavisóó,€956€F.2d€at€1091.€€òòSee€also€United€States€v.€Cabbellóó,€35€F.3d€1255,€1261€(8òòthóó€Cir.€1994),Ð æ‚ Ðòòciting€with€approvalóó,€òòUnited€States€v.€Clavisóó,€956€F.2d€at€1091.€€The€Tenth€Circuit€has€held€thatÐ Òn Ðwhere€the€ð ðplaceðð€in€question€is€a€residence,€the€defendant€must€have€a€ð ðsubstantial€connectionððÐ ¾Z Ðto€the€home€and€must€be€more€than€a€ð ðcasual€visitorðð€in€order€to€satisfy€the€element.€€òòUnitedÐ ª F ÐStates€v.€Vernersóó,€53€F.3d€at€295;€òòUnited€States€v.€Williamsóó,€923€F.2d€1397,€1403€(10òòthóó€Cir.Ð –!2 Ð1990).€€When€a€defendant€lives€in€the€house,€the€element€may€be€satisfied.€€òòUnited€States€v.Ð ‚"  ÐOnickóó,€889€F.2d€1425,€1431€(5òòthóó€Cir.€1989).Ð n# ! Ðà  àThe€offense€has€two€mental€elements,€knowledge€and€purpose.€€òòSee€United€States€v.Ð Ð$l# ÐClavisóó,€956€F.2d€1079,€1090€(11òòthóó€Cir.€1992).€€The€purpose€element€in€subsection€(a)(1)€appliesÐ ¼%X$ Ðto€the€person€who€is€charged€with€opening€or€maintaining€the€place€for€illegal€activity.€Ð ¨&D % ÐTherefore,€it€is€not€sufficient€that€other€individuals,€rather€than€the€defendant,€possessed€theÐ ”'0!& Ðrequisite€purpose.€€òòId.óó;€òòUnited€States€v.€Banksóó,€987€F.2d€463,€466€(7òòthóó€Cir.€1993);€òòUnited€States€v.Ð €("' ÐChenóó,€913€F.2d€at€189„90.€€The€Seventh€Circuit,€drawing€upon€a€business€analogy,€defined€theÐ l)#( Ðterm€ð ðfor€the€purpose€ofðð€as€whether€the€defendant€acted€as€a€supervisor,€manager€orÐ X*ô#) Ðentrepreneur€in€the€drug€enterprise,€as€opposed€to€someone€who€merely€facilitated€the€crime.€Ð D+à$* ÐòòUnited€States€v.€Banksóó,€987€F.2d€at€466„67.€€Evidence€that€a€place€is€being€used€to€run€a€drugÐ 0,Ì%+ Ðenterprise€may€include€investment€in€the€tools€of€trade,€e.g.,€scales,€laboratory€equipment,€gunsÐ d Ðand€ammunition;€packaging€materials,€financial€records,€profits,€and€the€presence€of€multipleÐ Pì Ðemployees€or€customers.€€òòUnited€States€v.€Vernersóó,€53€F.3d€at€296.Ð <Ø Ðà  àWhile€the€defendant€must€have€the€specific€purpose,€it€need€not€be€the€sole€purpose€forÐ ž : Ðwhich€the€place€is€opened€or€maintained.€€òòUnited€States€v.€Vernersóó,€53€F.3d€at€296.€€The€FifthÐ Š & ÐCircuit€held€in€òòUnited€States€v.€Robertsóó,€913€F.2d€211,€220€(5òòthóó€Cir.€1990),€that€a€finding€that€theÐ v  Ðstatute€limited€convictions€to€a€sole€purpose€requirement€would€eviscerate€the€statute.€€On€theÐ b þ Ðother€hand,€the€manufacturing,€distributing€or€using€of€drugs€must€be€more€than€a€mere€collateralÐ N ê Ðpurpose€of€the€residence.€€A€casual€drug€user€does€not€violate€the€law€because€he€does€notÐ :Ö  Ðmaintain€his€house€for€the€purpose€of€using€drugs€but€rather€for€the€purpose€of€residence;€theÐ &  Ðconsumption€of€drugs€is€merely€incidental€to€that€purpose.€€òòUnited€States€v.€Verners,€óó53€F.3d€atÐ ®  Ð296;€òòUnited€States€v.€Lancasteróó,€968€F.2d€1250,€1253€(D.C.€Cir.€1992).€€The€manufacturing,Ð þš  Ðdistribution€or€use€of€drugs€must€be€one€of€the€primary€or€principal€uses€to€which€the€place€is€put.€Ð ê†  ÐòòIdóó.Ð Ör  Ðà  àThe€Fifth€Circuit€has€held€that€a€deliberate€ignorance€instruction€is€inappropriate€andÐ 8Ô  Ðcannot€be€given€as€to€a€section€856(a)(1)€violation,€for€one€cannot€be€deliberately€ignorant€andÐ $À Ðstill€have€the€purpose€of€engaging€in€illegal€drug€activities.€€The€instruction€was€inappropriate€forÐ ¬ Ðan€offense€which€requires€a€specific€purpose€by€the€defendant.€€òòUnited€States€v.€Chenóó,€913€F.2dÐ ü˜ Ðat€190.Ð  è„ ÐÖ€ÁÀìçÖÑ  ÑÓ €Óà0  àò òÔ% €  ÔÔ  Ô6.21.856B.€€ESTABLISHMENT€OF€MANUFACTURING€OPERATIONS€„€Ðd(#(# Ðà@„„ ìàManaging€or€Controlling€a€Manufacturing€Place€For€Compensation€ˆÐ Pì Ðà@88ìà(21€U.S.C.€ðð€856(a)(2)Ô ce£ãÔ)ó óˆÐ <Ø ÐÌÓ€Óà  àThe€crime€of€[managing]€[controlling]òò1óó€an€establishment€of€manufacturing€operations,€asÐ  ° Ðcharged€in€[Count€__€of]€the€indictment€has€three€elements,€which€are:Ð v  Ðà  àòòOneóó,€the€defendant€[managed]€[controlled]€(describe€location€as€charged€in€indictment);Ð Ø t Ðà  àòòTwoóó,€the€defendant€did€so€as€[owner]€[lessee]€[agent]€[employee]€[€mortgagee];€andÐ :Ö  Ðà  àòòThreeóó,€the€defendant€knowingly€and€intentionally€[€rented]€[leased]€[made€available€forÐ œ8  Ðuse€with€or€without€compensation]€(describe€location€as€charged€in€indictment)€for€the€purposeÐ þš  Ðofòò2óó€unlawfully€[manufacturing]€[storing]€[distributing]€[€using]€(describe€controlled€substance€asÐ `ü  Ðcharged€in€indictment).Ð Â^  Ðà  àA€defendant€[managed€]€[controlled]€(describe€location€as€charged€in€indictment)€for€theÐ $À Ðpurpose€of€unlawfully€[manufacturing]€[storing]€[distributing]€[using]€(describe€controlledÐ †" Ðsubstance€as€charged€in€indictment)€if€a€significant€purpose€for€the€location€is€theÐ è„ Ð[manufacturing]€[storing]€[€distributing]€[using]€of€a€controlled€substance.€€€[[Manufacturing]Ð Jæ Ð[Storing]€[Distributing]€[Using]€need€not€be€the€sole€or€primary€purpose€for€which€the€place€isÐ ¬H Ðused.]òò3óóÐ ª Ðà  à(Inset€paragraph€describing€Governmentððs€burden€of€proof;€òòseeóó€Instruction€3.09€òòsupraóó.)Ó€ÓÓ €ÓÐ p   ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Òn" Ðà  à1.€€òòSee€óó21€U.S.C.€ðð€856(a)(2).Ð 4 Ð$ ÐÔ'°ÒKëÔà  à2.€€The€purpose€element€may€be€satisfied€if€the€individuals€using€the€location€are€engagedÐ –!2& Ðin€the€illegal€activity.€€òòSee€United€States€v.€Banksóó,€987€F.2d€463,€466€(7òòthóó€Cir.€1993);€òòUnitedÐ ‚"' ÐStates€v.€Chenóó,€913€F.2d€183,€189„90€(5òòthóó€Cir.€1990).Ð n# ( Ðà  à3.€€òòUnited€States€v.€Meshackóó,€225€F.3d€556,€571€(5òòthóó€Cir.€2000).€€òòSee€alsoóó€òòUnited€States€v.Ð Ð$l* ÐRobertsóó,€913€F.2d€211,€220€(5òòthóó€Cir.€1990).€€Unlike€subsection€(a)(1),€the€specific€requirement€inÐ ¼%X+ Ðsubsection€(a)(2)€may€be€satisfied€if€the€person€or€persons€renting,€leasing€or€using€the€propertyÐ ¨&D , Ðâ âpossesses€the€requisite€purpose.Ð ”'0!-L ÐÔ& ° Ôà@55!ìàò òCommittee€Commentsó óˆÐ d Ðà  àòòSeeóó€òòUnited€States€v.€Chenóó,€913€F.2d€183,€186„87€(5òòthóó€Cir.€1990).Ð Æb Ðâ âÔ'ìdïÔà  àThe€drug„house€statute€is€aimed,€like€the€drug„kingpin€statute,€at€persons€who€occupy€aÐ d Ðâ âsupervisory,€managerial€or€entrepreneurial€role€in€a€drug€enterprise,€or€who€knowingly€allowÐ Pì Ðsuch€an€enterprise€to€use€their€premises€to€conduct€its€affairs.€€òòUnited€States€v.€Thomasóó,€956€F.2dÐ <Ø Ð165,€166€(7òòthóó€Cir.€1992).€€The€Eleventh€Circuit€has€held€that€the€statute€contemplates€continuity€inÐ ( Ä Ðpursuit€of€the€alleged€objective:€€manufacturing,€distributing€or€using€controlled€substances.€€AsÐ  ° Ðsuch,€it€found€that€an€isolated€instance€of€drug€use€or€distribution€or€manufacturing€is€notÐ  œ Ðsufficient€to€constitute€a€violation€of€the€statute.€€òòUnited€States€v.€Clavisóó,€956€F.2d€at€1090.Ð ì ˆ Ðà  àSubsection€(a)(2)€does€not€require€the€person€who€makes€the€place€available€to€others€forÐ N ê Ðdrug€activity€to€possess€the€purpose€of€engaging€in€illegal€activity.€€The€purpose€in€issue€is€that€ofÐ :Ö  Ðthe€person€renting€or€otherwise€using€the€place.€€òòUnited€States€v.€Banks,€óó987€F.2d€463,€466€(7òòthóóÐ &  ÐCir.€1993);€òòUnited€States€v.€Chenóó,€913€F.2d€at€189„90.€€The€defendant€may€be€liable€if€heÐ ®  Ðmanages€or€controls€a€building€that€others€use€for€an€illicit€purpose,€and€he€either€knows€of€theÐ þš  Ðillegal€activity€or€remains€deliberately€ignorant€of€it.€€Therefore,€under€subsection€(a)(2),€aÐ ê†  Ðdeliberate€ignorance€instruction€may€be€submitted€if€supported€by€the€evidence.€€òòId.óóÐ Ör  Ðà  àThe€Fifth€Circuit€held€in€òòUnited€States€v.€Robertsóó,€913€F.2d€211,€220€(5òòthóó€Cir.€1990),€thatÐ 8Ô  Ða€finding€that€the€statute€limited€convictions€to€a€sole€purpose€requirement€would€eviscerate€theÐ $À Ðstatute.Ð  ¬ ÐÖ€dÁìèÖÓ €Óà@// ìàò òÔ% € ÔÔ  Ô6.26.5861.€€FIREARMS„„POSSESSION€OF€UNREGISTERED€FIREARMS€ˆÐ d Ðà@tt ìà(26€U.S.C.€ðð€5861(d))Ô ceá÷Ôó óˆÐ Pì ÐÌà  àÓ€ÓThe€crime€of€[possessionòò1óó€of]€[receiving]€an€unregistered€firearm,€as€charged€in€CountÐ ( Ä Ð_____€of€the€Indictment,€has€four€elements,€which€are:Ð Š & Ðà0  àà ` àòòOneóó,€the€defendant€knewòò2óó€[he]€[she]€had€the€firearm€in€[his]€[her]€possession;Ðì ˆ(#(# Ðà0  àà ` àòòTwoóó,€the€defendant€knewòò2óó€the€firearm€was€[use€definitions€from€26€U.S.C.Ð N ê  Ððð5845(a),òò3óó€e.g.,€a€shotgun€having€a€barrel€or€barrels€less€than€18€inches€in€length,€etc.]òò4óó;аL (#(# Ðà0  àà ` àòòThreeóó,€the€firearm€[was€capable€of€operating€as€designed]€[could€readily€be€put€inÐ ®  Ðoperating€condition];òò5óó€€andÐt (#(# Ðà0  àà ` àòòFouróó,€the€firearm€was€not€registered€to€the€defendant€in€the€National€FirearmsÐ Ör  ÐRegistration€and€Transfer€Record.òò6óóÐ8Ô (#(# Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)Ó€ÓÓ €ÓÐ š6 ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ü˜ Ðà  à1.€€The€element€of€possession€in€firearms€cases€under€section€5861(d)€is€satisfied€if€theÐ ^ú Ðdefendant€has€knowledge€of€presence€and€control.€€Ownership€is€not€controlling€on€the€issue€ofÐ Jæ ÐÔ'&üDýÔguilt.€€òòZrustóó,€835€F.2d€at€193.€€òòSeeóó€Instruction€8.02,€òòinfraóó,€for€an€instruction€on€actual€orÐ 6Ò Ðconstructive€possession.Ð "¾ Ðà  à2.€€Title€26,€U.S.C.€ðð€5861€requires€proof€that€a€defendant€knew€of€the€characteristics€ofÐ „  Ðthe€weapon€that€made€it€a€ð ðfirearm.ðð€€òòStaples€v.€United€Statesóó,€511€U.S.€600,€619€(1994).€€TheÐ p  Ðholding€in€òòStaplesóó€is€a€ð ðnarrow€one.ðð€€òòId.óó€€It€focuses€on€concern€that€Congress€did€not€intend€toÐ \ø  Ðmake€outlaws€of€gun€owners€who€were€ð ðwholly€ignorant€of€the€offending€characteristics€of€theirÐ Hä! Ðweapons.ðð€€òòId.óó€€Post„òòStaplesóó,€the€Eighth€Circuit€has€held€that€where€the€characteristics€of€theÐ 4 Ð" Ðweapon€itself€render€it€ð ðquasi„suspect,ðð€the€government€need€only€prove€that€the€defendantÐ  !¼# Ðpossessed€the€weapon€and€observed€its€characteristics.€€òòUnited€States€v.€Barróó,€32€F.3d€1320,€1324Ð  "¨$ Ð(8th€Cir.€1994).€€òòBarróó€involved€a€sawed„off€shotgun€with€readily€visible€modifications€to€both€theÐ ø"”% Ðbarrel€and€the€stock.€€Ð ä#€& Ðà  à3.€€"Firearm"€may€require€definition€for€the€jury.€€The€eight€categories€of€firearms€areÐ F%â( Ðdefined€in€26€U.S.C.€ðð€5845(a).€€In€light€of€the€decisions€in€òòUnited€States€v.€Kurtóó,€988€F.2d€73,Ð 2&Î) Ð75„76€(9th€Cir.€1993);€òòUnited€States€v.€Daltonóó,€960€F.2d€121€(10th€Cir.€1992),€and€òòUnited€StatesÐ 'º * Ðv.€Rock€Island€Armory,€Inc.óó,€773€F.€Supp.€117€(C.D.€Ill.€1991),€machine€gun€possession€arguablyÐ  (¦!+ Ðshould€be€charged€under€18€U.S.C.€ðð€922(o)€rather€than€26€U.S.C.€ðð€5861(d).€€However,€the€mostÐ ö(’", Ðrecent€court€of€appeals€to€consider€the€issue€explicitly€rejected€the€argument€that€18€U.S.C.Ð â)~#- Ððð922(o)€did€not€implicitly€repeal€and€make€unconstitutional€26€U.S.C.€ðððð€5845€&€5861.€€òòUnitedÐ Î*j$. ÐStates€v.€Ardoinóó,€19€F.3d€177,€180€(5th€Cir.€1994)€(expressly€rejecting€òòDaltonóó€and€òòRock€IslandÐ º+V%/ ÐArmoryóó€and€adopting€the€analysis€of€the€Fourth€Circuit€in€òòUnited€States€v.€Jonesóó,€976€F.2d€176Ð d Ð(4th€Cir.€1992)).Ð Pì Ðà  à4.€€Further€definition€may€be€required€as€set€forth€in€26€U.S.C.€ðð€5845(b)„(h)Ð ²N Ðà  à5.€€The€Government€must€prove€that€the€firearm€can€be€operated€or€readily€assembled€toÐ  ° Ðoperating€condition.€€òòUnited€States€v.€Priestóó,€594€F.2d€1383€(10th€Cir.€1979).€€òòUnited€States€v.Ð  œ ÐSeven€Miscellaneous€Firearmsóó,€503€F.€Supp.€565€(D.D.C.€1980)€(forfeiture€case).€€This€thirdÐ ì ˆ Ðelement€of€the€pattern€instruction€will€not€be€required€in€cases€involving€destructive€devices€as€itÐ Ø t Ðis€not€necessary€that€the€device€function€as€intended.€€òòUnited€States€v.€Ragusaóó,€664€F.2d€at€700.€Ð Ä `  Ðà  à6.€€Whether€the€firearm€should€have€been€registered€is€a€jury€question.€€òòBryan€v.€UnitedÐ &  ÐStatesóó,€373€F.2d€403,€407€(5th€Cir.€1967).€€The€òòcapabilityóó€of€the€weapon€to€be€registered€is€not€anÐ ®  Ðelement€of€the€crime.€€òòUnited€States€v.€Kurtóó,€988€F.2d€at€76.šÐ þš  ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ `ü  Ðà  àòòSee€generallyóó€òòStaples€v.€United€Statesóó,€511€U.S.€600€(1994);€òòUnited€States€v.€Barróó,€32Ð Â^  ÐF.3d€1320€(8th€Cir.€1994);€òòUnited€States€v.€Matraóó,€841€F.2d€837€(8th€Cir.€1988),€and€òòUnitedÐ ®J ÐÔ'&`ñ ÔStates€v.€Zrustóó,€835€F.2d€192€(8th€Cir.€1987).€€òòSeeóó€2A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r² #Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rü #ÔÐ š6 ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rW#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¦#Ô:€€Criminal€ðð39€(5th€ed.€2000).Ð †" Ðà  àDestructive€devices€are€considered€firearms€within€the€meaning€of€the€statute.€€26€U.S.C.Ð è„ Ððð5845(a).€Ð Ôp Ðà  àItems€deemed€destructive€devices€have€been€as€diverse€as€ten€sticks€of€dynamite,€a€lengthÐ 6Ò Ðof€slow€fuse€and€a€blasting€cap€combined€with€an€alarm€clock€and€a€6„volt€battery,€òòUnited€StatesÐ "¾ Ðv.€Harflingeróó,€436€F.2d€928€(8th€Cir.€1970),€and€six€trash€bags€each€holding€a€5„gallon€containerÐ ª Ðof€gasoline€connected€by€overlapping€paper€towels€with€a€trigger€consisting€of€matchbooksÐ ú– Ðfashioned€to€cigarettes€adjacent€to€a€bottle€of€flammable€liquid.€€òòUnited€States€v.€Ragusaóó,€664Ð æ‚ ÐF.2d€696,€697„98€(8th€Cir.€1981).Ð Òn Ðà  àThe€individual€components€must€be€designed€or€intended€for€use€as€a€destructive€deviceÐ 4 Ð  Ðto€meet€the€requirements€of€26€U.S.C.€ðð5845(f)(3).€€òòSee€United€States€v.€Hamrickóó,€43€F.3d€877Ð  !¼! Ð(4th€Cir.€1995)€(citing€additional€examples€of€destructive€devices€and€affirming€by€an€equallyÐ  "¨" Ðdivided€court€that€an€improvised,€dysfunctional€incendiary€letter€bomb€was€a€destructive€deviceÐ ø"”# Ðsupporting€an€enhanced€penalty€under€18€U.S.C.€ðð€924(c)€as€well€as€being€a€destructive€deviceÐ ä#€$ Ðunder€26€U.S.C.€ðððð€5845(f)€&€5861).Ð Ð$l% Ðà  àWhen€the€individual€components€are€commercial€explosives,€proof€of€the€intended€use€ofÐ 2&Î' Ðthe€components€to€assemble€a€destructive€device€is€required€in€the€Eighth€Circuit.€€òòLangel€v.Ð 'º ( ÐUnited€Statesóó,€451€F.2d€957,€962€(8th€Cir.€1971).€€òòAccord€United€States€v.€Morningstaróó,€456€F.2dÐ  (¦!) Ð278€(4th€Cir.€1972);€òòUnited€States€v.€Greeróó,€588€F.2d€1151€(6th€Cir.€1979);€òòBurchfield€v.€UnitedÐ ö(’"* ÐStatesóó,€544€F.2d€922,€924€(7th€Cir.€1976);€òòUnited€States€v.€Obaóó,€448€F.2d€892,€894€(9th€Cir.Ð â)~#+ Ð1972).€€In€a€later€Ninth€Circuit€case,€òòUnited€States€v.€Fredmanóó,€833€F.2d€837€(9th€Cir.€1987),€theÐ Î*j$, Ðcourt€reversed€a€conviction€as€the€Government€failed€to€prove€beyond€a€reasonable€doubt€that€theÐ º+V%- Ðcomponents€were€intended€for€use€as€a€weapon.€€The€same€result€was€reached€by€the€First€CircuitÐ d Ðwhen€the€Government€failed€to€prove€the€dynamite€was€intended€for€use€as€a€bomb.€€òòUnitedÐ Pì ÐStates€v.€Curtisóó,€520€F.2d€1300€(1st€Cir.€1975).Ð <Ø Ðà  àThe€Second€Circuit€does€not€require€proof€of€the€intended€use€of€the€components.€€InÐ ž : ÐòòUnited€States€v.€Posnjakóó,€457€F.2d€1110€(2d€Cir.€1972),€the€court€held€that€commercial€dynamiteÐ Š & Ðwith€unattached€fuse€and€caps€was€not€a€destructive€device€regardless€of€the€intent€of€theÐ v  Ðtransferor.Ð  b þ ÐÖ€fdìéÖÓ €Óà@F F ìàò òÔ% € ÔÔ  Ô6.26.7201.€€TAX€EVASION€(26€U.S.C.€ðð€7201)Ô r,'Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€tax€evasion€as€charged€in€[Count[s]€___€of]€the€indictment€has€threeÐ <Ø Ðelements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€owed€substantial€income€tax€in€addition€to€that€which€[he]€[she]Ð  œ Ðreported€on€his€return;€Ð b þ Ðà  àòòTwoóó,€the€defendant€attempted€to€evadeòò1óó€and€defeat€that€additional€tax;€and€Ð Ä `  Ðà  àòòThreeóó,€the€defendant€acted€willfully.€Ð &  Ðà  àTo€"attempt€to€evade€or€defeat"€a€tax€involves€two€things:€€first,€an€intent€to€evade€orÐ ˆ$  Ðdefeat€the€tax;€and€second,€some€act€willfully€done€in€furtherance€of€such€intent.€€So,€the€wordÐ ê†  Ð"attempt"€contemplates€that€the€defendant€knew€and€understood€that,€during€the€calendar€yearÐ Lè  Ðcharged,€[he]€[she]€had€some€income€which€was€taxable,€and€which€he€was€required€by€law€toÐ ®J Ðreport;€but€that€[he]€[she]€nevertheless€attempted€to€evade€or€defeat€all€or€a€substantial€portion€ofÐ ¬ Ðthe€tax€on€that€income,€by€willfully€failing€to€report€all€[his]€[her]€known€income€which€[he]Ð r Ð[she]€knew€[he]€[she]€was€required€by€law€to€state€in€[his]€[her]€return€for€such€year;€or€in€someÐ Ôp Ðother€way€or€manner.€Ð 6Ò Ðà  àTo€"evade€and€defeat"€a€tax€means€to€escape€paying€a€tax€by€means€other€than€lawfulÐ ˜4 Ðavoidance.€Ð ú–  Ðà  àVarious€schemes,€subterfuges,€and€devices€may€be€resorted€to,€in€an€attempt€to€evade€orÐ \ø" Ðdefeat€a€tax.€€[The€one€alleged€in€the€indictment€is€that€of€filing€false€and€fraudulent€returns€withÐ ¾Z$ Ðthe€intent€to€evade€or€defeat€the€tax.]òò2óó€€€The€statute€makes€it€a€crime€willfully€to€attempt,€in€anyÐ  !¼& Ðway€or€manner,€to€evade€or€defeat€any€income€tax€imposed€by€law.òò3óó€Ð ‚"( Ðà  àAn€attempt€to€evade€an€income€tax€for€one€year€is€a€separate€offense€from€the€attempt€toÐ ä#€* Ðevade€the€tax€for€a€different€year.òò4óó€Ð F%â, Ðà  àEven€though€the€indictment€alleges€a€specific€amount€of€tax€due€for€each€of€the€calendarÐ ¨&D . Ðyears,€the€proof€need€not€show€the€precise€amount€of€the€additional€tax€due.òò5óó€€The€Government€isÐ  (¦!0 Ðonly€required€to€establish,€beyond€a€reasonable€doubt,€that€the€defendant€attempted€to€evade€aÐ l)#2 Ðâ âsubstantial€income€tax,€whether€greater€or€less€than€the€amount€charged€in€the€indictment.òò6óó€Ð Î*j$4 Ðà  à[The€fact€that€an€individual's€nameòò7óó€is€signed€to€a€return€means€that,€unless€and€untilÐ d Ðâ âoutweighed€by€evidence€in€the€case€which€leads€you€to€a€different€or€contrary€conclusion,€youÐ Æb Ðmay€find€that€a€filed€tax€return€was€in€fact€signed€by€the€person€whose€name€appears€to€be€signedÐ ( Ä Ðto€it.€€If€you€find€proof€beyond€a€reasonable€doubt€that€the€defendant€had€signed€[his]€[her]€taxÐ Š & Ðreturn,€that€is€evidence€from€which€you€may,€but€are€not€required€to,€find€or€infer€that€theÐ ì ˆ Ðdefendant€had€knowledge€of€the€contents€of€the€return.òò8óó]€Ð N ê  Ðà  àTo€act€"willfully"€means€to€voluntarily€and€intentionally€violate€a€known€legal€duty.òò9óó€Ð °L  Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ ®  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ t  Ðà  à1.€€"Evade"€should€be€defined€to€clarify€that€it€means€more€than€lawful€avoidance€of€a€tax,Ð Ör  ÐòòDistinctive€Theatres€of€Columbus€v.€Lookeróó,€165€F.€Supp.€410,€411€(S.D.€Ohio€1958),€and€toÐ Â^  ÐÔ'&tÜ)Ôavoid€confusion€with€the€requirement€of€willfulness,€òòUnited€States€v.€Bishopóó,€412€U.S.€346,€360Ð ®J Ðn.8€(1973).€Ð š6 Ðà  à2.€€Insert€the€method€charged€in€the€indictment.€€If€more€than€one€method€has€beenÐ ü˜ Ðcharged,€the€jury€may€be€instructed€that€it€need€find€only€one€matter€false,€however€its€finding€asÐ è„ Ðto€which€matter€must€be€unanimous.€€There€must€be€sufficient€evidence€to€support€each€methodÐ Ôp Ðcharged€in€the€instructions.€€òòUnited€States€v.€Kneenóó,€879€F.2d€345€(8th€Cir.€1989).€Ð À\ Ðà  à3.€€òòSansone€v.€United€Statesóó,€380€U.S.€343,€351€(1965);€š2B€Kevin€F.€OððMalley,€et€al.,Ð "¾ КFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r.#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rX.#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŸ.#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rî.#Ô:€€Criminal€ðð67.03€(5th€ed.€2000).Ð ª Ðà  à4.€€òòUnited€States€v.€Smithóó,€335€F.2d€898,€900-01€(7th€Cir.€1964).Ð p  Ðà  à5.€€òòSeeóó€òòUnited€States€v.€Calderonóó,€348€U.S.€160,€167€(1954);€òòSwallow€v.€United€Statesóó,Ð Òn! Ð307€F.2d€81,€83€(10th€Cir.€1962).Ð ¾Z" Ðà  à6.€€òòSeeóó€òòUnited€States€v.€Johnsonóó,€319€U.S.€503,€517-18€(1943);€òòUnited€States€v.€Gardneróó,Ð  !¼$ Ð611€F.2d€770,€775-76€(9th€Cir.€1980).€Ð  "¨% Ðà  à7.€€Section€6064,€United€States€Code,€Title€26€refers€to€individu‚als.€€Corporate€andÐ n# ' Ðpartnership€returns€are€covered€by€sections€6062€and€6063€of€Title€26.€€The€appropriate€languageÐ Z$ö( Ðshould€be€used.€€òòSee€alsoóó€Instruction€4.13,€òòsupraóó.€Ð F%â) Ðà  à8.€€Volume€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÝ2#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r'3#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rn3#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r½3#Ô:€Ð ¨&D + ÐCriminal€ðð67.22€(5th€ed.€2000);€òòUnited€States€v.€Wainwrightóó,€413€F.2d€796,€802€n.3€(10th€Cir.Ð ”'0!, Ð1969);€òòUnited€States€v.€Brinkóó,€648€F.2d€1140€(8th€Cir.€1981);€òòUnited€States€v.€Cashioóó,€420€F.2dÐ €("- Ð1132,€1135€(5th€Cir.€1969).Ð l)#. Ðà  àThis€instruction€should€only€be€used€when€a€signed€return€is€involved.€€Evasion€may€beÐ Î*j$0 Ðaccomplished€without€the€filing€or€signing€of€a€return.€Ð º+V%1 Ðà  à9.€€òòSeeóó€òòUnited€States€v.€Pomponioóó,€429€U.S.€10,€12€(1976);€òòUnited€States€v.€Jerdeóó,€841Ð d ÐF.2d€818,€821€(8th€Cir.€1988)€and€Instruction€7.02€of€this€Manual.€Ð Pì ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ²N Ðà  àòòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rx7#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÂ7#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r 8#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rX8#Ô:€€CriminalÐ  ° Ððððð67.03,€67.04,€67.08,€67.22,€67.24€(5th€ed.€2000);€òòSansone€v.€United€Statesóó,€380€U.S.€343,€351Ð  œ ÐÔ'&²ò6Ô(1965);€òòUnited€States€v.€Johnsonóó,€319€U.S.€503,€517-18€(1943);€òòUnited€States€v.€Fredericksonóó,Ð ì ˆ Ð846€F.2d€517€(8th€Cir.€1988).€Ð Ø t Ðà  àVarious€schemes€or€devises€may€constitute€tax€evasion.€€Most€commonly,€the€filing€of€aÐ :Ö  Ðfalse€and€fraudulent€return€understating€income€is€sufficient€to€satisfy€the€requirement€of€anÐ &  Ðattempt€to€evade.€€òòSansone€v.€United€Statesóó,€380€U.S.€at€351;€òòUnited€States€v.€Schaferóó,€580€F.2dÐ ®  Ð774€(5th€Cir.€1978).€Ð þš  Ðà  àWhether€the€tax€evaded€was€"substantial"€is€a€jury€question.€€òòCanaday€v.€United€Statesóó,Ð `ü  Ð354€F.2d€849,€851€n.2€(8th€Cir.€1966).€€That€case€defined€"substantial"€as€follows:€Ð Lè  Ðà0  àThe€word€"substantial,",€as€applicable€here,€is€necessarily€a€relative€term€and€notÐ ®J Ðsusceptible€of€an€exact€meaning.€€This€concept€is€implicit€in€òòUnited€States€v.€Nunanóó,€236Ð š6 ÐF.2d€576,€585€(2d€Cir.€1956),€where€the€court,€in€pertinent€part,€stated:€Ð†"(#(# Ðà0  àà0` (#(#à*€*€*€€The€showing€by€the€government€must€warrant€a€finding€that€the€amount€ofÐ è„ Ðthe€tax€evaded€is€substantial.€€(Citing€cases.)€€But€this€is€not€measured€in€terms€ofÐ Ôp Ðgross€or€net€income€nor€by€any€particular€percentage€of€the€tax€shown€to€be€dueÐ À\ Ðand€payable.€€All€the€attendant€circumstanc‚es€must€be€taken€into€consideration.€Ð ¬H Ð**€*€€But€a€few€thousand€dollars€of€omissions€of€taxable€income€may€in€a€givenÐ ˜4 Ðcase€warrant€criminal€prosecution,€depending€on€the€circumstances€of€theÐ „  Ðparticular€case.€€Otherwise€the€rich€and€powerful€could€evade€the€income€tax€withÐ p  Ðimpunity.Ð\ø` (#` (# Ð345€F.2d€at€851-52.€€Generally€"substantial"€is€not€defined€in€the€jury€instructions.€Ð ¾Z Ðà  àWhile€a€defendant€must€intend€to€evade€or€defeat€the€tax,€this€need€not€be€his€sole€motive.€Ð  !¼! ÐFor€example,€the€defendant€may€also€desire€to€suppress€information€as€to€acts€which€areÐ  "¨" Ðunrelated€to€tax€evasion,€including€other€criminal€acts.€€òòSpies€v.€United€Statesóó,€317€U.S.€492Ð ø"”# Ð(1943).€Ð ä#€$ Ðà  àThe€Supreme€Court€has€recognized€certain€facts€and€circumstances€as€indicating€an€intentÐ F%â& Ðto€evade€taxes:€Ð 2&Î' Ðà0  àBy€way€of€illustration€and€not€by€way€of€limitation,€we€would€think€affirmative€willfulÐ ”'0!) Ðattempt€may€be€inferred€from€conduct€such€as€keeping€a€double€set€of€books,€makingÐ €("* Ðfalse€entries€or€alterations,€or€false€invoices€or€documents,€or€alterations,€or€false€invoicesÐ l)#+ Ðor€documents,€destruction€of€books€or€records,€concealment€of€assets€or€covering€upÐ X*ô#, Ðsources€of€income,€handling€of€one's€affairs€to€avoid€making€the€records€usual€inÐ D+à$- Ðtransactions€of€the€kind,€and€any€conduct,€the€likely€effect€of€which€would€be€to€misleadÐ 0,Ì%. Ðor€to€conceal.€€If€the€tax€evasion€motive€plays€any€part€in€such€conduct,€the€offense€mayÐ d Ðbe€made€out€even€though€the€conduct€may€also€serve€other€purposes€such€as€theÐ Pì Ðconcealment€of€other€crimes.€Ð<Ø(#(# ÐòòSpies€v.€United€Statesóó,€317€U.S.€at€499.€€"Willfulness"€may€also€be€shown€by€a€consistent€patternÐ ž : Ðof€under„reporting,€òòUnited€States€v.€DiBenedettoóó,€542€F.2d€490€(8th€Cir.€1976).€Ð Š & Ðà  àTaxable€income€includes€illegally€acquired€funds€as€well€as€legally€acquired€funds.€Ð ì ˆ ÐòòJames€v.€United€Statesóó,€366€U.S.€213€(1961)€(embezzled€funds€taxable);€òòUnited€States€v.€Foggóó,Ð Ø t Ð652€F.2d€551,€555-56€(5th€Cir.€1981)€(commercial€bribes€and€kickbacks€taxable);€òòHartman€v.Ð Ä `  ÐUnited€Statesóó,€245€F.2d€349,€352-53€(8th€Cir.€1957);€òòUnited€States€v.€Meyeróó,€808€F.2d€1304€(8thÐ °L  ÐCir.€1987)€(diverted€corporate€funds€taxable).€€In€a€proper€case,€where€there€is€evidence€of€illegalÐ œ8  Ðincome,€the€jury€may€be€so€instructed.€€òòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r˜J#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%râJ#ÔÐ ˆ$  ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r=K#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rŒK#Ô:€€Criminal€ðð67.21€(5th€ed.€2000).€€òòUnited€States€v.€Renfroóó,€600Ð t  ÐF.2d€55€(6th€Cir.€1979).€€Ð `ü  Ðà  àGifts€are€not€taxable€items€of€income.€€If€the€defendant€contends€that€certain€payments€areÐ Â^  Ðgifts,€the€jury€may€be€instructed€as€follows:€Ð ®J Ðà0  àà ` àIt€is€for€you,€the€jury,€to€decide€whether€certain€funds€are€taxable€or€nontaxable€toÐ ¬ Ðthe€defendant.€€In€determining€whether€a€payment€of€money€or€property€to€the€defendantÐ ü˜ Ðis€a€nontaxable€gift,€you€should€look€to€the€intent€of€the€parties€at€the€time€the€paymentÐ è„ Ðwas€made,€particularly€the€intent€of€the€person€making€the€payment.€€Such€payments€areÐ Ôp Ðgifts€if€they€proceed€from€a€detached€and€disinterested€generosity,€out€of€affection,Ð À\ Ðrespect,€admiration,€charity,€or€like€impulses.€€In€making€this€determination,€however,€youÐ ¬H Ðmust€look€at€all€the€facts€and€circumstances€in€this€case.€€The€characterization€given€to€aÐ ˜4 Ðcertain€payment€by€either€the€defendant€or€the€person€making€the€payment€is€notÐ „  Ðconclusive.€€Rather€you,€the€members€of€the€jury,€must€make€an€objective€inquiry€as€toÐ p  Ðwhether€a€certain€payment€is€a€gift.€€In€this€instruction€a€"payment"€includes€any€form€ofÐ \ø Ðpayment€whether€it€be€in€cash,€goods,€or€services,€made€directly€to€the€defendant€or€on€hisÐ Hä Ðbehalf.€€You€should€look€at€the€terms€and€substance€of€any€request€made€by€the€defendantÐ 4 Ð Ðfor€the€payment.€Ð !¼(#(# ÐòòUnited€States€v.€Terrellóó,€754€F.2d€1139,€1149€n.3€(5th€Cir.€1985);€òòCommissioner€of€InternalÐ ‚"! ÐRevenue€v.€Dubersteinóó,€363€U.S.€278,€285-86€(1960).€€In€òòUnited€States€v.€Sheltonóó,€588€F.2d€1242Ð n# " Ð(9th€Cir.€1978),€it€was€held€proper€to€instruct€the€jury€that€whether€the€item€was€a€gift€wasÐ Z$ö# Ðdependable€on€the€transferor's€intent.€€Ð F%â$ Ðà  àOther€nontaxable€items€such€as€loans,€insurance€proceeds,€inheritances,€etc.€may€also€beÐ ¨&D & Ðidentified€and€defined€in€the€instructions€as€appropriate€to€the€case.€Ð ”'0!' Ðà  àGood€faith€is€a€theory€of€defense€in€tax€evasion.€€Where€the€defendant€has€presentedÐ ö(’") Ðevidence€of€good€faith,€he€is€entitled€to€a€jury€instruction.€€òòSeeóó€Instruction€9.08,€òòinfraóó.€€òòSee€alsoóóÐ â)~#* Ðâ âòòUnited€States€v.€Koubaóó,€822€F.2d€768,€771€(8th€Cir.€1987);€òòUnited€States€v.€Meyeróó,€808€F.2dÐ Î*j$+ Ð1304€(8th€Cir.€1987).€€Advice€of€counsel€is€a€form€of€a€good€faith€theory€of€defense.€€òòSeeóóÐ d ÐInstruction€9.08€òòinfraóó.€Ð Pì Ðâ âà  àIn€òòUnited€States€v.€Parshallóó,€757€F.2d€211€(8th€Cir.€1985)€the€court€held€it€was€not€errorÐ ²N Ðto€instruct€the€jury€that€"disagreement€with€the€law€or€governmental€policies€does€not€constituteÐ ž : Ðgood€faith€misunderstanding€of€the€requirements€of€the€law."€€Ð Š & Ðà  àOne€method€of€tax€evasion,€known€as€a€òòSpiesóó€evasion,€consists€of€failure€to€file€a€returnÐ ì ˆ Ðcoupled€with€an€affirmative€act€of€evasion.€€òòSeeóó€òòUnited€States€v.€Goodyearóó,€649€F.2d€226€(4thÐ Ø t ÐCir.€1981).€€If€this€type€of€evasion€is€charged,€the€jury€may€be€instructed€on€failure€to€file€inÐ Ä `  Ðviolation€of€Section€7203€as€a€lesser„included€offense.€€Ð  °L  ÐÖ€hfìêÖÓ €Óà@ŒŒìàò òÔ% € ÔÔ  Ô6.26.7202.€€FAILURE€TO€COLLECT,€ACCOUNT€TRUTHFULLY€FOR,€ˆÐ d Ðà@¾ ¾ ìàOR€PAY€OVER€EMPLOYMENT€TAXES€(26€U.S.C.€ðð€7202)Ô ŒZÔó óˆÐ Pì ÐÌÓ€Óà  àThe€crime€of€failure€to€[collect][,]€[or]€[account€truthfully€for]€[or]€[pay€over]Ð ( Ä Ðemployment€taxes,òò1óó€as€charged€in€[Count[s]€______€of]€the€indictment,€has€three€essentialÐ Š & Ðelements,€which€are:Ð ì ˆ Ðòòà  àOneóó,€the€defendant€had€a€duty€to€[collect][,]€[or]€[account€truthfully€for]€[or]€[pay€over]€anÐ N ê  Ðemployment€tax;šÐ °L  Ðà  àòòTwoóó,€the€defendant€knew€[he]€[she]€had€a€duty€to€[collect][,]€[or]€[account€truthfully€for]Ð ®  Ð[or]€[pay€over]€an€employment€tax;€andÐ t  Ðà  àòòThreeóó,€the€defendant€willfully€failed€to€[collect][,]€[or]€[account€truthfully€for]€[or]€[payÐ Ör  Ðover]€an€employment€tax.šÐ 8Ô  Ðà  àTo€act€ð ðwillfullyðð€means€to€voluntarily€and€intentionally€violate€a€known€legal€duty.Ð š6 Ðà  àð ðEmployment€taxðð€means€an€income€tax,€a€Social€Security€tax,€and€a€Medicare€(orÐ ü˜ Ðhospital€insurance)€tax€equal€to€a€percentage€of€the€wages€earned€by€an€employee.òò2óóÐ ^ú Ðà  àTo€have€a€ð ðdutyðð€with€respect€to€employment€taxes€means€the€defendant€was€a€personÐ À\ Ðresponsible€for€[collecting][,]€[or]€[accounting€truthfully€for]€[or]€[paying€over]€employmentÐ "¾ Ðtaxes.òò3óó€€A€person€with€such€responsibility€is€a€person€who€has€significant,€although€notÐ „  Ðnecessarily€exclusive€or€final,€control€or€authority€over€the€employerððs€finances€or€disbursementÐ æ‚! Ðof€the€employerððs€funds.òò4óó€€There€may€be€more€than€one€such€responsible€person€associated€withÐ Hä# Ðan€employer.òò5óó€€Moreover,€such€a€person€includes€a€person€who€has€delegated€[his]€[her]€controlÐ ª F% Ðor€authority€with€respect€to€employment€taxes€to€another€person.òò6óóÐ  "¨' Ðà  à[The€term€ð ðemployerðð€means€a€person€or€corporation€for€whom€an€individual€performed€aÐ n# ) Ðservice,€of€whatever€nature,€and€the€person€or€corporation€who€controlled€the€payment€ofÐ Ð$l+ Ðcompensation.]òò7óó€€[The€term€ð ðemployeeðð€means€a€person€performing€a€service,€of€whatever€nature,Ð 2&Î- Ðfor€the€payment€of€compensation.€€ð ðEmployeeðð€can€include€an€officer€of€a€corporation.]òò8óóÐ ”'0!/ Ðà  àEvery€employer,€through€one€or€more€responsible€persons,€is€required€to€collectÐ ö(’"1 Ðâ âemployment€taxes€from€the€wages€of€its€employees.òò9óó€€The€employment€taÔ_ÔxesÔ_Ô€must€be€depositedÐ X*ô#3 Ðwith€an€authorized€financial€institution€or€the€Federal€Reserve€Bank€at€certain€intervals€thatÐ d Ðdepend€on€the€amounts€withheld.òò10óóÐ Æb Ðâ âà  àEvery€employer,€through€one€or€more€responsible€persons,€is€required€to€accountÐ ( Ä Ðtruthfully€for€employment€taxes.òò11óó€€In€particular,€within€one€month€of€the€close€of€each€calendarÐ Š & Ðquarter,€every€employer€is€required€to€file€with€the€Internal€Revenue€Service€a€Form€941,Ð ì ˆ ÐEmployerððs€Federal€Quarterly€Tax€Return,€accounting€truthfully€for€the€employerððs€collection€ofÐ N ê  Ðemployment€taxes€for€that€quarter.òò12óó€Ð °L  Ðà  àEvery€employer,€through€one€or€more€responsible€persons,€is€required€to€pay€over€to€theÐ ®  ÐInternal€Revenue€Service€the€employment€taxes€that€the€employer€has€collected.€€TheÐ t  Ðemployment€taxes€are€to€be€paid€over€on€or€before€the€date€the€Form€941€is€due.òò13óó€Ð Ör  Ðà  à[Even€though€[Count[s]€______€of]€the€indictment€Ô_Ôallege[sÔ_Ô]€a€specific€amount€ofÐ 8Ô  Ðemployment€taxes€due€for€a€particular€calendar€quarter,€the€proof€need€not€show€the€preciseÐ š6 Ðamount€of€tax€due€for€that€quarter.]Ð ü˜ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof,€òòseeóó€Instruction€3.09,€òòsupraóó.)šÐ ^ú ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ À\ Ðà  à1.€€The€instruction€has€been€tailored€for€employment€tax€cases.€€The€instruction€should€beÐ "¾ Ðmodified€for€cases€charging€the€failure€to€collect,€account€truthfully€for,€or€pay€over€other€taxes,Ð ª Ðsuch€as€excise€taxes.€Ð ú–  Ðà  à2.€€òòSeeóó€26€U.S.C.€ðð€3102(a)€(requiring€employer€to€collect€employment€taxes€fromÐ \ø" Ðemployee€wages€at€the€time€of€compensation);€26€U.S.C.€ðð€3102(b)€(establishing€liability€ofÐ Hä# Ðemployer€for€withheld€employment€taxes);€26€U.S.C.€ðð€3402€(imposing€duty€on€employer€toÐ 4 Ð$ Ðwithhold€income€taxes€from€wages€at€the€time€of€compensation).Ð  !¼% Ðà  à3.€€The€Government€need€not€prove€that€the€defendant€was€responsible€for€all€threeÐ ‚"' Ðduties.€€It€is€sufficient€if€the€Government€proves€that€the€defendant€was€responsible€for€one€of€theÐ n# ( Ðthree€duties.€€òòSee€United€States€v.€Ô_ÔEvangelistaÔ_Ôóó,€122€F.3d€112,€121€(2d€Cir.€1997);€òòsee€also€UnitedÐ Z$ö) ÐStates€v.€Thayeróó,€201€F.3d€214,€220€(3d€Cir.€1999).€€Likewise,€the€Government€need€only€proveÐ F%â* Ðthat€the€defendant€willfully€failed€to€comply€with€one€of€the€three€duties€for€which€he€or€she€wasÐ 2&Î+ Ðresponsible.€€The€instruction€should€be€modified€to€conform€to€the€particular€charges€allegedÐ 'º , Ðagainst€the€defendant.€€If€two€or€more€theories€are€submitted€to€the€jury,€they€should€be€instructedÐ  (¦!- Ðthat€they€may€convict€the€defendant€if€they€find€unanimously€and€beyond€a€reasonable€doubt€thatÐ ö(’". Ðat€least€one€of€the€theories€was€proven€by€the€Government.€€òòSee,€e.g.,€United€States€v.€Ô_ÔVickerageÔ_Ôóó,Ð â)~#/ Ðâ â921€F.2d€143,€147€(8th€Cir.€1990)€(finding€no€error€where€court€instructed€jury€it€had€toÐ Î*j$0 Ðunanimously€agree€on€which€of€two€offenses€the€defendant€conspired€to€commit).€€For€anÐ d Ðexample€of€an€unanimity€instruction,€òòseeóó€Instruction€6.18.1341€n.2,€òòsupraóó.€Ð Pì Ðâ âà  à4.€€òòUnited€States€v.€Armstrongóó,€206€Fed.€Ô_ÔApp'xÔ_Ô€618,€620€(8th€Cir.€2006);€òòOlsen€v.€UnitedÐ ²N ÐStatesóó,€952€F.2d€236,€243€(8th€Cir.€1991);€òòÔ_ÔDonelanÔ_Ô€Phelps€&€Co.€v.€United€Statesóó,€876€F.2dÐ ž : Ð1373,€1376€(8th€Cir.€1989).€€A€ð ðresponsible€personðð€may€include€but€is€not€necessarily€limited€toÐ Š & Ðan€officer,€director,€shareholder€or€employee.€€òòÔ_ÔDonelanÔ_Ô€Phelps€&€Co.,óó€876€F.2d€at€1376òòóó.€Ð v  ÐResponsible€person€status€can€be€determined€by€looking€at€a€wide€range€of€factors.€€For€example,Ð b þ Ðan€individual€is€more€likely€to€be€considered€a€responsible€person€if€he€or€she€(1)€is€an€officer€orÐ N ê Ðmember€of€the€board€of€directors,€(2)€owns€shares€or€possesses€an€entrepreneurial€stake€in€theÐ :Ö  Ðcompany,€(3)€is€active€in€the€management€of€day-to-day€affairs€of€the€company,€(4)€has€the€abilityÐ &  Ðto€hire€and€fire€employees,€(5)€makes€decisions€regarding€which,€when€and€in€what€orderÐ ®  Ðoutstanding€debts€or€taxes€will€be€paid,€(6)€exercises€control€over€daily€bank€accounts€andÐ þš  Ðdisbursement€records,€and€(7)€has€check-signing€authority.€€òòSee,€e.g.,€United€States€v.€Ô_ÔBisbeeÔ_Ôóó,€245Ð ê†  ÐF.3d€1001,€1008€(8th€Cir.€2001);òò€Ô_ÔKenagyÔ_Ô€v.€United€Statesóó,€942€F.2d€459,€464„65€(8th€Cir.€1991);Ð Ör  ÐòòKelley€v.€Ô_ÔLethertÔ_Ôóó,€362€F.2d€629,€634€(8th€Cir.€1966);€òòJean€v.€United€Statesóó,€396€F.3d€449,€454Ð Â^  Ð(1st€Cir.€2005).€Ð ®J Ðà  à5.€€òòSee€Olsen€v.€United€Statesóó,€952€F.2d€236,€243€(8th€Cir.€1991).Ð ¬ Ðà  à6.€€òòSee€Keller€v.€United€Statesóó,€46€F.3d€851,€854€(8th€Cir.€1995).Ð r Ðà  à7.€€ð ðEmployerðð€is€defined€at€26€U.S.C.€ðð€3401(d).Ð Ôp Ðà  à8.€€ð ðEmployeeðð€is€defined€at€26€U.S.C.€ðð€3401(c).€Ð 6Ò Ðà  à9.€€Even€in€those€cases€where€the€defendant€is€charged€with€willfully€violating€only€one€orÐ ˜4 Ðtwo€duties,€the€committee€recommends€that€explanatory€definitions€be€read€for€all€three€duties€toÐ „  Ðprovide€context€and€background.€€If€desired,€language€could€be€added€at€the€beginning€of€eachÐ p  Ðexplanatory€paragraph€to€clarify€which€duty€or€duties€the€defendant€is€charged€with€violating:€Ð \ø Ðð ðThe€Government€[does€not€allege]€[alleges]€that€the€defendant€violated€the€duty€to€[collect][,]Ð Hä Ð[or]€[truthfully€account€for]€[or]€[pay€over]€employment€taxes.€€Every€employer,€through€one€orÐ 4 Ð Ðmore€responsible€persons,€is€required€to€.€.€.ðð€Ð  !¼  Ðà  à10.€€òòSeeóó€26€U.S.C.€ðð€6302;€26€C.F.R.€ðð€31.6302-1€(establishing€the€requirements€forÐ ‚"" Ðemployersðð€deposits€of€withheld€employment€taxes).€Ð n# # Ðà  à11.€€The€instruction€should€be€modified€for€those€cases€in€which€the€defendantððs€allegedÐ Ð$l% Ðfailure€to€comply€with€his€or€her€duty€to€account€truthfully€for€employment€taxes€is€based€inÐ ¼%X& Ðwhole€or€in€part€on€something€other€than€a€failure€to€file€Form€941.€€For€example,€theÐ ¨&D ' ÐGovernment€may€allege€that€a€defendant€has€failed€to€account€truthfully€for€employment€taxes€byÐ ”'0!( Ðfailing€to€keep€internal€accounting€records€or€by€failing€to€prepare€and€file€wage€and€taxÐ €(") Ðstatements€(Forms€W„2€and€W„3).€€òòSee,€e.g.óó,€òòÔ_ÔDonelanÔ_Ô€Phelps€&€Co.óó,€876€F.2d€at€1374.€Ð l)#* ÐMoreover,€for€those€cases€in€which€the€defendant€was€not€required€to€file€a€Form€941,€such€asÐ X*ô#+ Ðthose€involving€certain€agricultural€employers€(who€are€required€to€file€Form€943,€EmployerððsÐ D+à$, ÐAnnual€Federal€Tax€Return€for€Agricultural€Employees)€and€those€involving€employers€whoÐ 0,Ì%- Ðhave€an€employment€tax€liability€of€$1,000€or€less€for€a€given€year€(who€may€be€permitted€to€fileÐ d ÐForm€944,€Employer's€Annual€Federal€Tax€Return),€the€instruction€should€be€modifiedÐ Pì Ðaccordingly.Ð <Ø Ðà  à12.€€òòÔ_ÔElmoreÔ_Ô€v.€United€Statesóó,€843€F.2d€1128,€1131€n.6€(8th€Cir.€1988).Ð ž : Ðà  à13.€€òòUnited€States€v.€Ervastióó,€201€F.3d€1029,€1033€(8th€Cir.€2000);€òòÔ_ÔEmshwillerÔ_Ô€v.€UnitedÐ  œ ÐStatesóó,€565€F.2d€1042,€1044€(8th€Cir.€1977).Ð ì ˆ Ðà@55!ìàò òCommittee€Commentsó óˆÐ N ê  Ðà  àEmployment€taxes€are€also€known€as€ð ðtrust€fund€taxes.ðð€€òòUnited€States€v.€Ô_ÔBisbeeÔ_Ôóó,€245Ð °L  ÐF.3d€1001,€1004€(8th€Cir.€2001).€€The€Social€Security€and€Medicare€(or€hospital€insurance)Ð œ8  Ðportions€are€known€as€Federal€Insurance€Contribution€Act€(FICA)€taxes.€€òòUnited€States€v.Ð ˆ$  ÐCleveland€Indians€Baseball€Co.óó,€532€U.S.€200,€205€(2001).Ð t  Ðà  àIf€there€is€an€issue€whether€the€individuals€whose€taxes€are€at€issue€were€independentÐ Ör  Ðcontractors€rather€than€employees,€the€jury€may€be€instructed€on€the€various€factors€used€by€theÐ Â^  ÐInternal€Revenue€Service€to€determine€independent€contractor€status.€€òòSee,€e.g.óó,€òòÔ_ÔSaikiÔ_Ô€v.€UnitedÐ ®J ÐStatesóó,€306€F.2d€642,€648„49€(8th€Cir.€1962);€òòWolfe€v.€United€Statesóó,€570€F.2d€278,€280€(8th€Cir.Ð š6 Ð1978);€òòsee€also€óó26€C.F.R.€ðð€31.3121(d)-1(c)(2)€and€IRS€Revenue€Ruling€87-41,€òòcited€inóó€òòUnitedÐ †" ÐStates€v.€Porteróó,€569€F.€Supp.€2d€862,€869„70€(S.D.€Iowa€2008).Ð r Ðà  àThe€requisite€element€of€willfulness€under€section€7202€is€the€same€as€in€other€taxÐ Ôp Ðoffenses€under€Title€26.€€òòSeeóó€Instruction€6.26.7201,€òòsupraóó.€€It€must€be€shown€that€a€defendantÐ À\ Ðvoluntarily€and€intentionally€acted€in€violation€of€a€known€legal€duty.€€òòCheek€v.€United€Statesóó,Ð ¬H Ð498€U.S.€192€(1991);€òòUnited€States€v.€Pomponioóó,€429€U.S.€10,€12€(1976);€òòUnited€States€v.Ð ˜4 ÐBishopóó,€412€U.S.€346,€360€(1973).€€A€willful€violation€of€the€duty€to€pay€over€employment€taxesÐ „  Ðmay€be€found€where€the€defendant€used€the€withheld€employment€taxes€for€personal€purposes€orÐ p  Ðfor€business€purposes€in€an€effort€to€avoid€a€financial€crisis.€€òòUnited€States€v.€Carlsonóó,€498€F.3dÐ \ø Ð761,€762,€766€(8th€Cir.€2007).€€Moreover,€evidence€that€the€defendant€had€altered€records€hasÐ Hä Ðbeen€held€adÔ_ÔmissibleÔ_Ô€for€the€purpose€of€showing€motive,€intent,€and€willfulness€in€a€case€broughtÐ 4 Ð Ðunder€26€U.S.C.€ðð€7202.€€òòUnited€States€v.€Ô_ÔScharfÔ_Ôóó,€558€F.2d€498,€501€(8th€Cir.€1977).Ð  !¼  Ðà  àIf€requested€and€supported€by€the€evidence,€the€jury€should€be€given€the€deliberateÐ ‚"" Ðignorance€instruction,€Instruction€7.04,€òòinfraóó.Ð n# # Ðà  àFor€a€discussion€of€instructions€asserting€a€good€faith€defense€in€tax€cases,€òòseeóó€CommitteeÐ Ð$l% ÐComments,€Instruction€9.08,€òòinfraóó;€òòsee€alsoóó€Committee€Comments,€Instruction€6.26.7201,€òòsupraóó.Ð  ¼%X& ÐÖ€ihìëÖÓ €Óà@ââìàò òÔ% € ÔÔ  Ô6.26.7203.€€FAILURE€TO€FILE€TAX€RETURN€(26€U.S.C.€ðð€7203)Ô 5kº“Ôó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€failure€to€file€a€tax€return€as€charged€in€[Count(s)€òò€€€€€€óó€of]€the€indictment€hasÐ <Ø Ðthree€elements,€which€are:€Ð ž : Ðà  àòòOneóó,€the€defendant€was€required€to€file€a€federal€income€tax€return€for€(insert€taxableÐ  œ Ðyear(s)€charged);€Ð b þ Ðà  àòòTwoóó,€the€defendant€knew€that€[he]€[she]€was€required€to€file€such€a€tax€return;€and€Ð Ä `  Ðà  àòòThreeóó,€the€defendant€willfully€failed€to€file€the€required€tax€return€on€or€before€(insertÐ &  Ðtime€required€by€law).€€Ð ˆ$  Ðà  àTo€act€"willfully"€means€to€voluntarily€and€intentionally€violate€a€known€legal€duty.òò1óóÐ ê†  Ðà  à[A€single€person€[under]€[over]€sixty-five€years€old€was€required€to€file€a€federal€incomeÐ Lè  Ðtax€return€for€the€year(s)€(insert€years€charged),€if€[he]€[she]€had€gross€income€in€excess€of€(insertÐ ®J Ðamount)].òò2óó€Ð ¬ Ðà  à[A€married€individual€was€required€to€file€a€federal€income€tax€return€for€the€year(s)Ð r Ð(insert€years€charged),€if€[he]€[she]€had€a€separate€gross€income€in€excess€of€(insert€amount)òò3€óó€andÐ Ôp Ða€total€gross€income,€when€combined€with€that€of€[his]€[her]€spouse,€in€excess€of€(insert€amount)òò4óó€Ð 6Ò Ðwhere€[either]€[both]€[is]€[are]€[over]€[under]€sixty-five€years€old.]€Ð ˜4 Ðà  àGross€income€includes€the€following:€€[Compensation€for€services,€including€fees,Ð ú–  Ðcommissions€and€similar€items]€[Gross€income€derived€from€business]€[Gains€derived€fromÐ \ø" Ðdealings€in€property]€[Interest]€[Rents]€[Royalties]€[Dividends]€[Alimony€and€separateÐ ¾Z$ Ðmaintenance€payments]€[Annuities]€[Income€from€life€insurance€and€endowment€contracts]Ð  !¼& Ð[Pensions]€[Income€from€discharge€of€indebtedness]€[Distributive€share€of€partnership€grossÐ ‚"( Ðincome]€[Income€in€respect€of€a€decedent]€[Income€from€an€interest€in€an€estate€or€trust].òò5óó€Ð ä#€* Ðà  àThe€fact€that€a€person€may€be€entitled€to€deductions€from€income€in€sufficient€amount€soÐ F%â, Ðthat€no€tax€is€due€does€not€affect€that€person's€obligation€to€file.€Ð ¨&D . Ðà  àThe€Government€is€not€required€to€show€that€a€tax€was€due€and€owing€or€that€theÐ  (¦!0 Ðdefendant€intended€to€evade€or€defeat€the€payment€of€taxes,€only€that€[he]€[she]€willfully€failed€toÐ l)#2 Ðâ âfile€a€return.€Ð Î*j$4 Ðà  àIf€you€find€beyond€a€reasonable€doubt€that€the€defendant€had€the€required€gross€income€inÐ d Ðâ â(insert€year,€e.g.,€1985),€then,€the€defendant€was€required€to€file€a€tax€return€on€or€before€(insertÐ Æb Ðdate,€e.g.,€April€15,€1986).òò6óó€Ð ( Ä Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Š & ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ì ˆ Ðà  à1.€€òòSeeóó€òòUnited€States€v.€Pomponioóó,€429€U.S.€10,€12€(1976);€òòUnited€States€v.€Jerdeóó,€841Ð N ê  ÐF.2d€818,€821€(8th€Cir.€1988)€and€Instruction€7.02,€òòinfraóó.€Ð :Ö  ÐÔ'œì — Ôà  à2.,€3.,€4.€€Where€more€than€one€year€is€charged€and€the€gross€income€amount€requiring€aÐ œ8  Ðreturn€be€filed€differs€in€amount,€it€will€be€necessary€to€set€forth€the€appropriate€gross€income€forÐ ˆ$  Ðeach€of€the€years€in€issue.€€Note€also€that€gross€income€requirement€may€vary€from€year€to€yearÐ t  Ðdepending€on€the€amount€allowed€as€an€exemption,€the€age€of€the€defendant,€and,€in€the€case€of€aÐ `ü  Ðmarried€defendant,€the€age€of€the€spouse.€€26€U.S.C.€ðð€6012.€Ð Lè  Ðà  à5.€€The€instruction€should€be€simplified€by€eliminating€sources€of€income€not€shown€byÐ ®J Ðthe€evidence.Ð š6 Ðà  à6.€€A€return€made€on€the€basis€of€the€calendar€year€must€be€made€on€or€before€the€15thÐ ü˜ Ðday€of€April,€following€the€close€of€the€calendar€year.€€When€April€15€falls€on€a€Saturday,Ð è„ ÐSunday,€or€legal€holiday,€returns€are€due€on€the€first€day€following€April€15€which€is€not€aÐ Ôp ÐSaturday,€Sunday,€or€legal€holiday.€€26€U.S.C.€ðððð€6072,€6081,€7503.€Ð À\ Ðà  àReturns€made€on€the€basis€of€a€fiscal€year€are€generally€required€to€be€filed€on€or€beforeÐ "¾ Ðthe€15th€day€of€the€fourth€month€following€the€close€of€the€fiscal€year.€€26€U.S.C.€ðð€6072(a).€Ð ª ÐCalendar€year€corporate€returns€are€due€on€or€before€the€15th€day€of€March€following€the€close€ofÐ ú– Ðthe€calendar€year;€fiscal€year€corporate€returns€are€due€on€or€before€the€15th€day€of€the€thirdÐ æ‚ Ðmonth€following€the€close€of€the€fiscal€year.€€26€U.S.C.€ðð€6072(b).€Ð Òn Ðà  àNote€that€the€statutory€due€dates€should€be€adjusted€so€as€to€account€for€any€extensions€ofÐ 4 Ð! Ðtime€for€filing€a€return.€Ð  !¼" ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ‚"$ Ðà  àòòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r¸©#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rª#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rIª#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r˜ª#Ô:€€CriminalÐ ä#€& Ððððð67.11,€67.12,€67.20€(5th€ed.€2000)Ô':‚"2©Ô.€Ð Ð$l' Ðà  àòòSee€alsoóó€Committee€Comments,€Instruction€6.26.7201,€òòsupraóó.€Ð 2&Î) Ðà  àFor€a€discussion€of€instructions€asserting€a€good€faith€defense€in€tax€cases,€òòseeóó€CommitteeÐ ”'0!+ ÐComments,€Instruction€9.08,€òòinfraóó.€Ð €(", Ðà  àIf€a€defendant€in€a€failure€to€file€case€is€allowed€to€introduce€legal€and€other€materials€inÐ â)~#. Ðâ âsupport€of€his€good€faith€defense,€the€following€limiting€instruction€may€be€appropriate:€Ð Î*j$/ Ðà0  àThe€defendant€has€introduced€evidence€of€advice€he€heard€given€by€speakers€at€meetings,Ð d Ðâ âtape€recorded€lectures,€essays,€pamphlets,€court€opinions,€and€other€material€that€heÐ Pì Ðtestified€he€relied€on€in€concluding€that€he€was€not€a€person€required€to€file€income€taxÐ <Ø Ðreturns€for€the€years€_____€and€_____.€€This€evidence€has€been€admitted€solely€for€theÐ ( Ä Ðpurpose€of€aiding€you€in€determining€whether€or€not€the€defendant's€failure€to€timely€fileÐ  ° Ðtax€returns€for€_____€and€_____€was€knowing€and€willful€and€you€should€not€consider€itÐ  œ Ðfor€any€other€purpose.€€You€are€not€to€consider€this€evidence€as€containing€any€law€thatÐ ì ˆ Ðyou€are€to€apply€in€reaching€your€verdicts,€because€all€of€the€law€applicable€to€this€case€isÐ Ø t Ðset€forth€in€these€instructions.€ÐÄ `(#(# ÐòòUnited€States€v.€Milleróó,€634€F.2d€1134,€1135€(8th€Cir.€1980).Ð &  Ðà  àIf€the€issue€arises,€the€jury€may€be€properly€instructed€that€the€government€need€not€proveÐ ˆ$  Ðbad€purpose€or€evil€motive.€€òòUnited€States€v.€Jerdeóó,€841€F.2d€818€(8th€Cir.€1988).€Ð  t  ÐÖ€kiììÖÓ €Óà@ÚÚìàò òÔ% € ÔÔ  Ô6.26.7206.€€FALSE€INCOME€TAX€RETURN€(26€U.S.C.€ðð€7206(1))Ô stIJÔó óˆÐ d ÐÌà  àÓ€ÓThe€crime€of€willfully€making€and€subscribing€to€a€false€(describe€document,€e.g.,€incomeÐ <Ø Ðtax€return)€as€charged€in€[Count[s]€_____€of]€the€indictment,€has€€five€elements,€which€are:Ð ž : Ðà  àòòOneóó,€the€defendant€made€and€signed€(describe€document,€e.g.,€an€individual€income€taxÐ  œ Ðreturn,€Form€1040,)òò1óó€for€the€year€in€question,€that€was€false€as€to€(describe€material€matters,€e.g.,Ð b þ Ðincome);òò2óó€Ð Ä `  Ðà  àòòTwoóó,€the€return€contained€a€written€declaration€that€it€was€signed€under€the€penalties€ofÐ &  Ðperjury;€Ð ˆ$  Ðà  àòòThreeóó,€the€defendant€did€not€believe€the€return€to€be€true€and€correct€as€to€(describeÐ ê†  Ðmaterial€matter,€e.g.,€income);òò3óó€€Ð Lè  Ðà  àòòFouróó,€the€defendant€acted€willfully;€andÐ ®J Ðà  àòòFiveóó,€the€false€matter€in€the€(describe€document,€e.g.,€income€tax€return)€was€material.òò4óóÐ ¬ Ðà  àThe€tax€return€in€question€must€be€false€as€to€(describe€material€matter,€e.g.,€income)òò5óó€thatÐ r Ðis€(e.g.,€that€the€defendant€must€have€received€income€in€addition€to€that€reported€on€[his]€[her]Ð Ôp Ðreturn,€regardless€of€the€amount).òò6óó€€However,€the€Government€is€not€required€to€prove€that€theÐ 6Ò Ðdefendant€owed€an€additional€tax€for€the€years€in€issue.€€Whether€the€Government€has€or€has€notÐ ˜4 Ðsuffered€a€monetary€loss€as€a€result€of€the€alleged€return€is€not€an€element€of€this€offense.òò7óó€Ð ú–  Ðà  àThe€fact€that€an€individual's€nameòò8óó€is€signed€to€a€return€means€that,€unless€and€untilÐ \ø" Ðoutweighed€by€evidence€in€the€case€which€leads€you€to€a€different€or€contrary€conclusion,€youÐ ¾Z$ Ðmay€find€that€a€filed€tax€return€was€in€fact€signed€by€the€person€whose€name€appears€to€be€signedÐ  !¼& Ðto€it.€€If€you€find€proof€beyond€a€reasonable€doubt€that€the€defendant€had€signed€[his]€[her]€taxÐ ‚"( Ðreturn,€that€is€evidence€from€which€you€may,€but€are€not€required€to,€find€or€infer€that€theÐ ä#€* Ðdefendant€had€knowledge€of€the€contents€of€the€return.òò9óó€Ð F%â, Ðà  àTo€act€"willfully"€means€to€voluntarily€and€intentionally€violate€a€known€legal€duty.òò10óó€Ð ¨&D . Ðà  à[False€matter€in€a€(describe€document,€e.g.,€income€tax€return)€is€ð ðmaterialðð€if€the€matterÐ  (¦!0 Ðwas€capable€of€influencing€the€Internal€Revenue€Service.]Ð l)#2 Ðâ âà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ó€ÓÓ €ÓÐ Î*j$4 ÐÔ& œ Ôâ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€Insert€description€of€return€filed.€€This€statute€also€applies€to€statements€and€otherÐ Æb Ðdocuments.€€If€one€of€these€is€charged,€the€instruction€should€be€changed€accordingly.€€Ð ²N ÐÔ'œd‹¾Ôà  à2.€€Insert€material€matter€charged€as€false.€€More€than€one€material€matter€may€beÐ  ° Ðcharged.€€If€that€has€been€done,€the€jury€may€be€instructed€that€it€need€only€find€one€matter€false.€Ð  œ ÐòòSeeóó€òòSilverstein€v.€United€Statesóó,€377€F.2d€269,€270€n.3€(1st€Cir.€1967).€€Such€a€finding€must€beÐ ì ˆ Ðunanimous€as€to€that€matter.€€òòUnited€States€v.€Duncanóó,€850€F.2d€1104,€1110-13€(6th€Cir.€1988).Ð Ø t Кà  à3.€€Insert€material€matter€charged€as€false.€€More€than€one€material€matter€may€beÐ :Ö  Ðcharged.€€If€that€has€been€done,€the€jury€may€be€instructed€that€it€need€only€find€one€matter€false.€Ð &  ÐòòSeeóó€òòSilverstein€v.€United€Statesóó,€377€F.2d€269,€270€n.3€(1st€Cir.€1967).€€Such€a€finding€must€beÐ ®  Ðunanimous€as€to€that€matter.€€òòUnited€States€v.€Duncanóó,€850€F.2d€1104,€1110-13€(6th€Cir.€1988).šÐ þš  Ðà  à4.€€The€Committee€has€added€materiality€as€an€element€for€the€jury€in€light€of€òòUnitedÐ `ü  ÐStates€v.€Gaudinóó,€515€U.S.€506€(1995).Ð Lè  Кà  à5.€€Insert€material€matter€charged€as€false.€€More€than€one€material€matter€may€beÐ ®J Ðcharged.€€If€that€has€been€done,€the€jury€may€be€instructed€that€it€need€only€find€one€matter€false.€Ð š6 ÐòòSeeóó€òòSilverstein€v.€United€Statesóó,€377€F.2d€269,€270€n.3€(1st€Cir.€1967).€€Such€a€finding€must€beÐ †" Ðunanimous€as€to€that€matter.€€òòUnited€States€v.€Duncanóó,€850€F.2d€1104,€1110-13€(6th€Cir.€1988).šÐ r Ðà  à6.€€Insert€definition€or€explanation€of€material€matter€charged€as€false.€€(If€the€amount€ofÐ Ôp Ðincome€is€false,€the€amount€of€understatement€is€irrelevant.€€òòUnited€States€v.€Hedmanóó,€630€F.2dÐ À\ Ð1184,€1196€(7th€Cir.€1980).)Ð ¬H Ðà  à7.€€òòUnited€States€v.€Ballardóó,€535€F.2d€400,€404€(8th€Cir.€1976);€òòUnited€States€v.€Milleróó,Ð ª Ð545€F.2d€1204,€1211€n.8€(9th€Cir.€1976).Ð ú– Ðà  à8.€€Section€6064,€United€States€Code,€Title€26€refers€to€individuals.€€Corporate€andÐ \ø Ðpartnership€returns€are€covered€by€sections€6062€and€6063€of€Title€26.€€The€appropriate€languageÐ Hä Ðshould€be€used.€€òòSee€alsoóó€Instruction€4.13,€òòsupraóó.€Ð 4 Ð  Ðà  à9.€€òòSeeóó€š2B€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r­É#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r÷É#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r>Ê#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÊ#Ô:€Ð –!2" ÐCriminal€ðð67.22€(5th€ed.€2000);€òòUnited€States€v.€Wainwrightóó,€413€F.2d€796,€802€n.3€(10th€Cir.Ð ‚"# Ð1969);€òòUnited€States€v.€Brinkóó,€648€F.2d€1140€(8th€Cir.€1981);€òòUnited€States€v.€Cashioóó,€420€F.2dÐ n# $ Ð1132,€1135€(5th€Cir.€1969).€€òòSee€alsoóó€Committee€Comments,€Instruction€4.13,€òòsupraóó,€regardingÐ Z$ö% Ðspecific€inferences.€Ð F%â& Ðà  à10.€€òòSeeóó€òòUnited€States€v.€Pomponioóó,€429€U.S.€10,€12€(1976);€òòUnited€States€v.€Jerdeóó,€841Ð ¨&D ( ÐF.2d€818,€821€(8th€Cir.€1988)€and€Instruction€7.02,€òòinfraóó.Ð ”'0!) ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ö(’"+ Ðà  àòòSeeóó€òòUnited€States€v.€Bishopóó,€412€U.S.€346,€350,€359€(1973);€òòUnited€States€v.€Engleóó,€458Ð X*ô#- ÐF.2d€1017,€1020€(8th€Cir.€1972);€and€òòUnited€States€v.€Oggoianóó,€678€Ô':ö(sÍÔF.2d€671,€673€(7th€Cir.Ð D+à$. Ð1982).€Ð 0,Ì%/ Ðà  àTo€prove€a€violation€of€this€statute,€the€government€must€establish€the€followingÐ d Ðelements:€€(l)€that€the€defendant€made€and€subscribed€a€return€that€was€false€as€to€a€materialÐ Pì Ðmatter;€(2)€the€return€contained€a€written€declaration€that€it€was€made€under€the€penalties€ofÐ <Ø Ðperjury;€(3)€that€the€defendant€did€not€believe€the€return€to€be€true€and€correct€as€to€everyÐ ( Ä Ðmaterial€matter;€and€(4)€that€the€defendant€acted€willfully.€€òòUnited€States€v.€Bishopóó,€412€U.S.€346Ð  ° Ð(1972);€òòsee€alsoóó€òòUnited€States€v.€Engleóó,€458€F.2d€1017,€1020€(8th€Cir.€1972).€Ð  œ Ðà  àBoth€"making,"€i.e.,€filing,€and€"signing"€must€be€charged.€€The€gist€of€the€offense€is€the€Ð b þ Ðfalse€statements€in€the€return.€€The€signing€and€filing€of€the€return€provides€the€jurisdictionalÐ N ê Ðelement.€€òòUnited€States€v.€Duncanóó,€850€F.2d€1104,€1111-12€(6th€Cir.€1988).€€òòSee€also€UnitedÐ :Ö  ÐStates€v.€Shortt€Accountancy€Corp.óó,€785€F.2d€1448,€1453„54€(9th€Cir.€1986).Ð &  Ðà  àIn€this€circuit€materiality€has€been€a€question€of€law€for€the€court,€rather€than€a€questionÐ ˆ$  Ðof€fact€for€the€jury.€€òòUnited€States€v.€Holecekóó,€739€F.2d€331,€337€(8th€Cir.€1984).€€Presumably,Ð t  Ðmateriality€is€now€a€question€of€fact€for€the€jury€to€decide€under€òòUnited€States€v.€Gaudinóó,€515Ð `ü  ÐU.S.€506€(1995).€€The€test€of€materiality€in€a€false€return€case€is€"whether€a€particular€item€mustÐ Lè  Ðbe€reported€in€order€that€the€taxpayer€estimate€and€compute€his€tax€correctly."€€òòUnited€States€v.Ð 8Ô  ÐWardenóó,€545€F.2d€32,€37€(7th€Cir.€1976)€(quoting€òòUnited€States€v.€Nullóó,€415€F.2d€1178,€1181€(4thÐ $À ÐCir.€1969)).€Ð ¬ Ðà  àMatters€held€to€be€material€include€false€statements€relating€to€gross€income,€òòUnitedÐ r ÐStates€v.€Engleóó,€458€F.2d€at€1019-20;€òòUnited€States€v.€Hedmanóó,€630€F.2d€1184,€1196€(7th€Cir.Ð ^ú Ð1980);€personal€deductions,€òòUnited€States€v.€Wardenóó,€545€F.2d€32,€37€(7th€Cir.€1976);€andÐ Jæ Ðbusiness€loss€deductions,€òòUnited€States€v.€Blissóó,€735€F.2d€294,€301€(8th€Cir.€1984).€Ð 6Ò Ðà  àUnder€the€statute€the€taxpayer€is€the€one€who€"makes"€a€return€even€if€he€has€hired€anÐ ˜4 Ðaccountant€to€prepare€the€return.€€òòUnited€States€v.€Badwanóó,€624€F.2d€1228,€1232€(4th€Cir.€1980).€Ð „  ÐIf€this€is€an€issue,€the€jury€may€be€so€instructed.€Ð p  Ðà  àThere€is€a€rebuttable€statutory€presumption€that€if€an€individual's€name€is€signed€on€aÐ Òn Ðreturn,€then€the€return€was€actually€signed€by€that€person.€€26€U.S.C.€ðð€6064.€€This€presumptionÐ ¾Z Ðapplies€in€criminal€cases.€€òòUnited€States€v.€Cashioóó,€420€F.2d€1132,€1135€(5th€Cir.€1969).€€òòSee€alsoóóÐ ª F ÐCommittee€Comments,€Instruction€4.13,€òòsupraóó,€regarding€statutory€presumptions.€€Sections€6062Ð –!2  Ðand€6063€of€Title€26€cover€signatures€to€corporate€and€partnership€returns.€Ð ‚"! Ðà  àThe€defendant's€conduct€must€have€been€willful.€€The€term€"willfully"€as€used€in€theÐ ä#€# Ðcriminal€sections€of€the€Internal€Revenue€Code€is€a€"voluntary,€intentional€violation€of€a€knownÐ Ð$l$ Ðlegal€duty."€€òòUnited€States€v.€Pomponioóó,€429€U.S.€10,€12€(1976).€€The€Court€went€on€to€state€thatÐ ¼%X% Ða€willful€act€is€defined€as€one€done€"voluntarily€and€intentionally€with€specific€intent€to€doÐ ¨&D & Ðsomething€which€the€law€forbids."€Ð ”'0!' Ðà  àWillfulness€is€a€question€of€fact€that€is€to€be€determined€by€a€consideration€of€all€the€factsÐ ö(’") Ðand€circumstances€shown€by€the€evidence.€€òòId.óó;€òòUnited€States€v.€Milleróó,€634€F.2d€1134,€1135€(8thÐ â)~#* ÐCir.€1980).€€An€intent€to€evade€income€taxes€is€not€an€element€of€section€7206(l).€€òòUnited€StatesÐ Î*j$+ Ðv.€Engleóó,€458€F.2d€at€1019.€Ð º+V%, Ðà  àVarious€circumstances€may€indicate€willfulness.€€For€example,€a€defendant's€pattern€ofÐ d Ðunder€reporting€large€amounts€of€income€may€give€rise€to€an€inference€of€willfulness.€€òòUnitedÐ Pì ÐStates€v.€Vannellióó,€595€F.2d€402€(8th€Cir.€1979);€òòUnited€States€v.€DiBenedettoóó,€542€F.2d€490,€493Ð <Ø Ð(8th€Cir.€1976).€€Willfulness€may€also€be€inferred€from€the€repeated€omission€of€certain€items€ofÐ ( Ä Ðincome.€€òòUnited€States€v.€Tageróó,€479€F.2d€120,€122€(10th€Cir.€1973).€€Failure€to€supply€anÐ  ° Ðaccountant€or€return€preparer€with€accurate€and€complete€information€has€also€been€held€to€beÐ  œ Ðindicative€of€willfulness.€€òòUnited€States€v.€Samaraóó,€643€F.2d€701,€703€(10th€Cir.€1981);€òòUnitedÐ ì ˆ ÐStates€v.€Garavagliaóó,€566€F.2d€1056€(6th€Cir.€1977).€€Extensive€use€of€currency€and€cashier'sÐ Ø t Ðchecks€may€also€be€indicative€of€willfulness.€€òòSmith€v.€United€Statesóó,€348€U.S.€147,€159€(1954);Ð Ä ` ÐòòUnited€States€v.€Holovachkaóó,€314€F.2d€345,€358€(7th€Cir.€1963);€òòSchuermann€v.€United€Statesóó,Ð °L  Ð174€F.2d€397,€398€(8th€Cir.€1949).€Ð œ8  Ðà  àGood€faith€is€a€theory€of€defense€in€false€return€cases.€€Where€the€defendant€has€presentedÐ þš  Ðevidence€of€good€faith,€he€is€entitled€to€a€jury€instruction.€€òòSeeóó€Instruction€9.08,€òòinfraóó;€òòUnitedÐ ê†  ÐStates€v.€Koubaóó,€822€F.2d€768,€771€(8th€Cir.€1987).€€Advice€of€counsel€is€a€form€of€a€good€faithÐ Ör  Ðtheory€of€defense.€€òòSeeóó€Instruction€9.08,€òòinfraóó.Ð  Â^  ÐÓ €ÓÖ€mkìíÖà@ ìàò òÔ% € ÔÔ  Ô6.42.1320.€€SOLICITING€OR€RECEIVING€KICKBACKS€IN€CONNECTION€à@@eeìàWITH€ˆÐ d Ðà@ššìàMEDICARE€OR€FEDERAL€HEALTH€CARE€PROGRAM€PAYMENTS€ˆÐ Pì Ðà@¹¹ìà(42€U.S.C.€ðð€1320a„7b(b)(1)(A))Ô 15“æÔó óˆÐ <Ø ÐÌà  àÓ€ÓThe€crime€of€[soliciting]€[receiving]€kickbacks€in€connection€with€[Medicare]€[(FederalÐ  ° Ðhealth€care€program)]òò1óó€payments,€as€charged€in€[Count€___€of]€the€indictment,€has€[three]€[four]Ð v  Ðelements,€which€are:€Ð Ø t Ðà  àòòOneóó,€the€defendant€knowingly€and€willfully€[solicited€]€[received]€(specify€theÐ :Ö  Ðremuneration€alleged);òò2óó€Ð œ8  Ðà  àòòTwoóó,€the€(specify€the€remuneration€alleged)€was€[solicited]€[paid]€primarily€in€order€toÐ þš  Ð[induce]€[and]€[or]€[in€exchange€for]€the€referral€of€a€patient€insured€by€[Medicare]€[(FederalÐ `ü  Ðhealth€care€program)];òò2óó€and€€Ð Â^  Ðà  àòòThreeóó,€the€patientððs€services€were€covered,€in€whole€or€in€part,€by€[Medicare]€[(FederalÐ $À Ðhealth€care€program)];€[and]Ð †" Ðà  à[òòFouróó,€[Medicare]€[(Federal€health€care€program)]€is€a€Federal€health€care€program.]òò3óó€€€Ð è„ Ðà  à[A€defendant€acts€willfully€if€he€knew€his€conduct€was€wrongful€or€unlawful.]òò4óóÐ Jæ Ðà  à(Insert€paragraph€describing€Government's€burden€of€proof;€òòseeóó€Instruction€3.09,€òòsupraóó.)€Ð ¬H ÐÓ€ÓÓ €Óà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ª Ðà  à1.€€The€statute€applies€to€any€Federal€health€care€program,€which€should€be€referenced€byÐ p   Ðname.Ð \ø! Ðà  à2.€€Elements€One€and€Two€may€be€modified€depending€on€whether€the€charge€is€under€42Ð ¾Z# ÐU.S.C.€ðð€1320a„7b(1)(a)€or€(B)€or€7b(2)(A)€or€(B).€€Section€1320a„7b(1)(A),€which€prohibitsÐ ª F$ Ðpatient€referrals€for€items€or€services€for€which€payment€may€be€made,€in€whole€or€in€part,€underÐ –!2% Ða€Federal€health€care€program,€is€the€statute€addressed€by€the€instruction€as€written.€€SectionÐ ‚"& Ð1320a„7b(1)(B)€prohibits€soliciting€or€receiving€remuneration€(including€any€kickback,€bribe,€orÐ n# ' Ðrebate)€directly€or€indirectly,€overtly€or€covertly,€in€cash€or€in€kind,€in€return€for€purchasing,Ð Z$ö( Ðleasing,€ordering,€or€arranging€for€or€recommending€purchasing,€leasing,€or€ordering€any€good,Ð F%â) Ðfacility,€service,€or€item€for€which€payment€may€be€made,€in€whole€or€in€part,€under€a€FederalÐ 2&Î* Ðhealth€care€program.€€Section€1320a„7b(2)(A)€or€(B)€prohibits€offering€or€paying€ð ðanyÐ 'º + Ðremuneration€(including€kickback,€bribe,€or€rebate),€directly€or€indirectly,€overtly€or€covertly,€inÐ  (¦!, Ðcash€or€in€kind,€to€any€person€to€induceðð€referrals€or€€purchases,€leases,€or€orders€for€any€good,Ð ö(’"- Ðfacility,€service,€or€item,€for€which€payment€is€made,€in€whole€or€in€part,€under€a€Federal€healthÐ â)~#. Ðâ âcare€program.Ð Î*j$/ Ðà  à3.€€The€statute€requires€that€the€referral€be€for€services€or€items€for€which€payment€may€beÐ d Ðâ âmade€ð ðin€whole€or€in€part€under€a€Federal€health€care€program.ðð€€Either€the€court€or€the€jury€mayÐ Pì Ðmake€the€finding€that€the€program€is€a€Federal€health€care€program.Ð <Ø Ðà  à4.€€òòSee€United€States€v.€Jainóó,€93€F.3d€436,€439„41€(8òòthóó€Cir.€1996).€€A€òòmens€reaóó€instructionÐ ž : Ðmore€rigorous€than€the€traditional€rule€was€held€appropriate€based€on€the€fact€that€ð ðthe€literalÐ Š & Ðlanguage€of€the€statute€might€otherwise€encompass€some€types€of€innocent€conduct.ðð€€òòId.óó.€at€440.€Ð v  Ðð ð[T]he€elements€ððknowingly€and€willfullyðð€were€added€to€the€statute€in€1980€to€reflectÐ b þ Ðcongressional€concern€ððthat€criminal€penalties€may€be€imposed€under€current€law€to€an€individualÐ N ê Ðwhose€conduct,€while€improper,€was€inadvertent.ðððð€€òòId.óó€at€440.€€Because€ð ð[o]nly€conduct€that€isÐ :Ö  Ðinevitably€nefarious,€that€is,€ððobviously€ð ðevilðð€or€inherently€ð ðbad,ðððð€warrants€the€traditionalÐ &  Ðpresumption€that€anyone€consciously€engaging€in€it€has€fair€warning€of€a€criminal€violation,Ð ®  Ð(citing€òòRatzlaf€v.€United€Statesóó,€510€U.S.€135,€146„48€(1994)),€the€8òòthóó€Circuit€ð ðagree[d]€with€theÐ þš  Ðdistrict€courtððs€decision€to€instruct€the€jury€that€the€government€must€meet€a€heightened€òòmens€reaóóÐ ê†  Ðburden.ðð€€òòId.óó€at€440.€Ð Ör  Ðà  àThe€specific€instruction€adopted€in€òòRatzlafóó€and€the€criminal€tax€cases€was€held€Ð 8Ô  Ðinappropriate€in€Medicare€anti„kickback€cases€based€on€the€plain€language€of€the€statute€andÐ $À Ðrespect€for€the€traditional€principle€that€ignorance€of€the€law€is€no€defense.€€The€court€stated,€ð ð[A]Ð ¬ Ðheightened€òòmens€reaóó€standard€should€only€require€proof€that€[the€defendant]€knew€that€hisÐ ü˜ Ðconduct€was€wrongful,€rather€than€proof€that€he€knew€it€violated€ðða€known€legal€duty.€€Therefore,Ð è„ Ðthe€district€courtððs€definition€of€ððwillfullyðð€correctly€construed€the€1980€amendment€to€ððÐ Ôp Ð1320a-7b.ðð€€òòId.óó€at€441.€Ð  À\ ÐÓ €ÓÔm<ìð9ÔÔ\<ìÔšÖ€p:ì]ÖÑ  ÑÖ€qmìîÖà@))ìàÔ% € ÔÔ  Ôò ò7.00.€€FINAL€INSTRUCTIONS:€€CONSIDERATION€OF€MENTAL€STATEˆÐ °x ÐÌà@ ìàIntroductory€Commentó óÔ n,³ýԈРˆP  ÐÌà  àThe€instructions€in€this€section€relate€to€the€juryððs€consideration€of€the€defendantððs€mentalÐ `(  Ðstate.€€The€Committee€recommends€that€the€elements€instructions€address€the€exact€mental€stateÐ L   Ðrequired€by€the€statute.€€If€this€is€done€there€is€usually€no€need€to€further€instruct€the€jury€on€theÐ 8  Ðmeaning€of€general€terms€such€as€ð ðspecific€intent,ðð€ð ðknowinglyðð€and€ð ðwillfullyðð€except€as€notedÐ $ ì  Ðin€the€Committee€Comments€in€this€section.šÐ   Ø  ÐÖ€sqìðÖà@ˆˆìàò òÔ% € ÔÔ  Ô7.01.€€SPECIFIC€INTENTÔ n,ÙÔó óˆÐ d ÐÌà@ìà(No€instruction€recommended.)ˆÐ <Ø ÐÌÓ €Óà@55!ìàÔ& : Ôò òCommittee€Commentsó óˆÐ  ° Ðà  àThe€Committee€is€unaware€of€any€federal€statute€which€actually€uses€the€phrase€ð ðspecificÐ v  Ðintentðð€and€accordingly€recommends€that€it€not€be€used€in€any€instruction.€€Where€a€mental€stateÔ': •ÔÐ b þ Ðis€an€element€of€an€offense,€that€mental€state€must€be€contained€in€the€elements€instruction.€€òòSeeÐ N ê ÐLiparota€v.€United€Statesóó,€471€U.S.€419,€433€n.16€(1985).€€The€verbal€formulation€ð ðspecificÐ :Ö  Ðintentðð€need€not€be€contained€in€the€indictment€nor€submitted€to€the€jury,€as€long€as€the€requiredÐ &  Ðmental€state€is€adequately€conveyed€to€the€jury.€€òòUnited€States€v.€Doughertyóó,€763€F.2d€970,€973„Ð ®  Ð74€(8òòthóó€Cir.€1985);€òòUnited€States€v.€Mayóó,€625€F.2d€186,€189„90€(8òòthóó€Cir.€1980);€òòUnited€States€v.Ð þš  ÐGalyenóó,€798€F.2d€331,€333€(8òòthóó€Cir.€1986).€€òòUnited€States€v.€Baileyóó,€444€U.S.€394€(1980).€€TheÐ ê†  Ðelements€instructions€in€Section€6,€òòsupraóó,€were€drafted€with€this€purpose€in€mind.šÐ  Ör  ÐÖ€usìñÖÓ €Óà@"ìàò òÔ% € ÔÔ  Ô7.02.€€WILLFULLYÔ n,€Ôó óˆÐ d ÐÌÓ €Óà@ooìà(No€instruction€recommended€except€in€criminal€tax€cases,€odometer€fraud€cases,€health€careˆÐ <Ø Ðanti„kickback€statute€cases,€certain€securities€cases,€and€failure€to€pay€child€support€cases.)Ð ( Ä ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ Š & Ðà  àThe€Committee€recommends€that€the€word€ð ðwillfullyðð€not€be€used€in€jury€instructions€inÐ ì ˆ Ðmost€cases.€€Where€ð ðwillfullyðð€does€not€appear€in€the€statute,€it€should€not€be€used€in€theÐ Ø t ÐÔ'&Š ÕÔindictment€or€the€instructions.€€Where€the€word€ð ðwillfullyðð€does€appear€in€the€statute,€in€mostÐ Ä `  Ðcases€it€can€be€replaced€with€the€words€ð ðvoluntarily€and€intentionallyðð€in€the€instruction€and€noÐ °L  Ðfurther€definition€is€needed.€€òòSee€United€States€v.€Redfearnóó,€906€F.2d€352€(8òòthóó€Cir.€1990);€òòUnitedÐ œ8  ÐStates€v.€Bettelyounóó,€16€F.3d€850,€853€(8òòthóó€Cir.€1994).€€The€elements€instructions€in€Section€6,Ð ˆ$  Ðòòsupraóó,€follow€this€format.Ð t  Ðà  àð ðWillfullyðð€has€been€given€a€particular€meaning€in€criminal€tax€statutes.€€In€taxÐ Ör  Ðprosecutions€ð ðwillfullyðð€may€be€used€in€the€indictment€and€in€the€instructions€and€should€beÐ Â^  Ðdefined€as€follows:€€ð ðAn€act€is€done€ððwillfullyðð€if€done€voluntarily€and€intentionally€with€theÐ ®J Ðpurposed€of€violating€a€known€legal€duty.ðð€€òòUnited€States€v.€Pomponioóó,€429€U.S.€10,€12€(1976);Ð š6 ÐòòUnited€States€v.€Jerdeóó,€841€F.2d€818,€821€(8òòthóó€Cir.€1988).€€The€Supreme€Court€has€discussed€theÐ †" Ðvarious€meanings€of€the€term€ð ðwillfulnessðð€in€the€criminal€tax€statutes€in€òòUnited€States€v.€Bishopóó,Ð r Ð412€U.S.€346€(1973);€òòCheek€v.€United€Statesóó,€498€U.S.€192€(1991)€(ð ðwillfullyðð€in€a€tax€evasionÐ ^ú Ðcase€means€both€that€the€defendant€knew€of€his€duty€to€pay€the€tax€and€that€he€voluntarily€andÐ Jæ Ðintentionally€violated€that€duty).€€This€circuit€has€extended€this€definition€of€willfully€to€odometerÐ 6Ò Ðfraud€cases€under€15€U.S.C.€ðð€1990c.€€òòUnited€States€v.€Studnaóó,€713€F.2d€416,€418€(8òòthóó€Cir.€1983).€Ð "¾ ÐThere€may€be€other€statutes€in€which€ð ðwillfullyðð€has€this€definition.Ð ª Ðà  àIn€òòRatzlaf€v.€United€Statesóó,€510€U.S.€135€(1994),€the€Court€held€that€for€the€purposes€ofÐ p  Ðthe€€anti„structuring€statutes€at€31€U.S.C.€ðððð€5313(a),€5322(a)€&€5324(3)€ð!ð€which€establishÐ \ø Ðcriminal€penalties€for€anyone€who€ð ðwillfully€violatedðð€any€of€the€provisions€in€the€subchapter€ð!ðÐ Hä Ðthe€term€ð ðwillfullyðð€required€òòbothóó€knowledge€of€the€reporting€requirements€òòandóó€a€specificÐ 4 Ð Ðpurpose€to€disobey€the€law.׃ÿ×Ý ƒ™%ÃÝòòÚ  Ú1Ú  ÚóóÝ  Ý×  ×€€Ð  !¼ Ðà  àIn€òòUnited€States€v.€Jainóó,€93€F.3d€436€(8òòthóó€Cir.€1996),€the€Eighth€Circuit€interpreted€theÐ ‚"! Ðterm€ð ðwillfullyðð€in€the€health€care€anti„kickback€statute,€at€42€U.S.C.€ðð€1320a„7b,€to€require€proofÐ n# " Ðthat€the€defendant€knew€his€conduct€was€ð ðwrongful,ðð€(a€heightened€òòmens€reaóó€burden),€òòsee€Jainóó,Ð Z$ö# Ð93€F.3d€at€441.€€The€trial€court€in€òòJainóó€instructed€the€jury€that€ð ðthe€word€ððwillfullyðð€meansÐ F%â$ Ðunjustifiably€and€wrongfully,€known€to€be€such€by€Defendant€Swaran€Jain.ðð€€òòJainóó,€93€F.3d€atÐ 2&Î% Ð440.šÐ 'º & Ðà  àIn€òòUnited€States€v.€Ô_ÔOððHaganÔ_Ôóó,€521€U.S.€642€(1997),€the€Court,€discussing€criminal€liabilityÐ d Ðunder€10b„5€of€the€Securities€and€Exchange€Act,€18€U.S.C.€ðð€78ff(a),€noted€that€criminal€liabilityÐ Pì Ðrequired€that€the€government€prove€that€a€person€engaging€in€ð ðinsiderðð€trading€ð ðwillfullyððÐ <Ø Ðviolated€the€substantive€provision€in€question€and€that€the€statute€specifically€prohibitedÐ ( Ä Ðimprisonment€of€a€defendant€who€ð ðproves€he€had€no€knowledge€of€such€rule€or€regulation.ðð€€òòId.óóÐ  ° Ðat€664.€€This€discussion,€though€brief,€suggests€that€the€Court€may€require€proof€that€theÐ  œ Ðdefendant€ð ðintentionally€violated€a€known€legal€duty.ðð€€Ð ì ˆ Ðà  àTitle€18€U.S.C.€ðð€228€prohibits€any€willful€failure€to€pay€legal€child€support€obligations.€Ð N ê ÐThe€legislative€history€of€this€act€states€that€the€language€of€the€statute€ð ðwillfully€fails€to€payðð€hasÐ :Ö  Ðbeen€borrowed€from€the€tax€statutes€that€make€willful€failure€to€pay€taxes€a€federal€crime,€andÐ &  Ðincludes€a€requirement€that€the€proof€necessary€to€show€a€violation€of€the€failure€to€pay€childÐ ®  Ðsupport€statute€is€the€element€of€an€intentional€violation€of€a€known€legal€duty.€€òòUnited€States€v.Ð þš  ÐWilliamsóó,€121€F.3d€615,€620„21€(11òòthóó€Cir.€1997).šÐ  ê†  ÐÖ€wuìòÖÑ8€Ìw,ÌXdìXXdì8Ñà@dd"ìàò òÔ% € ÔÔ  Ô7.03.€€KNOWINGLYÔ n,Ôó óˆÐ d Ðà@ìà(No€instruction€recommended.)ˆÐ Æb ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ ( Ä Ðà  àAlthough€a€definition€of€ð ðknowinglyðð€was€provided€in€this€section€in€the€1985€edition€ofÐ Š & Ðthis€Manual,€the€Committee€believes€that€in€most€cases€the€word€ð ðknowinglyðð€does€not€need€toÐ v  ÐÔ'&( ¬Ôbe€defined.€€òòUnited€States€v.€Smithóó,€635€F.2d€716,€719„20€(8òòthóó€Cir.€1980);€òòUnited€States€v.€Garyóó,Ð b þ Ð341€F.3d€829,€834€(8òòthóó€Cir.€2003).€€An€instruction€is€required€only€where€necessary€for€a€fairÐ N ê  Ðdetermination€of€the€defendantððs€guilt€or€innocence.€€òòUnited€States€v.€Brownóó,€33€F.3d€1014,€1017Ð :Ö  Ð(8òòthóó€Cir.€1994).Ð &  Ðà  àIf€a€definition€is€requested€and€deemed€necessary,€the€Committee€recommends€theÐ ˆ$  Ðfollowing:Ð t  Ðà0  àà ` àThe€government€is€not€required€to€prove€that€the€defendant€knew€that€[his]€[her]Ð Ör  Ðacts€or€omissions€were€unlawful.€€An€act€is€done€knowingly€if€the€defendant€is€aware€ofÐ Â^  Ðthe€act€and€does€not€act€[or€fail€to€act]€through€ignorance,€mistake,€or€accident.€€You€mayÐ ®J Ðconsider€evidence€of€the€defendantððs€words,€acts,€or€omissions,€along€with€all€the€otherÐ š6 Ðevidence,€in€deciding€whether€the€defendant€acted€knowingly.І"(#(# ÐA€similar€instruction€was€approved€in€òòUnited€States€v.€Dockteróó,€58€F.3d€1284€(8òòthóó€Cir.€1995).Ð è„ Ðà  àIn€most€statutes,€the€word€ð ðknowinglyðð€does€not€require€proof€that€the€defendant€knew€heÐ Jæ Ðwas€violating€the€law.€€In€òòBryan€v.€United€Statesóó,€524€U.S.€184€(1998),€the€Court€explained:Ð 6Ò Ðà0  àà ` à[T]he€term€ð ðknowinglyðð€does€not€necessarily€have€any€reference€to€a€culpableÐ ˜4 Ðstate€of€mind€or€to€knowledge€of€the€law.€€As€Justice€Jackson€correctly€observed,€ð ðtheÐ „  Ðknowledge€requisite€to€knowing€violation€of€a€statute€is€factual€knowledge€asÐ p  Ðdistinguished€from€knowledge€of€the€law.ðð€€Ð\ø(#(# ÐòòSee,€e.g.,€United€States€v.€Udofotóó,€711€F.2d€831,€835„37€(8òòthóó€Cir.€1983)€[18€U.S.C.€ðð€922(e)];Ð ¾Z  ÐòòUnited€States€v.€Enochsóó,€857€F.2d€491,€493€(8òòthóó€Cir.€1988)€[18€U.S.C.€ðð€511(a)].€€òòSee€also€UnitedÐ ª F! ÐStates€v.€Hutzellóó,€217€F.3d€966,€968€(8òòthóó€Cir.€2000)€(statute€providing€penalties€for€those€whoÐ –!2" Ðð ðknowinglyðð€violate€separate€statute€prohibiting€possession€of€a€firearm€by€one€who€has€beenÐ ‚"# Ðconvicted€of€misdemeanor€crime€of€domÔ_ÔesticÔ_Ô€violence€requires€government€to€prove€only€that€theÐ n# $ Ðdefendant€knew€of€facts€constituting€the€offense,€not€that€he€knew€it€was€illegal€for€him€to€possesÐ Z$ö% Ða€gun;€statute€does€not€require€knowledge€of€the€law€nor€an€intent€to€violate€it);€òòUnited€States€v.Ð F%â& ÐSinskeyóó,€119€F.3d€712,€715„16€(8òòthóó€Cir.€1997)€(to€establish€that€the€defendant€ð ðknowinglyÐ 2&Î' Ðviolatedðð€Clean€Water€Act€(CWA)€discharge€limitations€or€condition€or€limitation€contained€inÐ 'º ( Ðimplementing€permit,€as€basis€for€criminal€liability,€government€was€not€required€to€prove€thatÐ  (¦!) Ðthe€defendant€knew€that€his€acts€violated€either€CWA€or€permit,€but€merely€that€he€was€aware€ofÐ ö(’"* Ðconduct€that€resulted€in€permitððs€violation);€òòUnited€States€v.€Farrellóó,€69€F.3d€891,€893€(8òòthóó€Cir.Ð â)~#+ Ð1995)€(to€prove€knowing€violation€of€Firearms€Ownerððs€Protection€Act€(FOPA)€provision€whichÐ Î*j$, Ðprohibits€transfer€of€possession€of€machine€guns,€as€required€for€imposition€of€statutory€penalty,Ð º+V%- Ðgovernment€need€only€prove€knowing€and€intentional€conduct,€not€knowledge€of€the€law).€€NorÐ d Ðdoes€ð ðknowinglyðð€require€knowledge€of€federal€involvement.€€òòUnited€States€v.€Yermianóó,€468€U.S.Ð Pì Ð63,€75€(1984)€(18€U.S.C.€ðð€1001).Ð <Ø Ðà  àIn€òòStaples€v.€United€Statesóó,€511€U.S.€600€(1994),€the€Court,€interpreting€the€NationalÐ ž : ÐFirearms€Act,€26€U.S.C.€ðð€5861(d),€which€does€not€expressly€contain€any€òòmens€reaóó€requirementÐ Š & Ðin€the€provision€criminalizing€possession€of€a€firearm€that€was€not€properly€registered,€held€thatÐ v  Ðthe€defendant€had€to€ð ðknowðð€that€his€weapon€possessed€automatic€firing€capability€to€comeÐ b þ Ðwithin€the€Act.€€The€Court€emphasized€a€presumption€in€favor€of€a€scienter€requirement€toÐ N ê Ðstatutory€crimes€which€criminalize€otherwise€innocent€conduct,€in€the€absence€of€a€clearÐ :Ö  Ðlegislative€intent€to€the€contrary.€€òòBut€see€United€States€v.€Barróó,€32€F.3d€1320€(8òòthóó€Cir.€1994),€inÐ &  Ðwhich€the€Eighth€Circuit€held€that,€with€respect€to€possession€of€weapons€of€quasi„suspectÐ ®  Ðcharacter,€such€as€sawed„off€shotguns,€ð ða€specific€jury€finding€of€[the€defendantððs]€knowledge€ofÐ þš  Ðthe€weaponððs€incriminating€characteristics€is€unnecessary.ðð€€òòIdóó.€at€1324.€€The€Government€needÐ ê†  Ðonly€prove€that€the€defendant€possessed€the€weapon,€and€had€observed€its€characteristics.€€òòId.€Ð Ör  ÐAccord€United€States€v.€Ottoóó,€64€F.3d€367,€370€(8òòthóó€Cir.€1995).Ð Â^  Ðà  àAlso,€in€òòUnited€States€v.€X„Citement€Video,€Inc.óó,€513€U.S.€64€(1994),€the€Court€held€thatÐ $À Ðthe€term€ð ðknowinglyðð€applies€to€the€requirement€that€the€individual€who€is€transporting€sexuallyÐ ¬ Ðexplicit€material€must€know€that€it€depicts€minors€in€order€to€convict€under€18€U.S.C.€ðð€2252.€Ð ü˜ ÐThe€Court€again€expressed€its€preference€for€a€scienter€requirement€for€statutes€which€criminalizeÐ è„ Ðotherwise€innocent€or€constitutionally€protected€conduct.Ð Ôp Ðà  àIn€some€statutes,€however,€ð ðknowinglyðð€has€been€construed€to€require€knowledge€that€theÐ 6Ò Ðdefendant€was€breaking€the€law.€€In€òòUnited€States€v.€Marvinóó,€687€F.2d€1221€(8òòthóó€Cir.€1982)€andÐ "¾ ÐòòLiparota€v.€United€Statesóó,€471€U.S.€419€(1985),€the€word€ð ðknowinglyðð€in€7€U.S.C.€ðð€2024(b)€wasÐ ª Ðinterpreted€as€including€knowledge€that€the€defendant€was€violating€the€law.€€The€statute€reads€inÐ ú– Ðrelevant€part:Ð æ‚ Ðà0  à[W]hoever€knowingly€uses,€transfers,€acquires€.€.€.€possesses€[food]€coupons€.€.€.€in€anyÐ Hä Ðmanner€not€authorized€by€this€chapter.€.€.Ð4 Ð(#(# ÐBoth€courts€further€held€the€jury€should€have€been€instructed€that€the€government€had€to€proveÐ –!2  Ðthat€ð ðthe€defendant€knowingly€did€an€act€which€the€law€forbidsðð€but€not€that€he€knew€the€preciseÐ ‚"! Ðlaw€or€regulation€forbidding€food€stamp€trafficking.€€687€F.2d€at€1227;€471€U.S.€at€434.Ð n# " Ðà  àWhere€the€offense€requires€that€the€defendant€have€some€particular€knowledge,€thatÐ Ð$l$ Ðknowledge€should€be€included€in€the€elements€of€instruction.€€The€elements€of€instruction€inÐ ¼%X% ÐSection€6,€òòsupraóó,€were€drafted€with€this€purpose€in€mind.šÐ  ¨&D & ÐÖ€ywìóÖÓ €Óà@ ìàò òÔ% € ÔÔ  Ô7.04.€€DELIBERATE€IGNORANCEÔ daÓ:Ôó ó€*ˆÐ d ÐÌ*à0  àModel€Instruction€7.04€has€been€removed€in€its€entirety€in€light€of€the€decision€in€òòGlobalÐ @Ü ÐTech€Appliances€v.€SEB€S.A.óó,€___€U.S.€___,€131€S.€Ct.€2060€(2011).€€The€Committee€isÐ , È Ðworking€on€modifying€the€instruction.Ð  ´(#(# ÐÖ€{yìôÖà@í í ìàò òÔ% € ÔÔ  Ô7.05.€€PROOF€OF€INTENT€OR€KNOWLEDGEÔ <Ôó óˆÐ d ÐÌà  àÓ€Ó[Intent€or€knowledge€may€be€proved€like€anything€else.€€You€may€consider€any€statementsÐ <Ø Ðmade€and€acts€doneòò1óó€by€the€defendant,€and€all€the€facts€and€circumstances€in€evidence€which€mayÐ ž : Ðaid€in€a€determination€of€the€defendant's€knowledge€or€intent.]€Ð  œ Ðà  à[You€may,€but€are€not€required€to,€infer€that€a€person€intends€the€natural€and€probableÐ b þ Ðconsequences€of€acts€knowingly€done€or€knowingly€omitted.]€Ó€ÓÐ Ä `  ÐÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ °L  Ðà  à1.€€If€the€defendant€has€not€testified,€this€language€may€need€modification€to€make€it€clearÐ œ8  Ðthat€the€instruction€is€referring€to€acts€done€or€statements€made€in€connection€with€the€offenseÐ ˆ$  Ðand€not€Ô'°° ?Ôfailure€to€testify€in€court.€€òòSeeóó€Committee€Comments,€Instruction€4.01,€òòsupraóó.€Ð t  ÐÔ& Ä Ôà@55!ìàò òCommittee€Commentsó óˆÐ `ü  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%riA#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r³A#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rúA#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rIB#Ô:€€CriminalÐ Lè  Ððð17.07€(5th€ed.€2000);€òòUnited€States€v.€Lawsonóó,€483€F.2d€535,€536€(8th€Cir.€1973)Ô'Ä`ã@Ô.€€€Ð 8Ô  Ðà  àA€more€expanded€version€of€both€bracketed€paragraphs€of€this€instruction€has€beenÐ $À Ðrepeatedly€approved€by€this€circuit.€€òòSeeóó€òòUnited€States€v.€Lawsonóó,€483€F.2d€at€536-38€and€casesÐ ¬ Ðcited€therein€approving€instructions€based€on€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rD#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rËD#ÔÐ ü˜ ÐPÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r&E#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%ruE#Ô:€€Criminal€ðð17.07€(5th€ed.€2000).€€òòSee€alsoóó€òòUnited€States€v.Ð è„ ÐMartinóó,€772€F.2d€1442,€1445€(8th€Cir.€1985),€in€which€this€circuit€approved€the€giving€of€theÐ Ôp Ðexpanded€instruction€and€expressly€declined€to€overrule€or€reconsider€prior€opinions€approving€itÐ À\ Ðand€further€held€that€the€second€paragraph€was€distinguishable€from€the€presumption€heldÐ ¬H Ðunconstitutional€in€òòSandstrom€v.€Montanaóó,€442€U.S.€510€(1979).€€772€F.2d€at€1445-46.€€LikewiseÐ ˜4 Ðthe€Tenth€Circuit€has€expressly€recommended€the€use€of€both€paragraphs€of€š1A€Kevin€F.Ð „  ÐOððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rtH#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r¾H#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rI#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rTI#Ô,€Criminal€ðð17.07€(5th€ed.€2000),Ð p  Ðwhen€instructing€on€this€concept.€€òòUnited€States€v.€Bohlmannóó,€625€F.2d€751,€753€(6th€Cir.€1980).€€Ð  \ø КÖ€}pìïÖÑ  ÑÖ€~{ìõÖà@Á Á ìàÔ% € ÔÔ  Ôò ò8.00.€€FINAL€INSTRUCTIONS:€€DEFINITIONSˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ rb¯JԈРˆØ ÐÌà  àIn€this€section€the€Committee€has€included€definitions€of€general€terms€found€in€manyÐ `° Ðcriminal€statutes.€€More€definitions€are€provided€in€the€Instructions,€Committee€Comments,€andÐ L œ ÐNotes€on€Use€in€Sections€5,€6€and€7.€Ð  8 ˆ‘ ÐÖ€€~ì÷Öà@ÍÍ"ìàò òÔ% € ÔÔ  Ô8.01.€€ATTEMPTÔ rb®LÔ€òò1óóó óˆÐ d ÐÌà  àÓ€ÓThe€crime€charged€in€[Count€_____€of]€the€indictment€is€an€attempt€to€(describeÐ <Ø Ðattempted€act,€e.g.,€sell€counterfeit€currency.)€€A€person€may€be€found€guilty€of€an€attempt€if€[he]Ð ž : Ð[she]€intended€to€(describe€attempted€act,€i.e.,€sell€counterfeit€currency)€and€voluntarily€andÐ  œ Ðintentionally€carried€out€some€act€which€was€a€substantial€stepòò2óó€toward€that€(describe€attemptedÐ b þ Ðact,€i.e.,€sale).€Ó€ÓÐ Ä `  ÐÓ €ÓÔ& ° Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ °L  Ðà  à1.€€This€definition€should€follow€the€elements€instruction€for€the€substantive€crime.€Ð ®  ÐÔ'°°5OÔà  à2.€€An€instruction€defining€"substantial€step"€may€be€given.€€This€circuit€has€held€theÐ t  Ðfollowing€definition€to€"adequately€and€correctly€articulate€the€law":€Ð `ü  Ðà0  àA€substantial€step,€as€used€in€the€previous€instruction,€must€be€something€more€than€mereÐ Â^  Ðpreparation,€yet€may€be€less€than€the€last€act€necessary€before€the€actual€commission€ofÐ ®J Ðthe€substantive€crime.€€In€order€for€behavior€to€be€punishable€as€an€attempt,€it€need€not€beÐ š6 Ðincompatible€with€innocence,€yet€it€must€be€necessary€to€the€consummation€of€the€crimeÐ †" Ðand€be€of€such€a€nature€that€a€reasonable€observer,€viewing€it€in€context€could€concludeÐ r Ðbeyond€a€reasonable€doubt€that€it€was€undertaken€in€accordance€with€a€design€to€violateÐ ^ú Ðthe€statute.€€Crimes€such€as€attempt€to€manufacture€methamphetamine€require€a€defendantÐ Jæ Ðto€engage€in€numerous€preliminary€steps€which€brand€the€enterprise€as€criminal.Ð6Ò(#(# ÐòòUnited€States€v.€Wagneróó,€884€F.2d€1090€(8th€Cir.€1989).€Ð ˜4 ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ú– Ðà  àòòSeeóó€š2€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r'U#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rqU#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r¸U#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rV#Ô:€€CriminalÐ \ø Ððð21.03€(5th€ed.€2000)Ô':ú¢TÔ.€Ð Hä  Ðà  àThere€is€no€general€statute€which€makes€"attempt"€a€federal€crime,€and€thus€it€may€beÐ ª F" Ðprosecuted€only€where€a€specific€statute€makes€attempting€to€do€an€act€a€crime.€€òòUnited€States€v.Ð –!2# ÐManleyóó,€632€F.2d€978€(2d€Cir.€1981);€òòUnited€States€v.€Yorkóó,€578€F.2d€1036€(5th€Cir.€1978).€€InÐ ‚"$ Ðthis€Manual,€Instructions€6.18.472,€6.18.751,€6.18.1113,€6.18.1341,€6.18.1344,€6.18.1512,Ð n# % Ð6.18.1708,€6.18.1951,€6.18.2113,€6.18.2112,€and€6.21.841A€and€C€are€all€based€on€statutes€whichÐ Z$ö& Ðinclude€certain€attempted€acts€as€offenses.€Ð F%â' Ðà  àThis€circuit€has€adopted€the€definition€of€"attempt"€set€forth€in€section€5.01€of€the€A.L.I.Ð ¨&D ) ÐModel€Penal€Code€(Proposed€Official€Draft€1962)€as€requiring€(l)€an€intent€to€engage€in€criminalÐ ”'0!* Ðconduct,€and€(2)€conduct€constituting€a€"substantial"€step€toward€commission€of€the€intendedÐ €("+ Ðoffense€which€strongly€corroborates€the€actor's€criminal€intent.€€òòSeeóó€òòUnited€States€v.€Joyceóó,€693Ð l)#, ÐF.2d€838,€841€(8th€Cir.€1982).€€At€the€same€time,€this€circuit€rejected€a€verbal€formulationÐ X*ô#- Ðâ âdividing€acts€of€preparation€from€acts€of€attempt€as€not€useful€and€for€this€reason€language€to€theÐ D+à$. Ðeffect€that€"mere€acts€of€preparation€will€not€suffice,"€is€not€included.€€òòSeeóó€òòUnited€States€v.€Joyceóó.€Ð d ÐAn€attempt€need€not€be€successful€to€be€culpable.€€òòUnited€States€v.€Joyceóó.Ð Pì Ðâ âà  à"Factual€impossibility,"€which€refers€to€those€situations€in€which€a€circumstance€orÐ ²N Ðcondition,€unknown€to€the€defendant,€makes€the€consummation€of€his€intended€criminal€conductÐ ž : Ðimpossible,€is€not€a€defense€to€an€attempt.€€òòUnited€States€v.€Frazieróó,€560€F.2d€884,€888€(8th€Cir.Ð Š & Ð1977),€noting€that€the€"oft-recited€example"€is€the€would-be€thief€who€attempts€to€pick€a€pocket.€Ð v  ÐThe€attempt€is€still€a€crime€even€if€the€pocket€turns€out€to€be€empty.€Ð b þ Ðà  àOn€the€other€hand€"legal€impossibility"€is€a€defense€to€attempt€but€arises€only€in€veryÐ Ä `  Ðlimited€circumstances.€€òòFrazieróó,€defining€"legal€impossibility"€as€follows:€Ð °L  Ðà0  àà ` à"Legal€impossibility"€refers€to€those€situations€in€which€the€intended€acts,€even€ifÐ ®  Ðsuccessfully€carried€out,€would€not€amount€to€a€crime.€€Thus,€attempt€is€not€unlawfulÐ þš  Ðwhere€success€is€not€a€crime,€and€this€is€true€even€though€the€defendant€believes€hisÐ ê†  Ðscheme€to€be€criminal.ÐÖr (#(# Ð560€F.2d€at€888.€€Many€cases€cannot€be€reconciled€with€the€above€principles.€€òòSeeóó€òòUnited€StatesÐ 8Ô  Ðv.€Berriganóó,€482€F.2d€171,€188-89€(3d€Cir.€1973)€and€other€examples€enumerated€in€the€òòBerriganóóÐ $À Ðopinion€at€pp.€185-86.€Ð  ¬ ÐÖ€‚€ìøÖÓ €Óà@••ìàò òÔ% € ÔÔ  Ô8.02.€€POSSESSION:€€ACTUAL,€CONSTRUCTIVE,€SOLE,€JOINTÔ rb#cÔó óˆÐ d ÐÌà  àÓ€ÓThe€law€recognizes€several€kinds€of€possession.€€A€person€may€have€actual€possession€orÐ <Ø Ðconstructive€possession.€€A€person€may€have€sole€or€joint€possession.€€Ð ž : Ðà  àA€person€who€knowingly€has€direct€physical€control€over€a€thing,€at€a€given€time,€is€thenÐ  œ Ðin€actual€possession€of€it.€Ð b þ Ðà  àA€person€who,€although€not€in€actual€possession,€has€both€the€power€and€the€intention€atÐ Ä `  Ða€given€time€to€exercise€dominion€or€control€over€a€thing,€either€directly€or€through€anotherÐ &  Ðperson€or€persons,€is€then€in€constructive€possession€of€it.€Ð ˆ$  Ðà  àIf€one€person€alone€has€actual€or€constructive€possession€of€a€thing,€possession€is€sole.€€IfÐ ê†  Ðtwo€or€more€persons€share€actual€or€constructive€possession€of€a€thing,€possession€is€joint.€Ð Lè  Ðà  àWhenever€the€word€"possession"€has€been€used€in€these€instructions€it€includes€actual€asÐ ®J Ðwell€as€constructive€possession€and€also€sole€as€well€as€joint€possession.€Ó€ÓÓ €ÓÐ ¬ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ r Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rÕh#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%ri#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rfi#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rµi#Ô,€CriminalÐ Ôp Ððð16.05€(5th€ed.€2000)Ô':rOhÔ;€òòUnited€States€v.€Smithóó,€104€F.3d€145,€148€n.2€(8th€Cir.€1997);€òòUnitedÐ À\ ÐStates€v.€Alióó,€63€F.3d€710€(8th€Cir.€1995);€òòUnited€States€v.€Johnsonóó,€857€F.2d€500,€501-02€n.2Ð ¬H Ð(8th€Cir.€1988);€òòUnited€States€v.€Montgomeryóó,€819€F.2d€847,€851€(8th€Cir.€1987);€òòSewell€v.Ð ˜4 ÐUnited€Statesóó,€406€F.2d€1289,€1293€n.3€(8th€Cir.€1969).€€òòSee€alsoóó€òòUnited€States€v.€Henneberryóó,Ð „  Ð719€F.2d€941,€945€(8th€Cir.€1983)€(definition€of€constructive€possession).Ð  p  КÖ€„}ìöÖÑ  ÑÖ€…‚ìùÖÓ €Óà@²² ìàÔ% € ÔÔ  Ôò ò9.00.€€FINAL€INSTRUCTIONS:€€DEFENSES€AND€THEORIES€OF€DEFENSEˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ òlԈРˆØ ÐÌÓ €Óà  àThe€instructions€in€this€section€cover€matters€raised€by€the€defense.€€InstructionsÐ `° Ð9.01-9.04€cover€matters€which€are€commonly€referred€to€as€"affirmative€defenses."€€It€should€beÐ L œ Ðnoted€that€the€defendant€must€carry€the€burden€of€proof€only€as€to€the€defenses€of€coercionÐ 8 ˆ Ð(Instruction€9.02),€insanity€(Instruction€9.03)€and€withdrawal€from€conspiracy€(InstructionÐ $ t Ð5.06H).€€As€to€the€defenses€dealt€with€in€Instructions€9.01€and€9.04,€a€defendant€has€only€theÐ  ` Ðburden€of€introducing€sufficient€evidence€to€raise€the€issue;€once€that€has€occurred,€theÐ ü L  ÐGovernment€has€the€burden€of€disproving€the€defense€beyond€a€reasonable€doubt.€Ð è 8  Ðà  àWhen€any€affirmative€defense€covered€by€Instruction€9.01€(entrapment)€or€9.04€(selfÐ Jš  Ðdefense,€etc.)€is€in€issue,€a€requirement€that€the€Government€disprove€the€defense,€phrased€in€theÐ 6†  Ðnegative,€should€be€added€to€the€verdict€directing€(elements)€instruction,€as€provided€for€in€theÐ "r  Ðfinal€paragraph€of€Instruction€3.09,€òòsupraóó,€followed€separately€by€the€appropriate€definitionÐ ^  Ðinstruction€from€this€Section€9.€€When€the€affirmative€defense€of€coercion€or€duress€(9.02),€orÐ úJ Ðinsanity€(9.03)€is€in€issue,€the€final€paragraph€of€the€elements€instruction€should€be€modified€asÐ æ6 Ðprovided€for€in€Note€3,€Instruction€3.09,€òòsupraóó,€and€followed€separately€by€Instruction€9.02€orÐ Ò" Ð9.03.€€òòSeeóó€òòUnited€States€v.€Nortonóó,€846€F.2d€521,€524-25€(8th€Cir.€1988),€holding€that€theÐ ¾ Ðaffirmative€defense€should€be€included€in€the€verdict€directing€(elements)€instruction.€€Ð ªú Ðà  àIn€some€situations€a€defendant€may€be€entitled€to€a€"theory€of€defense"€instruction,€whichÐ  \ Ðis€a€different€concept€from€an€"affirmative€defense."€€An€"affirmative€defense"€introduces€anÐ øH Ðadditional€element€into€the€case€which€must€be€proved€by€the€defendant,€in€the€case€of€insanity,Ð ä4 Ðcoercion€or€withdrawal€from€conspiracy,€or€disproved€by€the€Government,€in€the€case€ofÐ Ð  Ðentrapment€or€self-defense.€€A€"theory€of€defense,"€on€the€other€hand,€is€a€denial€of€one€of€theÐ ¼  Ðoriginal€elements€of€the€offense.€€Since€a€theory€of€defense€instruction€would€necessarily€beÐ ¨ø Ðdrafted€in€terms€of€the€particular€facts€and€issues€of€each€case,€no€attempt€has€been€made€to€draftÐ ”ä Ða€general€model€instruction.€€Cases€covering€theory€of€defense€instructions€are€discussed€inÐ €Ð ÐCommittee€Comments,€Instruction€9.05,€to€give€guidance€in€drafting€such€an€instruction.€Ð l¼ ÐSpecific€theory€of€defense€instructions€which€may€be€requested€in€certain€circumstances€areÐ X ¨ Ðcovered€in€Instructions€9.06,€Intoxication;€9.07,€Alibi;€and€9.08,€Good€Faith.ššÐ  D!” ‘ ÐÖ€‡…ìûÖÓ €Óà@!ìàò òÔ% € ÔÔ  Ô9.01.€€ENTRAPMENTÔ zÔó óòò1óóˆÐ d ÐÌà  àÓ€ÓOne€of€the€issues€in€this€case€is€whether€the€defendant€was€entrapped.€€If€the€defendantÐ <Ø Ðwas€entrapped,€[he]€[she]€must€be€found€not€guilty.€€The€Government€has€the€burden€of€provingÐ ž : Ðbeyond€a€reasonable€doubt€that€the€defendant€was€not€entrapped.Ð  œ Ðà  àIf€the€defendant€before€contact€with€(describe€law€enforcement€officer€or€agents€by€nameÐ b þ Ðand€capacity)òò2óó€did€not€have€any€intent€or€disposition€to€commit€the€crime€charged€and€wasÐ Ä `  Ðinduced€or€persuaded€by€(officer€or€agent)òò2óó€to€commit€that€crime,€then€[he]€[she]€was€entrapped.€Ð &  ÐOn€the€other€hand,€if€the€defendant€before€contact€with€(officer€or€agent)òò2óó€did€have€an€intent€orÐ ˆ$  Ðdisposition€to€commit€the€crime€charged,€or€if€(officer€or€agent)€did€not€induce€or€persuade€theÐ ê†  Ðdefendant€to€commit€the€crime€charged,€then€the€defendant€was€not€entrapped,€even€thoughÐ Lè  Ð(officer€or€agent)€provided€a€favorable€opportunity€to€commit€the€crime€or€made€committing€theÐ ®J Ðcrime€easier€or€even€participated€in€acts€essential€to€the€crime.€Ð ¬ ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ r Ðà  à1.€€When€this€instruction€is€submitted,€the€Government's€burden€of€proof€that€theÐ Ôp Ðdefendant€was€not€entrapped€must€be€included€in€the€elements€instruction.€€òòSeeóó€Instruction€3.09,Ð À\ Ðòòsupraóó.€€This€Ô'&rxÔinstruction€should€immediately€follow.€Ð ¬H Ðà  à2.€€The€Committee€recommends€that€the€law€enforcement€officer€or€agent€who€hadÐ ª Ðcontact€with€the€defendant€or€who€is€shown€by€evidence€to€be€responsible€for€inducing€theÐ ú– Ðdefendant€to€commit€a€criminal€act,€designing€the€criminal€act,€etc.,€be€identified€by€name€andÐ æ‚  Ðthat€his€capacity€as€government€agent,€informant,€etc.,€be€described.€€If€"agency,"€rather€than€theÐ Òn! Ðconduct€of€an€admitted€agent,€is€an€issue,€a€supplement€to€this€instruction€may€be€required.Ð ¾Z" ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ  !¼$ Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r̓#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r„#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r^„#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r­„#Ôšš:€€CriminalÐ ‚"& Ððð19.04€(5th€ed.€2000)Ô': !GƒÔ.€Ð n# ' Ðà  àThis€instruction€has€been€revised€to€conform€to€òòJacobson€v.€United€Statesóó,€503€U.S.€540,Ð Ð$l) Ð547€n.1€(1992),€which€clarified€the€issue€of€"timing."€€òòJacobsonóó€held€that€where€the€GovernmentÐ ¼%X* Ðconcedes€that€it€induced€the€defendant€to€commit€the€crime,€the€Government€must€prove€that€theÐ ¨&D + Ðdefendant€was€disposed€to€commit€the€criminal€act€prior€to€first€being€approached€by€governmentÐ ”'0!, Ðagents.€€òòId.óó,€n.2;€òòUnited€States€v.€Loftusóó,€992€F.2d€793€(8th€Cir.€1993).Ð €("- Ðà  àFor€general€discussions€of€the€law€of€entrapment,€òòsee€United€States€v.€Nortonóó,€846€F.2dÐ â)~#/ Ð521€(8th€Cir.€1988),€and€òòUnited€States€v.€Dionóó,€762€F.2d€674€(8th€Cir.€1985).€€"The€purposeÐ Î*j$0 Ðbehind€the€entrapment€defense€is€to€prevent€law€enforcement€officers€from€manufacturingÐ º+V%1 Ðcrime."€€òòUnited€States€v.€Hintonóó,€908€F.2d€355,€358€(8th€Cir.€1990).€€The€focus€of€the€entrapmentÐ d Ðdefense,€however,€is€on€the€intent€or€predisposition€of€the€defendant€to€commit€the€crime,€ratherÐ Pì Ðthan€upon€the€conduct€of€the€government's€agents.€€òòHampton€v.€United€Statesóó,€425€U.S.€484,€488Ð <Ø Ð(1976).€€Even€after€òòJacobsonóó,€a€defendant's€ready€response€to€an€opportunity€to€commit€anÐ ( Ä Ðoffense€may€show€(1)€that€there€was€no€"inducement,"€as€well€as€(2)€that€the€defendant€wasÐ  ° Ðindependently€predisposed€to€commit€the€offense.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€LaChapelleóó,€969Ð  œ ÐF.2d€632€(8th€Cir.€1992).€€Ð ì ˆ Ðà  à"Entrapment€is€an€affirmative€defense€which€consists€of€two€elements:€€governmentÐ N ê Ðaction€to€induce€or€otherwise€cause€the€defendant€to€commit€the€crime,€and€the€defendant's€lackÐ :Ö  Ðof€predisposition€to€commit€the€crime."€€òòUnited€States€v.€Pfefferóó,€901€F.2d€654,€656€(8th€Cir.Ð &  Ð1990)€(citing€òòUnited€States€v.€Fosteróó,€815€F.2d€1200,€1201€(8th€Cir.€1987)).€€A€defendant€isÐ ®  Ðentitled€to€an€entrapment€instruction€when€there€is€"sufficient€evidence€from€which€a€reasonableÐ þš  Ðjury€could€find€entrapment."€€òòUnited€States€v.€Felixóó,€867€F.2d€1068,€1074€(8th€Cir.€1989)Ð ê†  Ð(quoting€òòMathews€v.€United€Statesóó,€485€U.S.€58,€61€(1988));€òòsee€also€United€States€v.€Kutripóó,€670Ð Ör  ÐF.2d€870,€877€(8th€Cir.€1982).€€òòCf.€United€States€v.€Osborneóó,€935€F.2d€32,€38€(4th€Cir.€1991)Ð Â^  Ð(seldom,€if€ever,€appropriate€to€decide€prior€to€trial€that€the€defendant€is€not€entitled€to€anÐ ®J Ðentrapment€instruction).€€(For€a€list€of€evidentiary€factors€that€may€assist€in€determining€whetherÐ š6 Ðan€entrapment€instruction€is€appropriate,€òòsee€United€States€v.€Dionóó,€762€F.2d€at€687„88.)€€TheÐ †" ÐGovernment€is€not€required€to€prove€predisposition€unless€there€is€evidence€of€governmentÐ r Ðinducement€to€commit€the€offense.€€To€show€inducement,€there€must€be€evidence€of€governmentÐ ^ú Ðconduct€creating€ð ða€substantial€risk€that€an€undisposed€person€.€.€.€would€commit€the€offense.ðð€Ð Jæ ÐòòUnited€States€v.€Loftusóó,€992€F.2d€at€798;€òòUnited€States€v.€Stantonóó,€973€F.2d€608,€609€(8th€Cir.Ð 6Ò Ð1992).Ð "¾ Ðà  àWhen€entrapment€is€an€issue€to€be€resolved,€it€is€ordinarily€for€the€jury.€€òòUnited€States€v.Ð „  ÐHintonóó,€908€F.2d€at€357;€òòUnited€States€v.€Pfefferóó,€901€F.2d€at€656;€òòUnited€States€v.€Williamsóó,€873Ð p  ÐF.2d€1102,€1104€(8th€Cir.€1989).€€A€finding€of€entrapment€as€a€matter€of€law,€followed€byÐ \ø Ðjudgment€of€acquittal,€is€appropriate€when€the€evidence€clearly€shows€(1)€that€the€GovernmentÐ Hä Ðinduced€the€defendant€to€engage€in€the€criminal€conduct,€and€(2)€that€the€defendant€lacked€theÐ 4 Ð Ðnecessary€predisposition€to€perform€the€criminal€conduct.€€òòUnited€States€v.€Crumpóó,€934€F.2d€947,Ð  !¼ Ð956€(8th€Cir.€1991);€òòUnited€States€v.€Hintonóó,€908€F.2d€at€357;€òòsee€also€United€States€v.€Pfefferóó,Ð  "¨ Ð901€F.2d€at€656.€€The€court€of€appeals€stated€in€òòCrumpóó,€934€F.2d€at€956,€that€the€Government'sÐ ø"”  Ðfailure€to€establish€the€defendant's€predisposition€will€result€in€reversal€of€a€conviction€only€whenÐ ä#€! Ðthe€evidence€clearly€indicates:Ð Ð$l" Ðà0  àà ` à"[t]hat€a€government€agent€originated€the€criminal€design;€that€the€agentÐ 2&Î$ Ðimplanted€in€the€mind€of€an€innocent€person€the€disposition€to€commit€the€offense;€andÐ 'º % Ðthat€the€defendant€then€committed€the€criminal€act€at€the€urging€of€the€government."€Ð  (¦!& ÐòòUnited€States€v.€Beisselóó,€901€F.2d€1467,€1469€(8th€Cir.€1990)€(quoting€òòUnited€States€v.Ð ö(’"' ÐResnickóó,€745€F.2d€1179,€1186€(8th€Cir.€1984)).Ðâ)~#((#(# Ðà  à"The€issue€of€whether€an€informant€should€be€considered€a€government€agent€is€generallyÐ D+à$* Ðan€issue€of€fact€for€the€jury."€€òòUnited€States€v.€Yorkóó,€830€F.2d€885,€889€(8th€Cir.€1987)€(citingÐ 0,Ì%+ ÐòòUnited€States€v.€Hoppeóó,€645€F.2d€630,€633€(8th€Cir.€1981)).€€The€entrapment€defense€does€notÐ d Ðextend€to€inducement€by€private€citizens€unless€they€are€acting€as€agents€of€the€Government.€Ð Pì ÐòòUnited€States€v.€Lerouxóó,€738€F.2d€943,€947€(8th€Cir.€1984).€€For€a€discussion€of€issues€associatedÐ <Ø Ðwith€activities€of€"private€agents,"€standing€to€raise€the€entrapment€defense,€and€"indirectÐ ( Ä Ðentrapment,"€òòsee€United€States€v.€Nealóó,€990€F.2d€355€(8th€Cir.€1993);€Marcus,€òòThe€EntrapmentÐ  ° ÐDefenseóó,€ðððð€802€and€803€(1989).Ð  œ Ðà  àòòMathews€v.€United€Statesóó,€485€U.S.€58€(1988),€holds€that€a€defendant€who€denies€theÐ b þ Ðcommission€of€the€crime€may€nevertheless€assert€and€have€the€jury€instructed€on€the€inconsistentÐ N ê Ðdefense€of€entrapment.€€However,€for€the€defendant€to€be€entitled€to€an€instruction€under€theseÐ :Ö  Ðcircumstances,€there€must€be€sufficient€evidence€from€which€a€jury€could€find€entrapment.€Ð &  ÐòòUnited€States€v.€Felixóó,€867€F.2d€at€1074€n.11.€Ð ®  Ðà  à"Outrageous€government€conduct"€in€procuring€the€commission€of€an€offense€whichÐ t  Ðwould€amount€to€a€violation€of€due€process,€is€frequently€discussed,€but€infrequently€(if€ever)Ð `ü  Ðestablished.€€òòSee€Gunderson€v.€Schlueteróó,€904€F.2d€407,€410€n.8€(8th€Cir,€1990);€òòUnited€States€v.Ð Lè  ÐFordóó,€918€F.2d€1343,€1349€(8th€Cir.€1990),€and€òòUnited€States€v.€Musslynóó,€865€F.2d€945€(8th€Cir.Ð 8Ô  Ð1989).€€A€claim€of€"outrageous€conduct"€is€addressed€to€the€court;€no€jury€submission€on€theÐ $À Ðissue€is€required.€€òòUnited€States€v.€Doughertyóó,€810€F.2d€763,€770€(8th€Cir.€1987);€òòUnited€States€v.Ð ¬ ÐQuinnóó,€543€F.2d€640€(8th€Cir.€1976).€€The€Eighth€Circuit€has€acknowledged€that€"sentencingÐ ü˜ Ðentrapment"€may€arise€where€outrageous€official€conduct€has€overcome€the€predisposition€of€aÐ è„ Ðdefendant€to€commit€only€low„quantity,€low„value€(thus€lower€offense€level)€crimes€by€inducingÐ Ôp Ðsuch€a€person€to€commit€greater€crimes€subject€to€greater€punishment€under€the€SentencingÐ À\ ÐGuidelines.€€òòUnited€States€v.€Nelsonóó,€988€F.2d€798,€809€(8th€Cir.€1993);€òòUnited€States€v.€Steinóó,Ð ¬H Ð973€F.2d€600,€602€(8th€Cir.€1992).€€These€cases€only€recognize€the€possibility€of€"sentencingÐ ˜4 Ðentrapment;"€the€opinions€did€not€find€it€to€exist.€€As€a€sentencing€issue,€"sentencing€entrapment"Ð „  Ðwould€not€be€submitted€to€the€jury.Ð p  Ðà  àA€related€issue€may€arise€when€the€government€agent€engages€in€the€conduct€which€formsÐ Òn Ðthe€only€basis€for€federal€jurisdiction.€€òòSee€United€States€v.€Coatesóó,€949€F.2d€104€(4th€Cir.€1991).€Ð ¾Z ÐSuch€issues€are€usually€for€the€court€and€not€a€matter€for€jury€instructions.Ð ª F Ðà  à"Entrapment€by€estoppel"€is€a€defense€based€on€advice€from€a€government€official€thatÐ  "¨  Ðcertain€conduct€is€legal.€€The€defendant€€has€the€burden€to€establish€that€he€was€misled€by€theÐ ø"”! Ðstatements€of€a€government€official€into€believing€his€conduct€was€lawful.€€òòUnited€States€v.Ð ä#€" ÐAustinóó,€915€F.2d€363€(8th€Cir.€1990).€€The€issue€of€"entrapment€by€estoppel"€is€a€jury€issue;Ð Ð$l# Ðhowever,€Model€Instruction€9.01€does€òònotóó€describe€the€defense.€€òòCf.óó,€the€proposed€(but€notÐ ¼%X$ Ðapproved)€instruction,€in€òòUnited€States€v.€LaChapelleóó,€969€F.2d€at€637.Ð  ¨&D % ÐÖ€‰‡ìüÖÓ €Óà@BBìàò òÔ% €  ÔÔ  Ô9.02.€€COERCION€OR€DURESSÔ inÕ©Ô€òò1óóó óˆÐ d ÐÌà  àÓ€ÓIf€the€defendant€[committed]€[participated€in]€the€crime€of€(describe€offense)€onlyÐ <Ø Ðbecause€[he]€[she]€reasonably€feared€that€immediate,€serious€bodily€harm€would€be€inflicted€uponÐ ž : Ð[him]€[her]€[another€person],€if€[he]€[she]€did€not€[commit]€[participate€in]€the€crime,€and€if€theÐ  œ Ðdefendant€had€no€reasonable€opportunity€to€avoid€that€harm,€then€[he]€[she]€was€coerced.€Ó€ÓÓ €ÓÐ b þ ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Ä `  Ðà  à1.€€When€this€instruction€is€submitted,€the€jury€must€be€advised€that€the€defendant€has€theÐ &  Ðburden€of€proof€on€it.€€òòSeeóó€Instruction€3.09,€Note€3,€òòsupraóó.€€This€Ô':Ä 7¬Ôinstruction€should€immediatelyÐ ®  Ðfollow.€Ð þš  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ `ü  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€šFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r1®#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r{®#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r®#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r¯#Ôš:€€CriminalÐ Â^  Ððð19.02€(5th€ed.€2000)Ô':`«­Ô.€Ð ®J Ðà  àCoercion€and€duress€are€used€interchangeably.€€òòUnited€States€v.€Michelsonóó,€559€F.2d€567Ð ¬ Ðn.3€(9th€Cir.€1977).€€In€òòUnited€States€v.€Baileyóó,€444€U.S.€394,€409€(1980),€the€Court€distinguishedÐ ü˜ Ðduress€from€necessity:€Ð è„ Ðà0  àà ` àCommon€law€historically€distinguished€between€the€defenses€of€duress€andÐ Jæ Ðnecessity.€€Duress€was€said€to€excuse€criminal€conduct€where€the€actor€was€under€anÐ 6Ò Ðunlawful€threat€of€imminent€death€or€serious€bodily€injury,€which€threat€caused€the€actorÐ "¾ Ðto€engage€in€conduct€violating€the€literal€terms€of€the€criminal€law.€€While€the€defense€ofÐ ª Ðòòduressóó€covered€the€situation€where€the€òòcoercionóó€had€its€source€in€the€actions€of€otherÐ ú– Ðhuman€beings,€the€defense€of€necessity,€or€choice€of€evils,€traditionally€covered€theÐ æ‚ Ðsituation€where€physical€forces€beyond€the€actor's€control€rendered€illegal€conduct€theÐ Òn Ðlesser€of€two€evils.€€(Emphasis€added.)оZ (#(# ÐDuress€and€coercion€are€treated€as€synonymous€in€Ninth€Cir.€Crim.€Jury€Instr.€6.4.1€(1997).€Ð  !¼" ÐDuress,€coercion€and€compulsion€are€treated€as€synonymous€in€š1A€Kevin€F.€OððMalley,€et€al.,Ð  "¨# ÐFÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rµ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rgµ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r®µ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rýµ#Ôš:€€Criminal€ðð€19.02€(5th€ed.€2000).€€Coercion€andÐ ø"”$ Ðintimidation€are€treated€as€synonymous€in€Eleventh€Circuit€Pattern€Jury€Instructions:€€CriminalÐ ä#€% Ð(Special)€ðð€15€(1997).€Ð Ð$l& Ðà  àThe€definition€of€coercion€is€set€forth€in€òòUnited€States€v.€Mayóó,€727€F.2d€764,€765€(8th€Cir.Ð 2&Î( Ð1984)€(quoting€òòShannon€v.€United€Statesóó,€76€F.2d€490,€493€(10th€Cir.€1935)):€Ð 'º ) Ðà0  àà ` àCoercion€which€will€excuse€the€commission€of€a€criminal€act€must€be€immediateÐ €("+ Ðand€of€such€nature€as€to€induce€a€well-grounded€apprehension€of€death€or€serious€bodilyÐ l)#, Ðinjury€if€the€act€is€not€done.€€One€who€has€full€opportunity€to€avoid€the€act€without€dangerÐ X*ô#- Ðof€that€kind€cannot€invoke€the€doctrine€of€coercion€and€is€not€entitled€to€an€instructionÐ D+à$. Ðsubmitting€that€question€to€the€jury.Ð0,Ì%/(#(# ÐòòSee€alsoóó€òòUnited€States€v.€Blankenshipóó,€67€F.3d€673,€677„78€(8th€Cir.€1995);€òòUnited€States€v.Ð d ÐCampbellóó,€609€F.2d€922,€924€(8th€Cir.€1979;€òòUnited€States€v.€Saetteleóó,€585€F.2d€307,€309€(8thÐ Pì ÐCir.€1978).€Ð <Ø Ðà  àThe€defendant€has€the€initial€burden€of€introducing€facts€sufficient€to€triggerÐ ž : Ðconsideration€of€the€coercion€defense€and€must€prove€it€by€a€preponderance€of€the€evidence.€Ð Š & ÐòòDixon€v.€United€Statesóó,€548€U.S.€1€(2006).€€Ð v  Ðà  àThis€defense€cannot€be€invoked€if€the€defendant€had€a€full€opportunity€to€avoid€theÐ Ø t Ðcriminal€act€without€danger€of€immediate€death€or€serious€bodily€injury.€€òòUnited€States€v.Ð Ä `  ÐSaetteleóó,€585€F.2d€at€309€n.2;€òòUnited€States€v.€Loganóó,€49€F.3d€352€(8th€Cir.€1995).€€Similarly,€theÐ °L  Ðdefense€must€fail€if€there€was€a€reasonable,€legal€alternative€which€would€not€violate€the€law€andÐ œ8  Ðwhich€would€also€avoid€the€threatened€harm.€€òòUnited€States€v.€Utheóó,€686€F.2d€636,€637€(8th€Cir.Ð ˆ$  Ð1982).€Ð t  Ðà  àIn€escape€from€custody€situations,€in€order€to€be€entitled€to€a€duress€instruction€an€escapeeÐ Ör  Ðmust€offer€evidence€"justifying€his€continued€absence€from€custody€as€well€as€his€initialÐ Â^  Ðdeparture,€and€.€.€.€an€indispensable€element€of€such€offer€is€testimony€of€a€bona€fide€effort€toÐ ®J Ðsurrender€or€return€to€custody€as€soon€as€the€claimed€duress€or€necessity€has€lost€its€coerciveÐ š6 Ðforce."€€òòUnited€States€v.€Baileyóó,€444€U.S.€394,€412-13€n.9€(1980).€€The€defendant€must€haveÐ †" Ðsubmitted€himself€to€proper€authorities€after€obtaining€safety.€Ð r Ðà  àCoercion€typically€is€not€a€defense€to€murder.€€òòSeeóó€òòR.I.€Recreation€Center€v.€AetnaÐ Ôp ÐCasualty€&€Surety€Co.óó,€177€F.2d€603,€605€(1st€Cir.€1949).€Ð À\ Ðà  àAs€with€the€use€of€defensive€force,€the€defense€of€coercion€or€duress€can€exist€not€onlyÐ "¾ Ðwhen€the€defendant€is€personally€threatened€with€the€harm,€but€also€when€the€harm€threatened€isÐ ª Ðto€a€third€person.€€òòSeeóó€òòLaFave€&€Scottóó,€òòCriminal€Lawóó,€374-75,€385-88€(1972).€€Ð  ú– ÐÓ €ÓÖ€‰ìýÖà@VVìàò òÔ% €! ÔÔ  Ô9.03.€€INSANITY€(18€U.S.C.€ðð€20)Ô óÄÔó óˆÐ d ÐÌÓ€Óà  àA€defendant€was€insane€if,€at€the€time€of€the€alleged€criminal€conduct,€as€a€result€of€aÐ <Ø Ðsevere€mental€disease€or€defect,€[he]€[she]€was€unable€to€appreciate€the€nature€and€quality€or€theÐ ž : Ðwrongfulness€of€[his]€[her]€acts.òò1óó€Ó€ÓÓ €ÓÐ  œ ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ b þ Ðà  à1.€€This€instruction€should€be€used€with€and€follow€the€burden€of€proof€instructionÐ Ä `  Ðcontained€in€Note€3,€Instruction€3.09,€òòsupraóó.Ð °L  ÐÔ'œb ÃÅÔÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ ®  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r]Ç#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r§Ç#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rîÇ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r=È#Ôš:€€CriminalÐ t  Ððð19.03€(5th€ed.€2000)Ô':ØÆÔ.€Ð `ü  Ðà  àThe€present€instruction€has€been€drafted€to€conform€to€the€relevant€provisions€of€theÐ Â^  ÐComprehensive€Crime€Control€Act€of€1984,€Public€Law€98-473,€ðððð€401€òòet€seq.óó,€18€U.S.C.€ðð€20.€Ð ®J ÐAs€regards€the€defense€of€insanity,€the€Act€has€four€features€of€particular€importance€here:€Ð š6 Ðà0  à(a)€€The€burden€of€proof€with€respect€to€the€defense€is€placed€òòupon€the€defendantóó.€€òòSeeóóÐ ü˜ Ðsection€402(b).€€This€reverses€the€situation€which€existed€in€the€past.€€òòSeeóó,€òòe.g.óó,€òòUnitedÐ è„ ÐStates€v.€Gillissóó,€645€F.2d€1269,€1280€(8th€Cir.€1981).€ÐÔp(#(# Ðà0  à(b)€€The€quantum€of€proof€necessary€to€sustain€the€defense€is€"clear€and€convincing"Ð 6Ò Ðevidence.€€òòSeeóó€section€402(b);€òòUnited€States€v.€Amosóó,€803€F.2d€419,€420-22€(8th€Cir.Ð "¾ Ð1986).€Ðª(#(# Ðà0  à(c)€€The€substantive€test€for€insanity€is€changed,€at€least€as€concerns€the€law€previouslyÐ p  Ðadopted€in€the€Eighth€Circuit.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Frazieróó,€458€F.2d€911,€917€(8thÐ \ø ÐCir.€1972);€òòUnited€States€v.€Lewellynóó,€723€F.2d€615€(8th€Cir.€1983).€€In€essence,€theÐ Hä  Ðstatute€has€now€eliminated€the€"irresistible€impulse"€alternative.€€òòSeeóó€section€402(a).€€TheÐ 4 Ð! Ðlanguage€employed€in€the€present€instruction€is€a€verbatim€recitation€of€that€employed€byÐ  !¼" Ðthe€statute.€Ð "¨#(#(# Ðà0  à(d)€€If€the€jury€accepts€the€defense,€the€necessary€finding€is€"not€guilty€by€reason€ofÐ n# % Ðinsanity,"€rather€than€simply€"not€guilty."€€òòSeeóó€section€403(a)€(amendment€of€18€U.S.C.Ð Z$ö& Ððð4242(b)).€€Thus,€in€a€case€where€the€defense€is€raised,€the€jury€will€have€a€choiceÐ F%â' Ðbetween€three€verdicts:€€(a)€guilty;€(b)€not€guilty;€and€(c)€not€guilty€by€reason€of€insanity.€Ð2&Î((#(# ÐAdditionally,€although€not€relevant€for€instructional€purposes,€the€Committee€notes€theÐ ”'0!* Ðamendment€to€Fed.€R.€Evid.€704,€which€will€prohibit€an€expert€witness€from€stating€"an€opinionÐ €("+ Ðor€inference€as€to€whether€the€defendant€did€or€did€not€have€the€mental€state€or€conditionÐ l)#, Ðconstituting€an€element€of€the€crime€charged€or€of€a€defense€thereto."€€òòSeeóó€section€406.€€òòBut€seeóóÐ X*ô#- ÐòòUnited€States€v.€Bartlettóó,€856€F.2d€1071€(8th€Cir.€1988)€(Insanity€Defense€Reform€Act€allowsÐ D+à$. Ðdefense€to€present€expert€evidence€that€a€mental€disease€or€defect,€including€diminishedÐ 0,Ì%/ Ðresponsibility,€at€the€time€of€the€alleged€crime€rendered€the€defendant€incapable€of€forming€theÐ d Ðrequisite€intent.€€The€case€suggests€that€the€instructions€specifically€or€as€a€whole€should€permitÐ Pì Ðthe€defendant€to€argue€this€as€a€theory€of€defense.€€òòSeeóó€Instruction€9.05,€òòinfraóó.)€Ð <Ø Ðà  àA€bracketed€instruction€which€appears€in€earlier€printings€of€this€edition,€advising€the€juryÐ ž : Ðthat€a€defendant€found€not€guilty€by€reason€of€insanity€will€be€committed,€has€been€removedÐ Š & Ðsince€the€decision€on€which€it€was€based€has€been€vacated.€€òòUnited€States€v.€Neavillóó,€868€F.2dÐ v  Ð1000€(8th€Cir.),€òòvacatedóó,€877€F.2d€1394€(8th€Cir.€òòen€bancóó€1989).€Ð  b þ ÐÖ€‘ìþÖÓ €Óà@ ìàò òÔ% €" ÔÔ  Ô9.04.€€SELF€DEFENSE€„€DEFENSE€OF€THIRD€PERSONÔ 20>×Ô€òò1óóó óˆÐ d ÐÌà  àÓ€ÓIf€a€person€reasonably€believes€that€force€is€necessary€to€protect€[himself]€[herself]Ð <Ø Ð[another€person]€from€what€[he]€[she]€reasonably€believes€to€be€unlawful€physical€harm€about€toÐ ž : Ðbe€inflicted€by€another€and€uses€such€force,€then€[he]€[she]€acted€in€[self€defense]€[defense€of€òò€€€€óó].€Ð  œ Ðà  à[However,€self€defense€which€involves€using€force€likely€to€cause€death€or€great€bodilyÐ b þ Ðharm€is€justified€only€if€the€person€reasonably€believes€that€such€force€is€necessary€to€protectÐ Ä `  Ð[himself]€[herself]€[the€third€person]€from€what€[he]€[she]€reasonably€believes€to€be€a€substantialÐ &  Ðrisk€of€death€or€great€bodily€harm.]òò2óó€Ó€ÓÓ €ÓÐ ˆ$  ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ê†  Ðà  à1.€€When€this€instruction€is€submitted,€the€government's€burden€of€proof€that€theÐ Lè  Ðdefendant€was€not€acting€in€self€defense€must€be€included€in€the€elements€instruction.€€òòSeeóóÐ 8Ô  ÐInstruction€3.09,€òòsupraóó.€€Ô'&êùÚÔThis€instruction€should€immediately€follow.€Ð $À Ðà  à2.€€Use€only€if€an€issue€in€the€case.€Ð †" ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ è„ Ðà  àòòSeeóó€òòUnited€States€v.€Walkeróó,€817€F.2d€461,€463€(8th€Cir.€1987);€š2A€Kevin€F.€OððMalley,€etÐ Jæ Ðal.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r½Ý#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÞ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rNÞ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÞ#Ôš:€€Criminal€ðð45.19€(5th€ed.€Ô':èâÜÔ2000).€Ð 6Ò Ðà  àA€defendant€asserting€self€defense€is€admitting€the€commission€of€the€offense€charged,Ð ˜4 Ðbut€is€offering€a€justification€for€his€actions.€€The€defendant€may€also€raise€other,€inconsistentÐ „  Ðdefenses.€€òòUnited€States€v.€Fayóó,€668€F.2d€375,€378€(8th€Cir.€1981).€Ð p  Ðà  àAlthough€a€defendant€asserting€self€defense€is€not€required€to€have€retreated€beforeÐ Òn! Ðresorting€to€force,€òòUnited€States€v.€Petersonóó,€483€F.2d€1222,€1236€(D.C.€Cir.€1973),€theÐ ¾Z" Ðavailability€of€retreat€may€be€a€factor€for€the€jury€to€consider€in€evaluating€whether€unreasonableÐ ª F# Ðforce€was€used.€€òòUnited€States€v.€Goodfaceóó,€835€F.2d€1233,€1235-36€(8th€Cir.€1987);€òòUnitedÐ –!2$ ÐStates€v.€Lomanóó,€551€F.2d€164,€168€(7th€Cir.€1977).€€An€aggressor€need€not€have€been€armed€inÐ ‚"% Ðorder€for€a€defendant€to€raise€a€self€defense€issue,€although€whether€an€aggressor€was€armed€mayÐ n# & Ðbe€relevant€in€determining€the€degree€of€force€a€defendant€was€entitled€to€use.€€òòUnited€States€v.Ð Z$ö' ÐFayóó,€668€F.2d€at€378.€Ð F%â( Ðà  àThe€right€to€use€self€defense€is€not€necessarily€restricted€to€"pure"€assault€situations.€€ForÐ ¨&D * Ðexample,€one€would€presumably€be€entitled€to€use€self€defense€to€prevent€himself€from€beingÐ ”'0!+ Ðkidnaped.€€Even€though€kidnaping€certainly€would,€in€a€general,€theoretical€sense,€involveÐ €(", Ð"unlawful€physical€harm,"€the€instruction€might€well€need€to€be€modified€in€that€situation€to€stateÐ l)#- Ðmore€accurately€the€harm€being€defended€against.€Ð  X*ô#. ÐÖ€“‘ìÿÖÓ €Óà@··ìàò òÔ% €# ÔÔ  Ô9.05.€€THEORY€OF€DEFENSEÔ 20WæÔó óˆÐ d ÐÌÓ€Óà@££ìà[No€model€instruction€provided.]òò1óóˆÐ <Ø ÐÓ€ÓÓ €ÓÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ž : Ðà  à1.€€As€stated€in€the€Introductory€Comment€to€Section€9.00,€òòsupraóó,€no€general€modelÐ  œ Ðinstruction€is€provided€because€each€such€instruction€must€be€drafted€in€accord€with€theÐ ì ˆ Ðparticular€issues€of€the€Ô'&ž 0çÔcase.€€Some€particular€instructions€follow€in€Instructions€9.06,€9.07€andÐ Ø t Ð9.08,€òòinfraóó.Ð Ä `  ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ &  ÐÔ'N& éÔà  àòòSeeóó€Introductory€Comment,€Section€9.00,€òòsupraóó.Ð ˆ$  Ðà  àA€criminal€defendant€is€entitled€to€have€the€jury€instructed€on€a€defense€theory€if€a€timelyÐ ê†  Ðsubmission€is€made€of€an€instruction€that€correctly€states€the€law€and€is€supported€by€theÐ Ör  Ðevidence.€€òòUnited€States€v.€Merceróó,€853€F.2d€630,€633€(8th€Cir.€1988);€òòUnited€States€v.€Jerdeóó,Ð Â^  Ð841€F.2d€818,€820€(8th€Cir.€1988);€òòUnited€States€v.€Montgomeryóó,€819€F.2d€847,€851€(8th€Cir.Ð ®J Ð1987);€òòUnited€States€v.€Johnsonóó,€767€F.2d€1259,€1267€(8th€Cir.€1985);€òòUnited€States€v.€Liskoóó,Ð š6 Ð747€F.2d€1234,€1237-38€(8th€Cir.€1984);€òòUnited€States€v.€Brakeóó,€596€F.2d€337,€339€(8th€Cir.Ð †" Ð1979);€òòUnited€States€v.€Brownóó,€540€F.2d€364,€380€(8th€Cir.€1976).€Ð r Ðà  àIt€has€been€held€reversible€error€not€to€give€a€properly€requested€instruction,€which€isÐ Ôp Ðsupported€by€the€evidence,€contains€a€correct€statement€of€law€and€is€not€otherwise€covered€in€theÐ À\ Ðinstructions.€€òòUnited€States€v.€Manningóó,€618€F.2d€45,€47-48€(8th€Cir.€1980)€(failure€to€instructÐ ¬H Ðthat€mere€presence€or€proximity€to€an€unregistered€weapon€is€an€insufficient€basis€forÐ ˜4 Ðconviction);€òòUnited€States€v.€Prieskornóó,€658€F.2d€631,€636€(8th€Cir.€1981)€(failure€to€instruct€thatÐ „  Ðthe€relationship€between€buyer€and€seller€of€drugs€does€not€alone€establish€a€conspiracy,€but€òònoteóóÐ p  ÐJudge€Henley's€dissent,€p.637);€òòUnited€States€v.€Voleóó,€435€F.2d€774,€776-77€(7th€Cir.€1970)Ð \ø Ð(failure€to€give€a€requested€instruction€that€the€defendant€was€framed).€€Ð Hä Ðà  àIt€is€equally€axiomatic,€however,€that€a€defendant€is€not€entitled€to€a€particularly€wordedÐ ª F  Ðinstruction€setting€out€his€position€where€the€instructions€given€by€the€trial€judge€correctly€coverÐ –!2! Ðthe€substance€of€the€requested€instruction.€€òòUnited€States€v.€Brakeóó,€596€F.2d€at€339;€òòUnited€StatesÐ ‚"" Ðv.€Liskoóó,€747€F.2d€at€1237-38.€€òòSee€alsoóó€òòUnited€States€v.€Merceróó,€853€F.2d€at€633,€holding€thatÐ n# # Ðthe€defendant's€proposed€instruction€(which€had€been€required€by€the€Fifth€Circuit€in€òòUnitedÐ Z$ö$ ÐStates€v.€Lewisóó,€592€F.2d€1282,€1285€(5th€Cir.€1979))€was€cumulative€and€hence€failure€to€give€itÐ F%â% Ðwas€not€error.€€Even€if€the€tendered€instruction€is€proper€and€in€form€suitable€for€use€by€the€court,Ð 2&Î& Ðthe€court€retains€discretion€in€framing€the€instruction.€€òòUnited€States€v.€Brownóó,€540€F.2d€atÐ 'º ' Ð380-81.€Ð  (¦!( Ðà  àMoreover,€instructions€that€do€not€meet€all€of€the€above€criteria€may€be€properly€refused.€Ð l)#* ÐThus€instructions€that€do€not€contain€a€proper€statement€of€the€law€are€properly€refused.€€òòUnitedÐ X*ô#+ ÐStates€v.€Johnsonóó,€767€F.2d€1259,€1266-69€(8th€Cir.€1985)€(proposed€instruction€did€not€properlyÐ D+à$, Ðstate€the€law€as€to€when€property€can€"lose"€its€"stolen"€character);€òòUnited€States€v.€Montgomeryóó,Ð 0,Ì%- Ð819€F.2d€847,€851-52€(8th€Cir.€1987)€(proposed€instruction€did€not€properly€cover€the€elementsÐ d Ðof€constructive€possession).€€òòUnited€States€v.€McQuarryóó,€726€F.2d€401,€402€(8th€Cir.€1984)Ð Pì Ð(proposed€instruction€that€failure€to€flee€was€evidence€of€innocence€was€not€the€law).€€òòSee€alsoóóÐ <Ø ÐòòUnited€States€v.€Clarkóó,€701€F.2d€68,€70€(8th€Cir.€1983).€Ð ( Ä Ðà  àThe€trial€court€can€properly€refuse€an€instruction€which€merely€rephrases€the€jury'sÐ Š & Ðobligation€to€find€all€of€the€elements€beyond€a€reasonable€doubt.€€òòUnited€States€v.€Rabbittóó,€583Ð v  ÐF.2d€1014,€1024€(8th€Cir.€1978);€òòUnited€States€v.€Shigemuraóó,€682€F.2d€699,€703-05€(8th€Cir.Ð b þ Ð1982).Ð N ê Ðà  àInstructions€not€based€on€the€evidence€can€be€properly€refused.€€òòUnited€States€v.Ð °L  ÐMontgomeryóó,€819€F.2d€at€851-52€(no€evidence€at€trial€that€witness€made€the€statements€on€whichÐ œ8  Ðproffered€instruction€was€based);€òòUnited€States€v.€Peltieróó,€585€F.2d€314,€328-29€(8th€Cir.€1978)Ð ˆ$  Ð(no€evidence€at€trial€that€government€induced€witnesses€to€testify€falsely).€€There€must€be€someÐ t  Ðevidence€to€support€the€defense,€even€if€it€is€"weak,€inconsistent€or€dubious."€€òòUnited€States€v.Ð `ü  ÐCaspersonóó,€773€F.2d€216,€223€n.12€(8th€Cir.€1985).€€However€a€defense€need€not€be€submitted€toÐ Lè  Ða€jury€unless€it€can€be€said€that€a€reasonable€person€"might€conclude"€the€evidence€supports€theÐ 8Ô  Ðdefendant's€position.€€òòUnited€States€v.€Kabatóó,€797€F.2d€580,€590-91€(8th€Cir.€1986).Ð $À Ðà  àIt€is€further€essential€that€the€instructions€be€in€a€form€suitable€for€use€by€the€court.€Ð †" ÐòòUnited€States€v.€Nanceóó,€502€F.2d€615,€619€(8th€Cir.€1974).€€There€must€be€an€appropriateÐ r Ðstatement€of€law€for€the€jury€to€apply€to€the€facts.€€Instructions€which€depart€from€this€have€beenÐ ^ú Ðuniformly€rejected.€€Thus€instructions€which€are€merely€argumentative€may€be€properly€refused.€Ð Jæ ÐòòUnited€States€v.€Meyeróó,€808€F.2d€1304,€1307€(8th€Cir.€1987);€òòUnited€States€v.€Finestoneóó,€816Ð 6Ò ÐF.2d€583,€590€(11th€Cir.€1987);€òòUnited€States€v.€Boltsóó,€558€F.2d€316,€323€(5th€Cir.€1977).€Ð "¾ Ðà  àInstructions€which€are€long€and€verbose€and€contain€detailed€descriptions€of€the€purportedÐ „  Ðevidence€and€inferences€drawn€therefrom€by€defense€counsel€have€been€properly€refused.€€òòUnitedÐ p  ÐStates€v.€Liskoóó,€747€F.2d€at€1237-38;€òòUnited€States€v.€Nanceóó,€502€F.2d€at€619-22.€€A€narrativeÐ \ø Ðrecitation€of€the€defendant's€version€of€the€facts€is€likewise€unacceptable:€€Ð Hä Ðà0  àà ` àA€trial€judge€may€refuse€an€instruction€if€its€language€gives€undue€emphasis€toÐ ª F Ðdefendant's€version€of€the€facts€rather€than€being€ð ða€statement€of€appropriate€principles€ofÐ –!2  Ð[the]€law€for€the€jury€to€apply€to€the€facts,ðð€(òòUnited€States€v.€Nevittóó,€563€F.2d€406,€409Ð ‚"! Ð(9th€Cir.€1977))€or€if€it€would€tend€to€influence€the€jury€towards€accepting€the€defendant'sÐ n# " Ðversion€of€the€facts.€€òòUnited€States€v.€Hallóó,€552€F.2d€273,€275€(9th€Cir.€1977).ÐZ$ö#(#(# ÐòòUnited€States€v.€Davisóó,€597€F.2d€1237,€1240€(9th€Cir.€1979).€€Likewise€the€court€may€refuse€anÐ ¼%X% Ðinstruction€which€only€comments€on€evidence€favorable€to€the€defendant€without€presenting€aÐ ¨&D & Ðlegally€cognizable€defense.€€òòUnited€States€v.€Silvermanóó,€745€F.2d€1386,€1399-1400€(11th€Cir.Ð ”'0!' Ð1984).€€Ð €("( Ðà  àIt€has€also€been€held€that€certain€obvious€concepts€cannot€be€elevated€to€a€"theory€ofÐ â)~#* Ðdefense."€€òòUnited€States€v.€Peltieróó,€585€F.2d€at€328€(if€government€induced€witnesses€to€testifyÐ Î*j$+ Ðfalsely,€this€is€affirmative€evidence€of€weakness€of€government's€case--rejected);€òòLaughlin€v.Ð º+V%, ÐUnited€Statesóó,€474€F.2d€444,€455€(D.C.€Cir.€1972)€(if€the€jury€believes€defense€testimony€denyingÐ d Ðguilt,€it€should€acquit--rejected).€€òòPeltieróó€quoted€òòLaughlinóó€as€follows:€Ð Pì Ðà0  àà ` àWhat€is€required€before€the€theory€of€the€case€rule€comes€into€play€is€a€moreÐ ²N Ðinvolved€theory€involving€'law'€or€fact,€or€both,€that€is€not€so€obvious€to€any€jury.О :(#(# Ð585€F.2d€at€328.€€Ð  œ Ðà  àThere€is€no€duty€to€give€a€theory€of€defense€instruction€that€has€not€been€requested,Ð b þ ÐòòUnited€States€v.€Hamiltonóó,€420€F.2d€1096,€1098-99€(7th€Cir.€1970),€and€failure€to€give€anÐ N ê  Ðinstruction€without€a€request€is€ordinarily€not€plain€error.€€òòUnited€States€v.€Peltieróó,€585€F.2d€atÐ :Ö  Ð329-30.Ð &  Ðà  àFor€the€elements€of€a€necessity/justification€defense€generally,€òòseeóó€òòUnited€States€v.Ð ˆ$  ÐÔ_ÔAndradeÔ_Ô„Rodriguezóó,€531€F.3d€721,€723€(8òòthóó€Cir.€2008)€(citing€òòUnited€States€v.€Ô_ÔLukerÔ_Ôóó,€395€F.3dÐ t  Ð830,€832€(8òòthóó€Cir.€2005)).Ð  `ü  ÐÖ€•“ìÖÓ €Óà@¸ ¸ ìàò òÔ% €$ ÔÔ  Ô9.06.€€INTOXICATION;€DRUG€USEÔ atq Ôó óˆÐ d ÐÌà  àÓ€ÓOne€of€the€issues€in€this€case€is€whether€the€defendant€was€[intoxicated]€[taking€drugs]€atÐ <Ø Ðthe€time€the€acts€charged€in€the€indictment€were€committed.€€€Ð ž : Ðà  àBeing€under€the€influence€of€[alcohol]€[a€drug],€[even€one€taken€for€medical€purposes,]Ð  œ Ðprovides€a€legal€excuse€for€the€commission€of€a€crime€only€if€the€effect€of€the€[alcohol]€[drug]Ð b þ Ðmakes€it€impossible€for€the€defendant€to€have€(insert€mental€state€required€by€statute.)€€EvidenceÐ Ä `  Ðthat€the€defendant€acted€while€under€the€influence€of€[alcohol]€[drug€or€drugs]€may€be€consideredÐ &  Ðby€you,€together€with€all€the€other€evidence,€in€determining€whether€or€not€[he]€[she]€did€in€factÐ ˆ$  Ðhave€(insert€mental€state€required€by€statute.)€€Ó€ÓÓ €ÓÐ ê†  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ Lè  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rë#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%r5#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r|#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rË#Ôš:€€CriminalÐ ®J Ððð19.05€(5th€ed.€2000)Ô':LfÔ.€Ð š6 Ðà  àòòSee€alsoóó€Committee€Comments,€Instructions€9.00,€9.05,€òòsupraóó;€òòUnited€States€v.€Fayóó,€668Ð ü˜ ÐF.2d€375,€377€(8th€Cir.€1981).€Ð è„ Ðà  à"Intoxication"€is€a€theory€of€defense€which€may€be€submitted€to€the€jury€upon€a€properÐ Jæ Ðrequest€if€there€is€a€foundation€in€the€evidence€and€if€the€crime€charged€is€one€which€hasÐ 6Ò Ðtraditionally€fallen€in€the€"specific€intent"€category.€€òòUnited€States€v.€Fayóó€(reversible€error€not€toÐ "¾ Ðgive€instruction).€Ð ª Ðà  àVoluntary€intoxication€might€serve€to€negate€the€required€mental€element€in€a€crimeÐ p  Ðinvolving€what€has€historically€been€termed€"specific€intent."€€This€is€the€view€the€Eighth€CircuitÐ \ø  Ðhas€taken€for€many€years.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.€Fayóó€(assault€with€a€deadly€weapon€under€18Ð Hä! ÐU.S.C.€ðððð€1153€and€113(c)€is€a€specific€intent€offense,€as€to€which€voluntary€intoxication€can€beÐ 4 Ð" Ða€defense;€assault€resulting€in€serious€bodily€harm,€under€18€U.S.C.€ðððð€153€and€113(b),€is€not);Ð  !¼# ÐòòUnited€States€v.€Hansonóó,€618€F.2d€1261€(8th€Cir.€1980)€(assault€on€a€federal€officer€in€violationÐ  "¨$ Ðof€18€U.S.C.€ðð€111€is€a€"general€intent"€offense€and€voluntary€intoxication€is€no€defense);€òòUnitedÐ ø"”% ÐStates€v.€Bald€Eagleóó,€849€F.2d€361€(8th€Cir.€1988)€(voluntary€manslaughter€is€a€crime€of€generalÐ ä#€& Ðintent);€òòUnited€States€v.€Johnstonóó,€543€F.2d€55€(8th€Cir.€1976)€(bank€robbery,€under€18€U.S.C.Ð Ð$l' Ððð2113(a),€is€a€"general€intent"€offense,€and€intoxication€is€irrelevant).€€òòUnited€States€v.€Lavallieóó,Ð ¼%X( Ð666€F.2d€1217€(8th€Cir.€1981)€(rape€is€a€general€intent€offense€and€intoxication€is€not€a€defense).€Ð ¨&D ) Ðà  àThe€definition€and€use€of€the€terms€"specific"€and€"general"€intent€in€jury€instructions€hasÐ  (¦!+ Ðbeen€abandoned€in€this€manual,€however€these€concepts€must€be€addressed€by€the€court€toÐ ö(’", Ðdetermine€if€an€intoxication€instruction€would€be€applicable.€€It€would€be€necessary€to€examineÐ â)~#- Ðthe€case€law€under€a€particular€statute€to€determine€whether€the€crime€has€been€held€to€be€oneÐ Î*j$. Ðinvolving€a€"specific€intent."€Ð  º+V%/ ÐÖ€—•ìÖÓ €Óà@ÖÖ$ìàò òÔ% €% ÔÔ  Ô9.07.€€ALIBIÔ €SiÔó óˆÐ d ÐÌà  àÓ€ÓOne€of€the€issues€in€this€case€is€whether€the€defendant€was€present€at€the€time€and€placeÐ <Ø Ðof€the€alleged€crime.€€If,€after€considering€all€the€evidence,€you€have€a€reasonable€doubt€that€theÐ ž : Ðdefendant€was€present,€then€you€must€find€[him]€[her]€not€guilty.€Ó€ÓÓ €ÓÐ  œ ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ b þ Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rµ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÿ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rF#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r•#Ôš:€€CriminalÐ Ä `  Ððð19.07€(5th€ed.€2000)Ô':b 0Ô.€€Ð °L  Ðà  àòòSee€alsoóó€Committee€Comments,€Instruction€9.05,€òòsupraóó.Ð ®  Ðà  à"Alibi"€is€a€theory€of€defense€which€may€be€submitted€to€the€jury€upon€a€proper€request€ifÐ t  Ðthere€is€a€foundation€in€the€evidence,€and€when€the€defendant's€presence€at€the€scene€of€the€crimeÐ `ü  Ðis€necessary€for€conviction.€€òòUnited€States€v.€Websteróó,€769€F.2d€487,€490€(8th€Cir.€1985).€€€Ð Lè  Ðà  àWhere€the€defendant's€presence€at€the€scene€is€not€necessary,€as€for€example€in€conspiracyÐ ®J Ðor€aiding€and€abetting€cases,€this€instruction€should€not€be€given.€€òòUnited€States€v.€Andersonóó,€654Ð š6 ÐF.2d€1264,€1270-71€(8th€Cir.€1981).€€Likewise€this€instruction€should€not€be€given€where€there€isÐ †" Ðno€foundation€in€the€evidence€or€if€it€has€not€been€requested.€€Ð  r ÐÖ€™—ìÖÓ €Óà@+ + ìàò òÔ% €& ÔÔ  Ô9.08.€€GOOD€FAITH€(Income€Tax€and€Fraud€Cases)Ô €S"$Ôó óˆÐ d ÐÌà  àÓ€ÓOne€of€the€issues€in€this€case€is€whether€the€defendant€acted€in€good€faith.€€Good€faith€is€aÐ <Ø Ðcomplete€defense€to€the€charge€of€(insert€charge)€if€it€is€inconsistent€with€(insert€mental€stateÐ ž : Ðrequired€by€statute,€e.g.,€intent€to€defraud€or€willfully)òò1óó€which€is€an€element€of€the€charge.€Ð  œ Ðà  à[(Insert€further€instruction€defining€good€faith€in€terms€of€the€particular€statute€andÐ b þ Ðrequisite€mental€state,€incorporating€the€specific€factors€on€which€the€defendant€relies,€ifÐ Ä `  Ðappropriate.)]òò2óó€Ð &  Ðà  àEvidence€that€the€defendant€acted€in€good€faith€may€be€considered€by€you,€together€withÐ ˆ$  Ðall€the€other€evidence,€in€determining€whether€or€not€[he]€[she]€acted€(insert€mental€state€requiredÐ ê†  Ðby€statute,€e.g.,€with€intent€to€defraud€or€willfully).Ó€ÓÓ €ÓÐ Lè  ÐÔ& : Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ®J Ðà  à1.€€òòSeeóó€Committee€Comments,€Instructions€7.01,€702,€òòsupraóó,€and€appropriate€elementsÐ ¬ Ðinstruction€from€Section€6,€òòsupraóó.€€"Mental€state"€as€used€in€this€instruction€refers€to€the€Ô':®(ÔintentÐ ü˜ Ðrequired€by€the€statute.€Ð è„ Ðà  à2.€€òòSeeóó€òòUnited€States€v.€Ammonsóó,€464€F.2d€414,€417€(8th€Cir.€1972).€€Some€examples€ofÐ Jæ Ðfurther€definitions€are€as€follows:€Ð 6Ò Ðà0  àa.€€Willfulness€-€preparing€a€false€return:€Ð˜4(#(# Ðà0  àà ` àIf€a€person€in€good€faith€believes€that€an€income€tax€return€as€prepared€by€[him]Ð ú– Ð[her],€truthfully€reports€the€taxable€income€and€allowable€deductions€of€the€taxpayerÐ æ‚  Ðunder€the€internal€revenue€laws,€that€person€cannot€be€guilty€of€willfully€preparing€orÐ Òn! Ðpresenting,€or€causing€to€be€prepared€or€presented,€a€false€or€fraudulent€return.€Ð¾Z"(#(# ÐòòSeeóó€òòUnited€States€v.€Koubaóó,€822€F.2d€768,€771€(8th€Cir.€1987).€€€Ð  !¼$ Ðà0  àb.€€Willfulness€-€failure€to€file€a€return:€Ð‚"&(#(# Ðà0  àà ` àIf€a€person€in€good€faith€believes€that€he€is€not€required€to€file€an€income€taxÐ ä#€( Ðreturn,€then€that€person€cannot€be€guilty€of€willfully€failing€to€file€a€return.€ÐÐ$l)(#(# ÐòòSeeóó€òòUnited€States€v.€Jerdeóó,€841€F.2d€818,€822€(8th€Cir.€1988).€€This€may€be€followed€with€aÐ 2&Î+ Ðfurther€explanation:€Ð 'º , Ðà0  àà ` àIn€this€connection,€it€is€for€you€to€decide€whether€the€defendant€acted€in€good€faithÐ €(". Ð--€that€is,€whether€he€sincerely€misunderstood€the€requirements€of€the€law€--€or€whetherÐ l)#/ Ðthe€defendant€knew€that€he€was€required€to€file€a€return€and€did€not€do€so.€€MereÐ X*ô#0 Ðdisagreement€with€the€law€in€and€of€itself€does€not€constitute€good€faith€misunderstandingÐ D+à$1 Ðof€the€requirements€of€the€law,€because€it€is€the€duty€of€all€persons€to€obey€the€lawÐ 0,Ì%2 Ðwhether€or€not€they€agree€with€it.€€Also,€a€person's€belief€that€the€tax€laws€violate€hisÐ d Ðconstitutional€rights€does€not€constitute€a€good€faith€misunderstanding€of€theÐ Pì Ðrequirements€of€the€law.€€Furthermore,€a€person's€disagreement€with€the€Government'sÐ <Ø Ðmonetary€system€and€policies€does€not€constitute€a€good€faith€misunderstanding€of€theÐ ( Ä Ðrequirements€of€the€law.€Ð °(#(# ÐòòSeeóó€òòUnited€States€v.€Milleróó,€634€F.2d€1134,€1135€(8th€Cir.€1980).Ð v  Ðà0  àc.€€Intent€to€defraud:€€ÐØ t(#(# Ðà0  àà ` àOne€who€expresses€an€opinion€honestly€held€by€him,€or€a€belief€honestlyÐ :Ö  Ðentertained€by€him,€is€not€chargeable€with€fraudulent€intent€even€though€his€opinion€isÐ &  Ðerroneous€or€his€belief€is€mistaken;€and,€similarly,€evidence€which€establishes€only€that€aÐ ®  Ðperson€made€a€mistake€in€judgment€or€an€error€in€management,€or€was€careless,€does€notÐ þš  Ðestablish€fraudulent€intent.Ðê† (#(# Ðà0  àà ` àOn€the€other€hand,€an€honest€belief€on€the€part€of€the€defendant€that€a€particularÐ Lè  Ðbusiness€venture€was€sound€and€would€ultimately€succeed€would€not,€in€and€of€itself,Ð 8Ô  Ðconstitute€"good€faith"€as€used€in€these€instructions€if,€in€carrying€out€that€venture,€theÐ $À Ðdefendant€knowingly€made€false€or€fraudulent€representations€to€others€with€the€specificÐ ¬ Ðintent€to€deceive€them.€Ðü˜(#(# ÐòòSeeóó€š2A€and€B€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rý7#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rG8#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%rŽ8#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rÝ8#Ôš:€€CriminalÐ ^ú Ððððð40.16,€67.25€(5th€ed.€2000).€€òòSee€alsoóó€òòUnited€States€v.€Ammonsóó,€464€F.2d€414,€417€(8th€Cir.Ð Jæ Ð1972);€òòUnited€States€v.€Caspersonóó,€773€F.2d€216,€222-24€(8th€Cir.€1985).€€Ð 6Ò Ðà0  àd.€€Reliance€on€advise€of€counsel:€€€Ð˜4(#(# Ðà0  àà ` àAdvice€of€counsel€is€not€a€defense€to€the€crime.€€It€is€only€a€circumstance€that€mayÐ ú– Ðbe€considered€in€determining€whether€the€defendant€acted€in€good€faith€and€lacked€(insertÐ æ‚ Ðmental€state€required€by€statute,€e.g.,€intent€to€defraud€or€willfulness).€ÐÒn(#(# Ðà0  àà ` àThe€defendant€would€not€be€acting€(insert€mental€state€required€by€statute,€e.g.,Ð 4 Ð  Ðwith€intent€to€defraud€or€willfully)€if,€before€taking€any€action€with€regard€to€the€allegedÐ  !¼! Ðoffense,€[he]€[she]€consulted€in€good€faith€an€attorney€whom€[he]€[she]€consideredÐ  "¨" Ðcompetent,€[and€for€the€purpose€of€securing€advice€on€the€lawfulness€of€[his]€[her]Ð ø"”# Ðpossible€future€conduct]€made€a€full€and€accurate€report€to€that€attorney€of€all€materialÐ ä#€$ Ðfacts€of€which€[he]€[she]€had€the€means€of€knowledge,€and€then€acted€strictly€inÐ Ð$l% Ðaccordance€with€the€advice€given€to€[him]€[her]€by€that€attorney.€€€Ð¼%X&(#(# Ðà0  àà ` àWhether€the€defendant€acted€in€good€faith€for€the€purpose€of€seeking€adviceÐ 'º ( Ðconcerning€questions€about€which€[he]€[she]€was€in€doubt,€and€whether€[he]€[she]€made€aÐ  (¦!) Ðfull€and€complete€report€to€that€attorney,€and€whether€[he]€[she]€acted€strictly€inÐ ö(’"* Ðaccordance€with€the€advice€[he]€[she]€received,€are€all€questions€for€you€to€determine.€Ðâ)~#+(#(# Ðà0  àà ` àAdvice€of€counsel€does€not€under€all€circumstances€confer€complete€immunity€onÐ D+à$- Ða€defendant.€€No€one€can€intentionally€and€knowingly€violate€the€law€and€excuseÐ 0,Ì%. Ð[himself]€[herself]€from€the€consequences€by€claiming€that€[he]€[she]€followed€advice€ofÐ d Ðcounsel.€ÐPì(#(# ÐòòSeeóó€òòUnited€States€v.€Poludniakóó,€657€F.2d€948,€958-59€(8th€Cir.€1981).€Ð ²N Ðà  àTo€be€entitled€to€the€advice€of€counsel€theory€of€defense,€the€defendant€must€haveÐ  ° Ðdisclosed€all€relevant€facts.€€òòUnited€States€v.€Hechtóó,€705€F.2d€976€(8th€Cir.€1983).€Ð  œ ÐÔ& N Ôà@55!ìàò òCommittee€Commentsó óˆÐ b þ Ðà  àòòSeeóó€òòUnited€States€v.€Ammonsóó,€464€F.2d€414,€417€(8th€Cir.€1972);€òòUnited€States€v.€Ô'Nb SCÔKoubaóó,Ð Ä `  Ð822€F.2d€768,€771€(8th€Cir.€1987).€€Ð °L  Ðà  àòòSee€alsoóó€Introductory€Comment,€Section€9,€and€Committee€Comments,€Instruction€9.05,Ð ®  Ðòòsupraóó.€Ð þš  Ðà  àThe€same€principles€apply€to€the€giving€of€a€good€faith€instruction€as€apply€to€theory€ofÐ `ü  Ðdefense€instructions€in€general.€€òòUnited€States€v.€Brakeóó,€596€F.2d€337,€339€(8th€Cir.€1979),Ð Lè  Ðholding:€Ð 8Ô  Ðà0  àà ` àThere€is€no€question€that€a€defendant€in€a€criminal€case€is€entitled€to€have€the€juryÐ š6 Ðknow€what€he€contends,€and€that€ordinarily€he€is€entitled€to€a€"theory€of€defense"€or€aÐ †" Ð"position"€instruction€if€he€makes€a€timely€request€for€such€an€instruction,€if€the€request€isÐ r Ðsupported€by€evidence,€and€if€it€sets€out€a€correct€declaration€of€law.€€òòUnited€States€v.Ð ^ú ÐHillóó,€589€F.2d€1344€(8th€Cir.€1979);€òòUnited€States€v.€Rabbittóó,€583€F.2d€1014€(8th€Cir.Ð Jæ Ð1978);€òòUnited€States€v.€Nanceóó,€502€F.2d€615€(8th€Cir.€1974).Ð6Ò(#(# Ðà0  àà ` àHowever,€a€defendant€is€not€entitled€to€a€particularly€worded€instruction€settingÐ ˜4 Ðout€his€position€where€the€instructions€actually€given€by€the€trial€judge€adequately€andÐ „  Ðcorrectly€cover€the€substance€of€the€requested€instruction.€€òòUnited€States€v.€Brownóó,€540Ð p  ÐF.2d€364,€380€(8th€Cir.€1976).€€And,€of€course,€the€instructions€of€the€trial€court€must€beÐ \ø Ðconsidered€as€a€whole.ÐHä(#(# ÐòòSee€alsoóó€òòUnited€States€v.€Cegelkaóó,€853€F.2d€627,€628-29€(8th€Cir.€1988);€òòUnited€States€v.€Jerdeóó,Ð ª F! Ð841€F.2d€818,€823€(8th€Cir.€1988);€òòUnited€States€v.€Caspersonóó,€773€F.2d€216,€223€(8th€Cir.Ð –!2" Ð1985).€€Ð ‚"# Ðà  àSince€a€good€faith€instruction€is€essentially€a€converse€of€the€intent€to€defraud€instruction,Ð ä#€% Ðadequate€instructions€on€intent€to€defraud€have€been€held€sufficient€to€present€the€issue€to€theÐ Ð$l& Ðjury,€especially€where€no€good€faith€instruction€was€requested.€€òòSeeóó,€òòe.g.óó,€òòUnited€States€v.Ð ¼%X' ÐSchereróó,€653€F.2d€334,€338€(8th€Cir.€1981).€€òòBut€seeóó€òòUnited€States€v.€Gossóó,€650€F.2d€1336,Ð ¨&D ( Ð1344-45€(5th€Cir.€1981)€(reversible€error€to€refuse€a€requested€good€faith€instruction€in€mail€fraudÐ ”'0!) Ðcase;€instruction€requiring€specific€intent€insufficient€to€direct€jury's€attention€to€good€faithÐ €("* Ðdefense).€€Ð l)#+ Ðà  àThe€general€good€faith€instruction€for€mail€fraud€cases€approved€in€this€circuit€is€found€inÐ Î*j$- ÐòòUnited€States€v.€Ammonsóó,€464€F.2d€at€417€and€reads€as€follows:€€Ð º+V%. Ðà0  àà ` àFraudulent€intent€is€not€presumed€or€assumed;€it€is€personal€and€not€imputed.€€OneÐ d Ðis€chargeable€with€his€own€personal€intent,€not€the€intent€of€some€other€person.€€Bad€faithÐ Pì Ðis€an€essential€element€of€fraudulent€intent.€€Good€faith€constitutes€a€complete€defense€toÐ <Ø Ðone€charged€with€an€offense€of€which€fraudulent€intent€is€an€essential€element.€€One€whoÐ ( Ä Ðacts€with€honest€intention€is€not€chargeable€with€fraudulent€intent.€€Evidence€whichÐ  ° Ðestablishes€only€that€a€person€made€a€mistake€in€judgement€or€an€error€in€management,€orÐ  œ Ðwas€careless,€does€not€establish€fraudulent€intent.€€In€order€to€establish€fraudulent€intentÐ ì ˆ Ðon€the€part€of€a€person,€it€must€be€established€that€such€person€knowingly€andÐ Ø t Ðintentionally€attempted€to€deceive€another.€€One€who€knowingly€and€intentionallyÐ Ä ` Ðdeceives€another€is€chargeable€with€fraudulent€intent€notwithstanding€the€manner€andÐ °L  Ðform€in€which€the€deception€was€attempted.€Ðœ8 (#(# Ðà  àòòSee€alsoóó€òòCaspersonóó,€773€F.2d€at€223,€holding:€€"The€òòAmmonsóó€instruction€they€profferedÐ þš  Ðhas€previously€been€approved€by€this€court€and€is€an€acceptable€statement€of€the€applicable€law."€Ð ê†  ÐòòCaspersonóó€went€on€to€hold€that€the€failure€to€give€any€good€faith€instruction€was€reversible€error.€Ð Ör  Ðà  àA€good€faith€instruction€must€make€it€clear€to€the€jury€that€good€faith€would€be€anÐ 8Ô  Ðabsolute€defense€to€the€crime.€€òòUnited€States€v.€Nanceóó,€502€F.2d€615,€620€(8th€Cir.€1974).€€BothÐ $À ÐòòAmmonsóó€and€òòNanceóó€suggest€but€do€not€require€that€a€good€faith€instruction€incorporate€theÐ ¬ Ðspecific€factors€on€which€the€appellant€relied€to€show€he€acted€in€good€faith.€€464€F.2d€at€417;Ð ü˜ Ð502€F.2d€at€620.€€An€example€of€such€an€instruction€was€approved€in€òòUnited€States€v.€Kimmelóó,Ð è„ Ð777€F.2d€290,€292-93€n.l€(5th€Cir.€1985).€€However,€òòAmmonsóó€makes€clear€that€"[t]he€jury€needÐ Ôp Ðnot€be€instructed€on€every€inference€that€it€might€draw€bearing€on€the€issue€of€good€faith."€€464Ð À\ ÐF.2d€at€417.€€òòNanceóó€found€a€proposed€instruction€which€was€long€and€verbose€and€contained€aÐ ¬H Ðdetailed€description€of€the€purported€evidence€and€inferences€drawn€therefrom€by€defenseÐ ˜4 Ðcounsel€did€not€meet€a€standard€of€adequacy.€€502€F.2d€at€619.€€A€good€faith€instruction€is€notÐ „  Ðrequired€where€it€is€not€supported€by€the€evidence.€€òòUnited€States€v.€Shereróó,€653€F.2d€at€337€(theÐ p  Ðdefendant€doctor€claimed€to€have€actually€treated€patient,€not€that€bills€were€the€result€of€mistakeÐ \ø Ðor€inadvertence).€€Ð Hä Ðà  àGood€faith€instructions€in€tax€cases€which€have€been€found€proper€include€òòUnited€StatesÐ ª F Ðv.€Koubaóó,€822€F.2d€at€771€and€òòUnited€States€v.€Jerdeóó,€841€F.2d€at€822.€€In€both€of€those€cases€theÐ –!2 Ðcourt€also€defined€"good€faith"€for€the€jury€using€or€paraphrasing€the€definition€from€Black's€LawÐ ‚"  ÐDictionary€623€(5th€ed.€1979).€€òòKoubaóó,€822€F.2d€at€771;€òòJerdeóó,€841€F.2d€at€822.€€òòSee€alsoóó€š2BÐ n# ! ÐKevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r”]#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÞ]#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r%^#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rt^#Ôš:€€Criminal€ðð67.25€(5thÐ Z$ö" Ðed.€2000).€€The€jury€may€also€be€instructed€as€to€what€is€not€included€in€a€good€faith€defense.€Ð F%â# ÐòòUnited€States€v.€Milleróó,€634€F.2d€1134€(8th€Cir.€1980).€€For€an€example€of€a€good€faith€defenseÐ 2&Î$ Ðbased€on€reliance€on€the€Fifth€Amendment€in€a€tax€case,€see€òòUnited€States€v.€Reedóó,€670€F.2d€622,Ð 'º % Ð624€(5th€Cir.€1982).€Ð  (¦!& Ðà  àIt€should€be€noted€that€"good€faith"€is€only€a€defense€where€the€defendant's€mental€state€isÐ l)#( Ðone€of€the€elements€of€the€offense.€€Ð  X*ô#) КÖ€›„ìúÖÑ  ÑÖ€œ™ìÖÓ €Óà@x x ìàÔ% €' ÔÔ  Ôò ò10.00.€€SUPPLEMENTAL€INSTRUCTIONSˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ it¨aԈРˆØ ÐÌà  àThis€section€addresses€instructions€which€may€be€given€after€the€jury€has€begun€itsÐ `° Ðdeliberations.€Ð  L œ° ÐÖ€žœìÖà@; ; ìàò òÔ% €( ÔÔ  Ô10.01.€€RESPONSE€TO€QUESTIONS€NECESSITATING€ˆÐ d Ðà@¤ ¤ ìàSUPPLEMENTAL€INSTRUCTIONSÔ itcÔó óˆÐ Pì ÐÌÓ€ÓMEMBERS€OF€THE€JURY:€Ð ( Ä Ðà  àI€have€received€a€note€signed€by€your€foreperson€which€reads€as€follows:€Ð Š & Ðà@‚‚"ìà"(Insert€note.)"€ˆÐ ì ˆ Ðà@::!ìà(Insert€response.)ˆÐ N ê  Ðà  à[[This]€[these]€instruction[s]€should€be€taken€together€with€the€instructions€I€previouslyÐ °L  Ðgave€to€you.€€The€instructions€must€be€considered€as€a€whole.€€[Remember€that€the€defendant€isÐ ®  Ðpresumed€to€be€innocent€and€this€presumption€can€be€overcome€only€if€the€Government€proves,Ð t  Ðbeyond€a€reasonable€doubt,€each€element€of€the€crime€charged.òò1óó]]òò2óóÓ€ÓÓ €ÓÐ Ör  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ 8Ô  Ðà  à1.€€This€language€is€recommended€if€the€burden€of€proof€or€presumption€of€innocence€isÐ š6 Ðnot€otherwise€covered€in€the€supplemental€instruction.€Ð †" ÐÔ'œ8¼fÔà  à2.€€This€paragraph€is€recommended€if€supplemental€instructions€are€given€or€originalÐ è„ Ðinstructions€are€reread.€Ð Ôp ÐÔ& œ Ôà@55!ìàò òCommittee€Commentsó óˆÐ 6Ò Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%ri#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rJi#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r‘i#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%rài#Ôš:€€CriminalÐ ˜4 Ððð20.07€(5th€ed.€2000).€Ð „  ÐÔ'œ6{hÔà  àThe€response€to€a€jury€request€for€supplemental€instructions€is€a€matter€within€the€soundÐ æ‚  Ðdiscretion€of€the€trial€judge.€€òòUnited€States€v.€Skardaóó,€845€F.2d€1508,€1512€(8th€Cir.€1988);Ð Òn! ÐòòUnited€States€v.€Neissóó,€684€F.2d€570,€572€(8th€Cir.€1982);€òòUnited€States€v.€Piattóó,€679€F.2d€1228,Ð ¾Z" Ð1231€(8th€Cir.€1982).€€If€a€supplemental€instruction€is€given,€it€must€be€responsive.€€"When€a€juryÐ ª F# Ðmakes€explicit€its€difficulties€a€trial€judge€should€clear€them€away€with€concrete€accuracy."€Ð –!2$ ÐòòBollenbach€v.€United€Statesóó,€326€U.S.€607,€612-13€(1946);€òòUnited€States€v.€Skardaóó,€845€F.2d€atÐ ‚"% Ð1512;€òòUnited€States€v.€Neissóó,€684€F.2d€at€572;€òòUnited€States€v.€Piattóó,€679€F.2d€at€1231.€€TheÐ n# & Ðdiscretion€of€the€court€goes€to€the€decision€to€reply€and,€if€a€reply€is€given,€whether€that€replyÐ Z$ö' Ðshould€refer€back€to€or€reread€instructions€already€given€or€consist€of€new€instructions.€€AÐ F%â( Ðresponse€need€not€address€more€than€the€question€specifically€requested.€€òòUnited€States€v.€Piattóó,Ð 2&Î) Ð679€F.2d€at€1231.€€Thus,€there€is€no€requirement€that€all€instructions€be€reread.€€òòUnited€States€v.Ð 'º * ÐPiattóó,€679€F.2d€at€1231;€òòUnited€States€v.€Humphreyóó,€696€F.2d€72,€75€(8th€Cir.€1982).€€"[A]€trialÐ  (¦!+ Ðcourt€is€not€required€to€speculate€upon€the€purpose€of€the€jury's€inquiry€during€its€deliberations[;]Ð ö(’", Ðthe€court,€if€it€chooses€to€reply,€should€answer€the€inquiry€within€the€specific€limits€of€theÐ â)~#- Ðquestions€presented."€€òòUnited€States€v.€Neissóó,€684€F.2d€at€572.€€òòSee€alsoóó€òòUnited€States€v.€Arpanóó,Ð Î*j$. Ð887€F.2d€873€(8th€Cir.€òòen€bancóó€1989).€Ð º+V%/ Ðà  àAny€supplemental€instructions€must€be€impartial.€€"A€trial€judge€must€be€painstakinglyÐ d Ðimpartial€anytime€he€communicates€with€the€jury€during€deliberations.€€He€must€insure€that€anyÐ Pì Ðsupplemental€instructions€are€accurate,€clear,€neutral€and€nonprejudicial."€€òòUnited€States€v.Ð <Ø ÐSkardaóó,€845€F.2d€at€1512.€€Accuracy€may€sometimes€require€a€response€which€correctly€states€theÐ ( Ä Ðlaw€rather€than€a€yes€or€no€answer€which€would€not€help€the€jury€address€the€issues€it€is€supposedÐ  ° Ðto€decide.€€òòSeeóó€òòUnited€States€v.€Felakóó,€831€F.2d€794,€798€(8th€Cir.€1987).€€If€the€response€isÐ  œ Ðalready€contained€in€the€jury€instructions,€a€reference€to€the€original€charge€is€all€that€isÐ ì ˆ Ðnecessary.€€òòUnited€States€v.€Whiteóó,€794€F.2d€367,€370€(8th€Cir.€1986)€(definition€of€conspiracy).€Ð Ø t ÐòòSee€alsoóó€òòUnited€States€v.€Hicksóó,€619€F.2d€752,€758€(8th€Cir.€1980)€(jury€told€to€considerÐ Ä ` Ðinstructions€as€a€whole€in€response€to€inquiry€about€discrepancy€in€wording€between€indictmentÐ °L  Ðand€instructions).€Ð œ8  Ðà  àGenerally€an€instruction€setting€out€the€elements€of€an€offense€or€defining€a€term€thereinÐ þš  Ðis€considered€neutral.€€If€the€jury€requests€a€rereading€of€such€an€instruction,€the€court€mayÐ ê†  Ðproperly€limit€its€reinstruction€to€the€issues€requested,€and€is€not€required€to€also€rereadÐ Ör  Ðinstructions€setting€out€the€defendant's€theory.€€òòUnited€States€v.€Neissóó,€684€F.2d€at€572;€òòUnitedÐ Â^  ÐStates€v.€Skardaóó,€845€F.2d€at€1512€(citing€òòFelakóó,€831€F.2d€at€798€and€òòHumphreyóó,€696€F.2d€at€75).€Ð ®J Ðà  àWhile€not€required,€the€better€practice€is€to€remind€the€jury€to€consider€supplementalÐ ¬ Ðinstructions€in€the€context€of€all€instructions.€€òòSkardaóó,€845€F.2d€at€1512;€òòUnited€States€v.€Piattóó,Ð ü˜ Ð679€F.2d€at€1231.€€Likewise€reinstruction€on€reasonable€doubt€and€presumption€of€innocence,Ð è„ Ðwhile€not€required,€helps€assure€impartiality.€€òòSeeóó,€òòe.g.óó,€òòPiattóó,€679€F.2d€at€1231.€Ð Ôp Ðà  àWhere€the€court€has€granted€a€jury's€request€for€specific€evidence€during€deliberations,Ð 6Ò Ðsuch€as€the€replaying€of€a€tape€recording,€it€is€likewise€good€practice€to€caution€the€jury€toÐ "¾ Ðconsider€that€evidence€in€the€context€of€all€the€evidence.€€òòUnited€States€v.€Koesselóó,€706€F.2d€271,Ð ª Ð275€(8th€Cir.€1983).€€Ð  ú– ÐÖ€ žìÖÓ €Óà@R R ìàò òÔ% €) ÔÔ  Ô10.02.€€DUTY€TO€DELIBERATE€("òòAllenóó"€Charge)Ô itù|Ôó óˆÐ d ÐÌà  àÓ€ÓAs€stated€in€my€instructions,€it€is€your€duty€to€consult€with€one€another€and€to€deliberateÐ <Ø Ðwith€a€view€to€reaching€agreement€if€you€can€do€so€without€violence€to€your€individual€judgment.€Ð ž : ÐOf€course€you€must€not€surrender€your€honest€convictions€as€to€the€weight€or€effect€of€theÐ  œ Ðevidence€solely€because€of€the€opinions€of€other€jurors€or€for€the€mere€purpose€of€returning€aÐ b þ Ðverdict.€€Each€of€you€must€decide€the€case€for€yourself;€but€you€should€do€so€only€afterÐ Ä `  Ðconsideration€of€the€evidence€with€your€fellow€jurors.€Ð &  Ðà  àIn€the€course€of€your€deliberations€you€should€not€hesitate€to€re-examine€your€own€views,Ð ˆ$  Ðand€to€change€your€opinion€if€you€are€convinced€it€is€wrong.€€To€bring€twelve€minds€to€aÐ ê†  Ðunanimous€result€you€must€examine€the€questions€submitted€to€you€openly€and€frankly,€withÐ Lè  Ðproper€regard€for€the€opinions€of€others€and€with€a€willingness€to€re„examine€your€own€views.Ð ®J Ðà  àRemember€that€if€in€your€individual€judgment€the€evidence€fails€to€establish€guilt€beyondÐ ¬ Ða€reasonable€doubt,€then€the€defendant€should€have€your€vote€for€a€not€guilty€verdict.€€If€all€ofÐ r Ðyou€reach€the€same€conclusion,€then€the€verdict€of€the€jury€must€be€not€guilty.€€Of€course€theÐ Ôp Ðopposite€also€applies.€€If€in€your€individual€judgment€the€evidence€establishes€guilt€beyond€aÐ 6Ò Ðreasonable€doubt,€then€your€vote€should€be€for€a€verdict€of€guilty€and€if€all€of€you€reach€thatÐ ˜4 Ðconclusion€then€the€verdict€of€the€jury€must€be€guilty.€€As€I€instructed€you€earlier,€the€burden€isÐ ú–  Ðupon€the€Government€to€prove€beyond€a€reasonable€doubt€every€element€of€the€crime[s]€charged.Ð \ø" Ðà  àFinally,€remember€that€you€are€not€partisans;€you€are€judges€-„€judges€of€the€facts.€€YourÐ ¾Z$ Ðsole€interest€is€to€seek€the€truth€from€the€evidence.€€You€are€the€judges€of€the€credibility€of€theÐ  !¼& Ðwitnesses€and€the€weight€of€the€evidence.Ð ‚"( Ðà  àYou€may€conduct€your€deliberations€as€you€choose.€€But€I€suggest€that€you€carefullyÐ ä#€* Ð[re]consider€all€the€evidence€bearing€upon€the€questions€before€you.€€You€may€take€all€the€timeÐ F%â, Ðthat€you€feel€is€necessary.Ð ¨&D . Ðà  àThere€is€no€reason€to€think€that€another€trial€would€be€tried€in€a€better€way€or€that€a€moreÐ  (¦!0 Ðconscientious,€impartial€or€competent€jury€would€be€selected€to€hear€it.€€Any€future€jury€must€beÐ l)#2 Ðselected€in€the€same€manner€and€from€the€same€source€as€you.€€If€you€should€fail€to€agree€on€aÐ Î*j$4 Ðverdict,€the€case€is€left€open€and€must€be€disposed€of€at€some€later€time.òò1óóÐ 0,Ì%6 Ðà  à[Please€go€back€now€to€finish€your€deliberations€in€a€manner€consistent€with€your€goodÐ d Ðjudgment€as€reasonable€persons.]òò2óó€Ó€ÓÓ €ÓÐ Æb ÐÔ& & Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ ( Ä Ðà  à1.€€A€more€expanded€version€of€this€instruction,€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r“Š#ÔÐ Š & ÐJÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rñŠ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r8‹#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r‡‹#Ôš:€€Criminal€ðð€20.08€(5th€ed.€2000),€has€been€approved€by€thisÐ v  ÐÔ'&( í‰ÔCircuit.€€òòSee€United€States€v.€Smithóó,€635€F.2d€716,€722-23€(8th€Cir.€1980);€òòUnited€States€v.Ð b þ ÐSingletaryóó,€562€F.2d€1058,€1060-61€(8th€Cir.€1977);€òòUnited€States€v.€Hechtóó,€705€F.2d€976,€979Ð N ê  Ð(8th€Cir.€1983).€Ð :Ö  Ðà  à2.€€Use€this€sentence€when€this€charge€is€being€given€after€deliberations€have€begun.Ð œ8  ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ þš  Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%rSŽ#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rŽ#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%räŽ#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r3#Ôš:€€CriminalÐ `ü  Ððð20.08€(5th€ed.€2000)Ô':þÎÔ.€Ð Lè  Ðà  àIt€is€preferable€that€an€"òòAllenóó"€type€instruction€be€given€as€part€of€the€regular€finalÐ ®J Ðinstructions,€before€the€jurors€begin€their€deliberations.€€òòUnited€States€v.€Webbóó,€816€F.2d€1263,Ð š6 Ð1266€n.4€(8th€Cir.€1987);€òòPotter€v.€United€Statesóó,€691€F.2d€1275,€1277€(8th€Cir.€1982),€and€casesÐ †" Ðcited€therein.€€òòSeeóó€Instruction€3.12,€òòsupraóó.Ð r Ðà  àIf€that€has€been€done,€and€if€the€circumstances€are€appropriate,€either€the€same€instructionÐ Ôp Ðmay€be€repeated€later€or€this€instruction€10.02€may€be€given€if€the€jury€announces€difficulty€inÐ À\ Ðreaching€a€verdict.€€òòUnited€States€v.€Singletaryóó,€562€F.2d€1058,€1061€(8th€Cir.€1977);€òòUnitedÐ ¬H ÐStates€v.€Cortezóó,€935€F.2d€135,€140€(8th€Cir.€1991).€€òòSee€alsoóó€ABA€Standards€Relating€to€Trial€byÐ ˜4 ÐJury€ðð€5.4.€Ð „  Ðà  àThe€language€of€this€instruction€covers€the€essential€points€of€the€traditional€"òòAllenóó"Ð æ‚ Ðcharge,€taken€from€the€instruction€approved€in€òòUnited€States€v.€Smithóó,€635€F.2d€716,€722-23€(8thÐ Òn ÐCir.€1980).€€Judge€Gibson€noted€in€òòPotteróó,€691€F.2d€at€1277€that€"caution€...€dictates€...€thatÐ ¾Z  Ðtrial€courts€should€avoid€substantial€departures€from€the€formulations€of€the€charge€that€haveÐ ª F! Ðalready€received€judicial€approval."€€This€instruction€has€been€approved€in€òòUnited€States€v.Ð –!2" ÐThomasóó,€946€F.2d€73€(8th€Cir.€1991).€€Ð ‚"# Ðà  àAccording€to€the€holding€in€òòPotteróó,€it€would€be€permissible€to€give€the€present€instructionÐ ä#€% Ðas€a€supplemental€charge€upon€deadlock,€in€lieu€of€repeating€the€paragraphs€under€the€"Second"Ð Ð$l& Ðpoint€in€Instruction€3.12,€òòsupraóó.€Ð ¼%X' Ðà  àAs€to€when€and€in€what€circumstances€a€supplemental€instruction€may€be€appropriate,€òòseeÐ 'º ) Ðgenerallyóó€òòPotter€v.€United€Statesóó;€òòUnited€States€v.€Smithóó,€635€F.2d€716€(8th€Cir.€1980).€€As€theÐ  (¦!* ÐEighth€Circuit€has€repeatedly€cautioned,€supplemental€charges€of€this€nature€should€be€utilizedÐ ö(’"+ Ðwith€"great€care."€€òòUnited€States€v.€Youngóó,€702€F.2d€133€(8th€Cir.€1983);€òòPotter€v.€United€Statesóó;Ð â)~#, Ðâ âòòUnited€States€v.€Smithóó.Ð Î*j$- Ðà  àIt€is€not€necessarily€reversible€error€for€the€trial€court€to€give€a€supplemental€instructionÐ d Ðâ âòòsua€sponteóó€and€even€without€direct€announcement€by€the€jury€of€its€difficulty.€€òòUnited€States€v.Ð Pì ÐSmithóó.€€The€safe€practice,€however,€would€be€to€give€such€an€instruction€only€after€the€jury€hasÐ <Ø Ðdirectly€communicated€its€difficulty€or€the€length€of€time€spent€in€deliberations,€compared€withÐ ( Ä Ðthe€nature€of€the€issues€and€length€of€trial,€and€makes€it€clear€that€difficulty€does€exist.€€AÐ  ° Ðpremature€supplemental€charge€certainly€could,€in€an€appropriate€case,€be€sufficient€cause€forÐ  œ Ðreversal.€Ð ì ˆ Ðà  àThe€trial€court€may€make€reasonable€inquiries€to€determine€if€a€jury€is€truly€deadlocked,Ð N ê Ðbut€may€not€ask€the€jury€of€the€nature€and€extent€of€its€division.€€òòLowenfield€v.€Phelpsóó,€484€U.S.Ð :Ö  Ð231€(1988);€òòBrasfield€v.€United€Statesóó,€272€U.S.€448€(1926);€òòUnited€States€v.€Webbóó,€816€F.2d€atÐ &  Ð1266.€€The€fact€that€the€court€inadvertently€learns€the€division€of€the€jurors€does€not,€by€itself,Ð ®  Ðprevent€the€giving€of€a€supplemental€charge.€€òòUnited€States€v.€Cookóó,€663€F.2d€808€(8th€Cir.Ð þš  Ð1981);€òòAnderson€v.€United€Statesóó,€262€F.2d€764,€773-74€(8th€Cir.€1959).€€Such€an€instruction€canÐ ê†  Ðbe€coercive,€however,€where€the€sole€dissenting€juror€is€aware€that€the€court€knows€his€identity.€Ð Ör  ÐòòUnited€States€v.€Sae„Chuaóó,€725€F.2d€530€(9th€Cir.€1984).€€Ð Â^  Ðà  àIn€this€Circuit€the€defendant€does€not€have€a€right€to€an€instruction€that€the€jury€has€theÐ $À Ðright€to€reach€no€decision.€€òòUnited€States€v.€Arpanóó,€887€F.2d€873€(8th€Cir.€òòen€bancóó€1989).€Ð  ¬ ÐÖ€¢ ØÖÓ €Óà@Ä Ä ìàò òÔ% €* ÔÔ  Ô10.03.€€RETURN€TO€DELIBERATIONS€AFTER€POLLINGÔ ).Ÿ¡Ôó óˆÐ d ÐÌà  àÓ€ÓThe€poll€of€the€jury€shows€that€there€is€not€a€unanimous€verdict.€€Please€return€to€the€juryÐ <Ø Ðroom€and€continue€your€deliberations.€€Ó€ÓÓ €ÓÐ ž : ÐÔ& : Ôà@55!ìàò òCommittee€Commentsó óˆÐ  œ Ðà  àòòSeeóó€š1A€Kevin€F.€OððMalley,€et€al.,€FÔ‡Û%rÚXXw,ÔEDERALÔ#†Xw,XÚÛ%r|£#Ô€JÔ‡Û%rÚXXw,ÔURYÔ#†Xw,XÚÛ%rÆ£#Ô€PÔ‡Û%rÚXXw,ÔRACTICE€ANDÔ#†Xw,XÚÛ%r ¤#Ô€IÔ‡Û%rÚXXw,ÔNSTRUCTIONSÔ#†Xw,XÚÛ%r\¤#Ôš:€€CriminalÐ b þ Ððð20.09€(5th€ed.€2000)Ô': ÷¢Ô.€Ð N ê  Ðà  àUnder€Rule€31(d),€Fed.€R.€Crim.€P.,€the€court€has€the€discretion,€when€a€poll€of€the€juryÐ °L  Ðdoes€not€reveal€unanimous€concurrence€in€the€verdict,€to€either€discharge€the€jury€or€direct€theÐ œ8  Ðjury€to€continue€deliberations.€€òòUnited€States€v.€Williamsóó,€873€F.2d€1102€(8th€Cir.€1989);€òòUnitedÐ ˆ$  ÐStates€v.€Johnsonóó,€720€F.2d€519,€521€(8th€Cir.€1983).€€Concurrence€means€agreeing€that€theÐ t  Ðelements€of€the€offense€have€been€proved€beyond€a€reasonable€doubt.€€Reservations€of€a€jurorÐ `ü  Ðgoing€to€extraneous€matters,€such€as€the€conduct€of€defense€counsel,€does€not€affect€theÐ Lè  Ðunanimity€or€certainty€of€the€verdict€where€the€juror€agrees€that€the€elements€have€been€provedÐ 8Ô  Ðbeyond€a€reasonable€doubt.€€òòUnited€States€v.€Antwineóó,€873€F.2d€1144€(8th€Cir.€1989).€Ð $À Ðà  àIf€a€jury€is€sent€back€for€further€deliberations€it€may€be€instructed€on€the€requirement€ofÐ †" Ðunanimity.€€òòSeeóó€Committee€Comments,€Instructions€3.12€and€10.02,€òòsupraóó.€Ð  r ÐÓ €Óà@ââìàÖ€¤¢ìÖò òÔ% €+ ÔÔ  Ô10.04.€€PARTIAL€VERDICTÔ ntß©Ô€òò1óóó óˆÐ d ÐÌÓ€Óà  àMembers€of€the€jury,€if€you€have€reached€unanimous€agreement€as€to€[some€of€theÐ <Ø Ðdefendants]òò2óó€[and/or]€[some€of€the€counts]òò3óó,€you€may€return€a€verdict€as€to€[those€defendants]Ð ž : Ð[and/or]€[those€counts],€and€then€continue€deliberating€on€the€others.Ð  œ Ðà  àIf€you€do€choose€to€return€a€verdict€as€to€[some€of€the€defendants]€[and/or]€[some€of€theÐ b þ Ðcounts]€now,€that€verdict€will€be€final.€€You€will€not€be€able€to€change€your€minds€about€it€laterÐ Ä `  Ðon.Ó€ÓÓ €ÓÐ &  ÐÔ& ˆ Ôà@ÇÇ$ìàò òNotes€on€UseˆÐ ˆ$  Ðà  àó ó1.€€This€instruction€should€be€used€if€the€jurors€ask€about,€attempt€to€return,€or€otherwiseÐ ê†  Ðindicate€that€they€have€reached€a€partial€verdict.€€It€may€also€be€appropriate€after€extendedÐ Ör  Ðdeliberations.Ð Â^  ÐÔ'ˆˆìÔà  à2.€€Omit€this€language€when€there€is€a€single€defendant.Ð $À Ðà  à3.€€Omit€this€language€when€there€is€a€single€count.Ð †" ÐÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ è„ Ðà  àRule€31(b)€of€the€Federal€Rules€of€Criminal€Procedure€permits€the€return€of€a€verdict€atÐ Jæ Ðany€time€during€the€juryððs€deliberation€as€to€any€defendant€or€any€count€about€which€it€hasÐ 6Ò ÐÔ'&èÜ®Ôagreed.€òò€See€United€States€v.€Harenóó,€952€F.2d€190,€197€(8òòthóó€Cir.€1991).€€The€Eighth€Circuit€joinsÐ "¾ Ðall€other€circuits€which€have€addressed€the€issue€in€holding€that€the€practice€of€taking€a€partialÐ ª Ðverdict€in€a€single„defendant€case€is€not€per€se€invalid.€€òòUnited€States€v.€Benedictóó,€95€F.3d€17,€19Ð ú– Ð(8òòthóó€Cir.€1996).Ð æ‚ Ðà  àThis€instruction€is€not€mandatory,€òòsee€United€States€v.€Dilapióó,€651€F.2d€140,€146„47€(2dÐ Hä! ÐCir.€1981);€Rule€31(b)€only€requires€that€the€district€court€judge€accept€a€partial€verdict€uponÐ 4 Ð" Ðrequest,€and€refrain€from€instructing€the€jury€that€they€may€not€return€a€partial€verdict.€€òòSeeÐ  !¼# ÐUnited€States€v.€Burkeóó,€700€F.2d€70,€80€(2d€Cir.€1983).€€Because€of€prolonged€jury€deliberation,Ð  "¨$ Ðin€its€discretion€a€district€court€may€give€the€partial€verdict€instruction,€or€instruct€the€jury€in€anÐ ø"”% Ðevenhanded,€non„coercive€manner€that€it€would€prefer€a€unanimous€verdict€if€accomplishedÐ ä#€& Ðwithout€any€juror€yielding€a€conscientious€conviction€which€he€or€she€may€have.€€òòSee€UnitedÐ Ð$l' ÐStates€v.€Cortezóó,€935€F.2d€135,€140„42€(8òòthóó€Cir.€1991)€(citing€òòAllen€v.€United€Statesóó,€164€U.S.Ð ¼%X( Ð492(1896)).€€òòSee€alsoóó€Instruction€10.02,òò€supraóó.Ð  ¨&D ) КšÖ€¦›ìÖÓ €ÓÑ  ÑÖ€§¤Ø Öà@rr ìàÔ% €, ÔÔ  Ôò ò11.00.€€VERDICT€FORMSˆÐ ° ÐÌà@ ìàIntroductory€Commentó óÔ €FH¶ÔˆÐ ˆØ ÐÌà  àThis€section€includes€sample€verdict€forms€for€a€general€verdict,€a€verdict€on€a€lesserÐ `° Ðoffense€instruction,€and€a€verdict€followed€by€special€findings.€€The€verdict€forms€set€forth€in€thisÐ L œ Ðsection€are€not€intended€to€be€a€comprehensive€list€of€verdict€forms.Ð  8 ˆ КÖ€©§ì Öà@ìììàò òÔ% €- ÔÔ  Ô11.01.€€GENERAL€VERDICTÔ €F_¸Ôó óˆÐ d ÐÌÓ€Óà@=='ìàVERDICTˆÐ <Ø ÐÓ€Óà  àWe,€the€jury,€find€Defendant€(name)€_______________of€the€crime€of€(insert€briefÐ ž : Ðà  àà ` àà ¸ àà  àà h àà À à€€€€€[guilty/not€guilty]Ó€ÓÐ Š & Ðdescription,€e.g.,€"bank€robbery")€[as€charged€in€Count€_____€of€the€indictment]€[underÐ ì ˆ ÐInstruction€No.€_____€].òò1óóÐ N ê  ÐÓ€ÓÌà  àà ` àà ¸ àà  àà h àà À àà  à____________________________________Ð œ8  Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ ˆ$  Ð_______________Ð t  Ð(Date)Ó €ÓÐ `ü  ÐÔ& œ Ôà@ÇÇ$ìàò òNotes€on€Useó óˆÐ Â^  Ðà  à1.€€òòSeeóó€Instructions€3.09€and€3.12,€òòsupraóó.€€If€the€elements€instruction€does€not€refer€to€aÐ $À Ðcount€in€the€indictment,€the€verdict€form€should€refer€to€the€elements€instruction.šÐ ¬ ÐÔ'œÂ¼ÔÔ& & Ôà@55!ìàò òCommittee€Commentsó óˆÐ r Ðà  àGeneral€verdicts€are€preferred€in€criminal€cases;€verdicts€based€on€special€interrogatoriesÐ Ôp Ðand€answers€have€been€held€to€be€inappropriate.€€òòGray€v.€United€Statesóó,€174€F.2d€919€(8th€Cir.Ð À\ ÐÔ'&rK½Ô1949).€€A€"step„by„step"€approach€to€reaching€a€verdict€in€a€criminal€case€has€been€described€asÐ ¬H Ðcreating€the€unacceptable€possibility€of€judicial€control€of€a€verdict€by€the€manner€in€whichÐ ˜4 Ðquestions€to€the€jury€are€framed.€€òòUnited€States€v.€Spockóó,€416€F.2d€165,€182€(1st€Cir.€1969).€€òòCf.Ð „  ÐUnited€States€v.€Melvinóó,€27€F.3d€710,€716€(1st€Cir.€1994)€(discussing€when€exceptions€to€ruleÐ p  Ðagainst€special€interrogatories€are€appropriate€under€òòSpockóó).€€As€a€corollary€to€the€concern€overÐ \ø Ðjudicial€control,€a€court€may€not€"bifurcate"€the€elements€of€an€offense€so€that€a€jury€is€precludedÐ Hä Ðfrom€considering€all€elements€of€the€charged€offense,€thus€being€deprived€of€information€thatÐ 4 Ð  Ðwould€be€likely€to€affect€the€jury's€assessment€of€whether€a€crime€had€been€committed€andÐ  !¼! Ðproved.€€òòUnited€States€v.€Barkeróó,€1€F.3d€957€(9th€Cir.€1993),€amended€at€20€F.3d€365€(9th€Cir.Ð  "¨" Ð1994).Ð  ø"”# КšÖ€«©ì ÖÓ €Óà@ÈÈìàò òÔ% €. ÔÔ  Ô11.02.€€GENERAL€VERDICT€„€WITH€LESSER„INCLUDED€OFFENSEÔ €F1ÃÔó óˆÐ d ÐÌÓ€Óà@=='ìàVERDICTˆÐ <Ø ÐÓ€Óà  àWe,€the€jury,€find€Defendant€(name)€_______________of€the€crime€of€(insert€briefÐ ž : Ðà  àà ` àà ¸ àà  àà h àà À à€€€€guilty/not€guiltyÓ€ÓÐ Š & Ðdescription,€òòe.g.óó,€ð ðpossession€with€intent€to€distribute€__________ðð)€[as€charged€in€Count€_____Ð ì ˆ Ðof€the€indictment]€[under€Instruction€No.€_____€].Ð N ê  ÐÌÓ€Óà  àà ` àà ¸ àà  àà h àà À àà  à____________________________________Ð ®  Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ þš  Ð_______________Ð ê†  Ð(Date)Ð Ör  ÐÌÓ €ÓNote:à0  àà ` àIf€you€unanimously€find€Defendant€(name)€guilty€of€the€above€crime,€have€yourÐ ®J Ðforeperson€write€"guilty"€in€the€above€blank€space,€sign€and€date€this€verdict€form.€€DoÐ š6 Ðnot€consider€the€following€verdict€form.І"(#(# Ðà0  àà ` àIf€you€unanimously€find€Defendant€(name)€not€guilty€of€the€above€charge,€haveÐ è„ Ðyour€foreperson€write€"not€guilty"€in€the€above€blank€space.€€You€then€must€considerÐ Ôp Ðwhether€the€defendant€is€guilty€of€(specify€lesser„included€offense)€on€the€followingÐ À\ Ðverdict€form.ЬH(#(# Ðà0  àà ` àIf€you€are€unable€to€reach€a€unanimous€decision€on€the€above€charge,€leave€theÐ ª Ðspace€blank€and€decide€whether€the€defendant€is€guilty€of€(specify€lesser„includedÐ ú– Ðoffense)€on€the€following€verdict€form.€Ðæ‚(#(# Ðà@ð ð ìàò ò[LESSER„INCLUDED€OFFENSE]ó óòò1óóˆÐ Hä ÐÓ €Óà  àWe,€the€jury,€find€Defendant€(name)€_______________€of€the€crime€of€(insert€briefÐ ª F! Ðà  àà ` àà ¸ àà  àà h àà À à€€€€[guilty/not€guilty]Ó€ÓÐ –!2" Ðdescription,€òòe.g.óó,€ð ðpossession€of€__________ðð)€[as€charged€in€Count€_____€of€the€indictment]€Ð ø"”$ Ð[under€Instruction€No.€_____€].Ð Z$ö& ÐÓ€ÓÌÌà  àà ` àà ¸ àà  àà h àà À àà  à____________________________________Ð ”'0!* Ðà  àà ` àà ¸ àà  àà h àà À àà  àForepersonÐ €("+ Ð_______________Ð l)#, Ðâ â(Date)Ð X*ô#- ÐÓ €ÓÔ& œ Ôâ âà@ÇÇ$ìàò òNotes€on€Useó óˆÐ d Ðà  à1.€€òòSeeóó€Instruction€3.10,€òòsupraóóš.€€òòSee€alsoóó,€òòe.g.óó,€òòUnited€States€v.€Friendóó,€50€F.3