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- NOTICE: This opinion is subject to formal revision before publication in the
- preliminary print of the United States Reports. Readers are requested to
- notify the Reporter of Decisions, Supreme Court of the United States, Wash-
- ington, D.C. 20543, of any typographical or other formal errors, in order that
- corrections may be made before the preliminary print goes to press.
- SUPREME COURT OF THE UNITED STATES
- --------
- No. 92-8346
- --------
- TERRY LEE SHANNON, PETITIONER v.
- UNITED STATES
- on writ of certiorari to the united states court
- of appeals for the fifth circuit
- [June 24, 1994]
-
- Justice Thomas delivered the opinion of the Court.
- In this case, we consider whether a federal district
- court is required to instruct the jury regarding the
- consequences to the defendant of a verdict of -not guilty
- by reason of insanity,- either under the Insanity Defense
- Reform Act of 1984 or as a matter of general federal
- practice. We conclude that such an instruction is not
- required, and therefore affirm.
-
- I
-
- A
- Prior to the enactment of the Insanity Defense Reform
- Act of 1984 (IDRA or Act), 98 Stat. 2057, as amended,
- 18 U. S. C. 17, 4241-4247, federal courts generally did
- not recognize a verdict of -not guilty by reason of
- insanity- (NGI). Defendants who mounted a successful
- insanity defense-that is, those who raised a reasonable
- doubt as to their sanity at the time of the offense-were
- simply found -not guilty.- See, e. g., United States v.
- McCracken, 488 F. 2d 406, 409, 418 (CA5 1974); Evalt
- v. United States, 359 F. 2d 534, 537 (CA9 1966). In
- addition, there was no general federal civil commitment
- procedure available to ensure that an insanity acquittee
- would receive proper care and treatment. Only in the
- District of Columbia was a defendant who successfully
- presented an insanity defense to a federal criminal
- charge subject to a federal commitment process-a
- process governed by a 1955 congressional enactment.
- See 69 Stat. 609, as amended, D. C. Code Ann. 24-301
- (1981). Elsewhere, federal authorities were forced to
- rely on the willingness of state authorities to institute
- civil commitment proceedings. Reliance on state cooper-
- ation was -at best a partial solution to a serious prob-
- lem,- however, and federal courts -[t]ime and again . . .
- decried this gaping statutory hole.- McCracken, supra,
- at 417.
- Before the IDRA was enacted, the Federal Courts of
- Appeals generally disapproved of instructing the jury
- concerning the post-trial consequences of an insanity
- acquittal. Thus, jurors typically were given no informa-
- tion with regard to what would happen to a defendant
- acquitted by reason of insanity. The courts in general
- gave two reasons for disapproving such instructions.
- First, they pointed out that, given the absence of a
- federal commitment procedure, the consequences of an
- insanity acquittal were far from certain. Second, they
- concluded that such instructions would run afoul of the
- well-established principle that a jury is to base its
- verdict on the evidence before it, without regard to the
- possible consequences of the verdict. See, e. g.,
- McCracken, supra, at 423; Evalt, supra, at 546; United
- States v. Borum, 464 F. 2d 896, 900-901 (CA10 1972).
- The only Court of Appeals to endorse the practice of
- instructing the jury regarding the consequences of an
- insanity acquittal was the District of Columbia Circuit.
- See Lyles v. United States, 254 F. 2d 725 (1957) (en
- banc), cert. denied, 356 U. S. 961 (1958). In Lyles, the
- D. C. Circuit addressed the jury instruction question in
- the context of D. C. Code Ann. 24-301 (1951 Supp. V),
- which, unlike generally applicable federal law, provided
- for a special verdict of NGI and, as noted above, a civil
- commitment procedure. The Lyles court recognized the
- -well established and sound- doctrine -that the jury has
- no concern with the consequences- of a verdict, but
- stated that the doctrine -d[id] not apply- to the situation
- before it. 254 F. 2d, at 728. According to the court,
- although jurors generally were -aware of the meanings
- of verdicts of guilty and not guilty,- they were unfamil-
- iar with the meaning of an NGI verdict. Ibid. The
- court concluded that jurors had -a right to know- the
- meaning of an NGI verdict -as accurately as [they]
- kno[w] by common knowledge the meaning of the other
- two possible verdicts.- Ibid.
- The acquittal of John Hinckley on all charges stem-
- ming from his attempt on President Reagan's life,
- coupled with the ensuing public focus on the insanity
- defense, prompted Congress to undertake a comprehen-
- sive overhaul of the insanity defense as it operated in
- the federal courts. The result of this effort was the
- IDRA. In the IDRA, Congress made insanity an
- affirmative defense to be proved by the defendant by
- clear and convincing evidence, and created a special
- verdict of -not guilty only by reason of insanity.- 18
- U. S. C. 17 and 4242(b). In addition, Congress filled
- the -statutory hole- that had been identified by federal
- courts, see McCracken, supra, by creating a comprehen-
- sive civil commitment procedure. 4243. Under that
- procedure, a defendant found NGI is held in custody
- pending a court hearing, which must occur within 40
- days of the verdict. 4243(c). At the conclusion of the
- hearing, the court determines whether the defendant
- should be hospitalized or released. 4243(d), (e).
-
- B
- At about 4 a.m. on August 25, 1990, a police officer
- stopped petitioner Terry Lee Shannon, a convicted felon,
- on a street in Tupelo, Mississippi. For reasons not
- explained in the record before us, the officer asked
- Shannon to accompany him to the station house to
- speak with a detective. After telling the officer that he
- did not want to live anymore, Shannon walked across
- the street, pulled a pistol from his coat, and shot
- himself in the chest.
- Shannon survived his suicide attempt and was
- indicted for unlawful possession of a firearm by a felon
- in violation of 18 U. S. C. 922(g)(1). At trial, he raised
- the insanity defense, and asked the District Court to
- instruct the jury that he would be involuntarily commit-
- ted if the jury returned an NGI verdict. The District
- Court refused to give Shannon's proposed charge.
- Instead, it instructed the jury -to apply the law as
- [instructed] regardless of the consequence,- and that
- -punishment . . . should not enter your consideration or
- discussion.- The jury returned a guilty verdict.
- The Court of Appeals for the Fifth Circuit affirmed
- Shannon's conviction. 981 F. 2d 759 (1993). The court
- noted that under its pre-IDRA precedent, juries were not
- to be instructed concerning the consequences of an
- insanity acquittal. Id., at 761-762 (discussing
- McCracken, supra). Turning to the text of the IDRA,
- the court observed that Congress had -said nothing
- about informing juries of the consequences- of an NGI
- verdict. 981 F. 2d, at 764. Because there was no
- -statutory requirement- to the contrary, the court
- -adhere[d] to the established axiom that it is inappropri-
- ate for a jury to consider or be informed about the
- consequences of its verdict.- Ibid.
- We granted certiorari, 510 U. S. ___ (1993), in order
- to consider whether federal district courts are required
- to instruct juries with regard to the consequences of an
- NGI verdict.
-
- II
- It is well established that when a jury has no sentenc-
- ing function, it should be admonished to -reach its
- verdict without regard to what sentence might be
- imposed.- Rogers v. United States, 422 U. S. 35, 40
- (1975). The principle that juries are not to consider
- the consequences of their verdicts is a reflection of the
- basic division of labor in our legal system between judge
- and jury. The jury's function is to find the facts and to
- decide whether, on those facts, the defendant is guilty of
- the crime charged. The judge, by contrast, imposes
- sentence on the defendant after the jury has arrived at
- a guilty verdict. Information regarding the conse-
- quences of a verdict is therefore irrelevant to the jury's
- task. Moreover, providing jurors sentencing information
- invites them to ponder matters that are not within their
- province, distracts them from their factfinding responsi-
- bilities, and creates a strong possibility of confusion.
- See Pope v. United States, 298 F. 2d 507, 508 (CA5
- 1962); cf. Rogers, supra, at 40.
- Despite these familiar precepts, Shannon contends that
- an instruction informing the jury of the consequences of
- an NGI verdict is required under the IDRA whenever
- requested by the defendant. He also argues that such
- an instruction is required as a matter of general federal
- criminal practice. We address each argument in turn.
-
- A
- To determine whether Congress intended courts to
- depart from the principle that jurors are not to be
- informed of the consequences of their verdicts, we turn
- first, as always, to the text of the statute. The IDRA
- refers to the subject of jury instructions only once, and
- that reference occurs in its description of the possible
- verdicts a jury may return. Under the Act, -the jury
- shall be instructed to find . . . the defendant-(1) guilty;
- (2) not guilty; or (3) not guilty only by reason of insan-
- ity.- 18 U. S. C. 4242(b). The text of the Act gives
- no indication that jurors are to be instructed regarding
- the consequences of an NGI verdict. As the court below
- observed, the Act -leaves the jury solely with its cus-
- tomary determination of guilt or innocence.- 981 F. 2d,
- at 763. The Act's text thus gives no support to
- Shannon's contention that an instruction informing the
- jury of the consequences of an NGI verdict is required.
- Shannon asserts, however, that an express statutory
- directive is not necessary because, by modeling the
- IDRA on D. C. Code Ann. 24-301 (1981), Congress
- impliedly adopted the D. C. Circuit's decision in Lyles
- and the practice endorsed by that decision of instructing
- the jury as to the consequences of an NGI verdict. For
- this argument he relies on Capital Traction Co. v. Hof,
- 174 U. S. 1, 36 (1899), in which we stated:
- -By a familiar canon of interpretation, heretofore
- applied by this court whenever Congress . . . has
- borrowed from the statutes of a State provisions
- which had received in that State a known and set-
- tled construction before their enactment by Con-
- gress, that construction must be deemed to have
- been adopted by Congress together with the text
- which it expounded, and the provisions must be
- construed as they were understood at the time in
- the State.-
- See also Carolene Products Co. v. United States, 323
- U. S. 18, 26 (1944) (-[T]he general rule [is] that adop-
- tion of the wording of a statute from another legislative
- jurisdiction carries with it the previous judicial interpre-
- tations of the wording-); Cathcart v. Robinson, 5 Pet.
- 264, 280 (1831). The canon of interpretation upon
- which Shannon relies, however, is merely a -presump-
- tion of legislative intention- to be invoked only -under
- suitable conditions.- Carolene Products, supra, at 26.
- We believe that the -conditions- are not -suitable- in
- this case. Indeed, although Congress may have had
- the D. C. Code in mind when it passed the IDRA, see
- United States v. Crutchfield, 893 F. 2d 376, 378 (CADC
- 1990), it did not, in the language of Hof, -borrow- the
- terms of the IDRA from the D. C. Code. Rather, Con-
- gress departed from the scheme embodied in D. C. Code
- Ann. 24-301 in several significant ways.
- The IDRA, for example, requires a defendant at trial
- to prove insanity by clear and convincing evidence, 18
- U. S. C. 17(b); the D. C. statute, by contrast, employs
- a preponderance standard. D. C. Code Ann. 24-301(j).
- A commitment hearing must be held under the IDRA
- within 40 days of an NGI verdict, 18 U. S. C. 4243(c);
- the period is 50 days under the D. C. scheme. D. C.
- Code Ann. 24-301(d)(2)(A). Under the IDRA, a defend-
- ant whose offense involved bodily injury to another or
- serious damage to another's property, or the substantial
- risk thereof, must demonstrate at the hearing by clear
- and convincing evidence that he is entitled to release,
- 18 U. S. C. 4243(d); under the D. C. scheme, an
- acquittee, regardless of the character of his offense,
- need only meet the preponderance standard. D. C. Code
- Ann. 24-301(k)(3). The IDRA provides that an
- acquittee, once committed, may be released when he no
- longer presents a substantial risk of harm to others or
- to their property, 18 U. S. C. 4243(f); an acquittee
- under the D. C. system may be released from commit-
- ment when he -will not in the reasonable future be
- dangerous to himself or others.- D. C. Code Ann.
- 24-301(e). Finally, in the IDRA, Congress rejected
- the broad test for insanity that had been utilized under
- the D. C. provision, and instead adopted a more restric-
- tive formulation under which a person is deemed insane
- if he is unable -to appreciate the nature and quality or
- the wrongfulness of his acts.- 18 U. S. C. 17(a). We
- believe that these significant differences between the
- IDRA and D. C. Code Ann. 24-301 render the canon
- upon which Shannon relies inapplicable in this case.
- Alternatively, Shannon contends that a provision
- explicitly requiring the instruction is unnecessary for a
- different reason: namely, that Congress made its inten-
- tion to adopt the Lyles practice crystal clear in the
- IDRA's legislative history. In particular, Shannon
- points to the following statement in the Senate Report:
- -The Committee endorses the procedure used in
- the District of Columbia whereby the jury, in a case
- in which the insanity defense has been raised, may
- be instructed on the effect of a verdict of not guilty
- by reason of insanity. If the defendant requests
- that the instruction not be given, it is within the
- discretion of the court whether to give it or not.-
- S. Rep. No. 98-225, p. 240 (1983) (footnotes
- omitted).
- Members of this Court have expressed differing views
- regarding the role that legislative history should play in
- statutory interpretation. Compare County of Washing-
- ton v. Gunther, 452 U. S. 161, 182 (1981) (Rehnquist,
- J., dissenting) (-[I]t [is] well settled that the legislative
- history of a statute is a useful guide to the intent of
- Congress-), with Wisconsin Public Intervenor v. Mortier,
- 501 U. S. 597, 617 (1991) (Scalia, J., concurring in
- judgment) (legislative history is -unreliable . . . as a
- genuine indicator of congressional intent-). We are not
- aware of any case, however (and Shannon does not
- bring one to our attention), in which we have given
- authoritative weight to a single passage of legislative
- history that is in no way anchored in the text of the
- statute. On its face, the passage Shannon identifies
- does not purport to explain or interpret any provision of
- the IDRA. Rather, it merely conveys the Committee's
- -endorsement- of the Lyles -procedure--a procedure
- that Congress did not include in the text of the Act. To
- give effect to this snippet of legislative history, we
- would have to abandon altogether the text of the statute
- as a guide in the interpretative process. We agree with
- the D. C. Circuit that -courts have no authority to
- enforce [a] principl[e] gleaned solely from legislative
- history that has no statutory reference point.- Interna-
- tional Brotherhood of Elec. Workers, Local Union No.
- 474, AFL-CIO v. NLRB, 814 F. 2d 697, 712 (1987)
- (emphasis omitted). We thus conclude that there is no
- support in the Act for the instruction Shannon seeks.
-
- B
- Setting the Act aside, Shannon argues that the in-
- struction he proposes is required as a matter of general
- federal criminal practice. Presumably, Shannon asks us
- to invoke our supervisory power over the federal courts.
- According to Shannon, the instruction is necessary
- because jurors are generally unfamiliar with the conse-
- quences of an NGI verdict, and may erroneously believe
- that a defendant who is found NGI will be immediately
- released into society. Jurors who are under this mis-
- taken impression, Shannon continues, may also fear
- that the defendant, if released, would pose a danger to
- the community. Shannon concludes that such jurors, in
- order to ensure that the defendant will not be released,
- may be tempted to return a guilty verdict in a case in
- which an NGI verdict would be appropriate.
- Even assuming Shannon is correct that some jurors
- will harbor the mistaken belief that defendants found
- NGI will be released into society immediately-an as-
- sumption that is open to debate-the jury in his case
- was instructed -to apply the law as [instructed] regard-
- less of the consequence,- and that -punishment . . .
- should not enter your consideration or discussion.- That
- an NGI verdict was an option here gives us no reason
- to depart from -the almost invariable assumption of the
- law that jurors follow their instructions.- Richardson v.
- Marsh, 481 U. S. 200, 206 (1987). Indeed, although it
- may take effort on a juror's part to ignore the potential
- consequences of the verdict, the effort required in a case
- in which an NGI defense is raised is no different from
- that required in many other situations. For example, if
- the Government fails to meet its burden of proof at
- trial, our judicial system necessarily assumes that a
- juror will vote to acquit, rather than to convict, even if
- he is convinced the defendant is highly dangerous and
- should be incarcerated. We do not believe that the
- situation involving an NGI verdict should be treated any
- differently.
- We also are not persuaded that the instruction
- Shannon proposes would allay the fears of the misin-
- formed juror about whom Shannon is concerned. -[I]f
- the members of a jury are so fearful of a particular
- defendant's release that they would violate their oaths
- by convicting [the defendant] solely in order to ensure
- that he is not set free, it is questionable whether they
- would be reassured by anything short of an instruction
- strongly suggesting that the defendant, if found NGI,
- would very likely be civilly committed for a lengthy
- period.- United States v. Fisher, 10 F. 3d 115, 122
- (CA3 1993), cert. pending, No. 93-7000. An accurate
- instruction about the consequences of an NGI verdict,
- however, would give no such assurance. Under the
- IDRA, a postverdict hearing must be held within 40
- days to determine whether the defendant should be
- released immediately into society or hospitalized. See
- 18 U. S. C. 4243(c), (d). Thus, the only mandatory
- period of confinement for an insanity acquittee is the
- period between the verdict and the hearing. Instead of
- encouraging a juror to return an NGI verdict, as
- Shannon predicts, such information might have the
- opposite effect-that is, a juror might vote to convict in
- order to eliminate the possibility that a dangerous
- defendant could be released after 40 days or less.
- Whether the instruction works to the advantage or
- disadvantage of a defendant is, of course, somewhat
- beside the point. Our central concern here is that the
- inevitable result of such an instruction would be to
- draw the jury's attention toward the very thing-the
- possible consequences of its verdict-it should ignore.
- Moreover, Shannon offers us no principled way to
- limit the availability of instructions detailing the conse-
- quences of a verdict to cases in which an NGI defense
- is raised. Jurors may be as unfamiliar with other
- aspects of the criminal sentencing process as they are
- with NGI verdicts. But, as a general matter, jurors are
- not informed of mandatory minimum or maximum sen-
- tences, nor are they instructed regarding probation,
- parole, or the sentencing range accompanying a lesser
- included offense. See United States v. Thigpen, 4 F. 3d
- 1573, 1578 (CA11 1993) (en banc), cert. pending, No.
- 93-6747; United States v. Frank, 956 F. 2d 872, 879
- (CA9 1991), cert. denied, 506 U. S. ___ (1992). Because
- it is conceivable that some jurors might harbor misun-
- derstandings with regard to these sentencing options, a
- district court, under Shannon's reasoning, might be
- obligated to give juries information regarding these
- possibilities as well. In short, if we pursue the logic of
- Shannon's position, the rule against informing jurors of
- the consequences of their verdicts would soon be swal-
- lowed by the exceptions.
- Finally, Congress' recent action in this area counsels
- hesitation in invoking our supervisory powers. As noted
- above, the IDRA was the product of a thorough and
- exhaustive review of the insanity defense as used in the
- federal courts. Given the comprehensive nature of the
- task before it, Congress certainly could have included a
- provision requiring the instruction Shannon seeks. For
- whatever reason, Congress chose not to do so. Under
- these circumstances, we are reluctant to depart from
- well-established principles of criminal practice without
- more explicit guidance from Congress.
-
- III
- Although we conclude that the IDRA does not require
- an instruction concerning the consequences of an NGI
- verdict, and that such an instruction is not to be given
- as a matter of general practice, we recognize that an
- instruction of some form may be necessary under cer-
- tain limited circumstances. If, for example, a witness or
- prosecutor states in the presence of the jury that a
- particular defendant would -go free- if found NGI, it
- may be necessary for the district court to intervene with
- an instruction to counter such a misstatement. The
- appropriate response, of course, will vary as is necessary
- to remedy the specific misstatement or error. We note
- this possibility merely so that our decision will not be
- misunderstood as an absolute prohibition on instructing
- the jury with regard to the consequences of an NGI
- verdict. Our observations in this regard are not appli-
- cable to Shannon's situation, however, for there is no
- indication that any improper statement was made in the
- presence of the jury during his trial.
-
- * * *
- Because the District Court properly refused to give the
- instruction Shannon requested, we affirm.
-
- So ordered.
-