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Various evidence rules and privileges in legal proceedings, including rule 407 on subsequent remedial measures, rule 410(b) on impeachment and rehabilitations, rule 608(b) on a witness' character for truthfulness or untruthfulness, rule 609(d) on impeachment by evidence of a criminal conviction, rule 701 and 702 on opinion testimony by lay and expert witnesses, rule 901(a) and 901(b) on authenticating or identifying evidence, rule 1001-1005 on best evidence and summaries, and rule 501-502(f) on privileges. It also discusses the marital privilege from the trammel case.
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Policy Reasons for Excluding Evidence -- Rule 407: Subsequent Remedial Measures - Correct Answers When measures are taken that would have made an earlier injury or harm less likely to occur, evidence of the subsequent measures is not admissible to prove: negligence; culpable conduct; a defect in a product or its design; or a need for a warning or instruction. BUT the court may admit this evidence for another purpose, such as impeachment or - if disputed - proving ownership, control, or the feasibility of precautionary measures. Policy Reasons for Excluding Evidence -- Rule 408(a): Compromise Offers and Negotiations - Correct Answers (a) Prohibited Uses. Evidence of the following is not admissible - on behalf of any party - either to prove or disprove the validity or amount of a disputed claim or to impeach by a prior inconsistent statement or a contradiction: (1) furnishing, promising, or offering - or accepting, promising to accept, or offering to accept - a valuable consideration in compromising or attempting to compromise the claim; and (2) conduct or a statement made during compromise negotiations about the claim - except when offered in a criminal case and when the negotiations related to a claim by a public office in the exercise of its regulatory, investigative, or enforcement authority Policy Reasons for Excluding Evidence -- Rule 408(b): Compromise Offers and Negotiations - Correct Answers (b) Exceptions. The court may admit this evidence for another purpose, such as proving a witness's bias or prejudice, negating a contention of undue delay, or proving an effort to obstruct a criminal investigation or prosecution. *If there is not actually a legal dispute at issue, then the offer of settlement is not an offer of settlement at all -It is not offering to resolve a legal issue -There cannot be a settlement offer if there is nothing to settle because there is no lawsuit -Must be a legal issue/litigation or it must be on the horizon *If negotiations are made to an officer of a government agency, it could be admitted in a criminal trial Policy Reasons for Excluding Evidence -- Rule 409: Offers to Pay Medical and Similar Expenses - Correct Answers -Evidence of furnishing, promising to pay, or offering to pay medical, hospital, or similar expenses resulting from an injury is not admissible to prove liability for the injury *Courts want to encourage benevolence/charity
Policy Reasons for Excluding Evidence -- Rule 410(a): Pleas, Plea Discussions, and Related Statements - Correct Answers (a)Prohibited Uses. In a civil or criminal case, evidence of the following is not admissible against the defendant who made the plea or participated in the plea discussions: (1) a guilty plea that was later withdrawn; (2) a nolo contendere plea; (3) a statement made during a proceeding on either of those please under Federal Rule of Criminal Procedure 11 or a comparable state procedure; or (4) a statement made during plea discussions with an attorney for the prosecuting authority if the discussions did not result in a guilty plea or they resulted in a later- withdrawn guilty plea Policy Reasons for Excluding Evidence -- Rule 410(b): Pleas, Plea Discussions, and Related Statements - Correct Answers (b) Exceptions. The court may admit a statement described in Rule 410(a)(3)-(4): (1) in any proceeding in which another statement made during the same plea or plea discussions has been introduced, if in fairness the statements ought to be considered together; or (2) in a criminal proceeding for perjury or false statement; if the defendant made the statement under oath, on the record, and with counsel present *Negotiations in Criminal Cases -Even if it doesn't result in a plea, the discussion of the plea with the prosecution that never comes to fruition is inadmissible -Includes proceedings with government agencies... i.e., You are charged with tax fraud and engage in plea negotiations; the negotiations cannot be used against you in the IRS civil proceedings Policy Reasons for Excluding Evidence -- Rule 411: Liability Insurance - Correct Answers Evidence that a person was or was not insured against liability is not admissible to prove whether the person acted negligently or otherwise wrongfully. But the court may admit this evidence for another purpose, such as proving a witness's bias or prejudice or proving agency, ownership, or control. Hearsay -- Hearsay Within Hearsay -- Rule 805 - Correct Answers -Hearsay within hearsay is not excluded by the rule against hearsay if each part of the combined statements conforms with an exception to the rule *i.e. A hospital record might contain an entry of the patient's age based on information furnished by his wife. The hospital record would qualify as a regular entry except that the person who furnished the information was not acting in the routine of the business. However, her statement independently qualifies as a statement of pedigree (if she is unavailable) or as a statement made for purposes of diagnosis or treatment, and hence each link in the chain falls under sufficient assurances Hearsay -- Confrontation Clause - Correct Answers -Added requirement for the prosecution to show if it seeks to admit something that is an exception to hearsay against a defendant in a criminal case
-In all criminal prosecutions, the accused shall enjoy the right to be confronted with the witnesses against him -Found in Sixth Amendment of the Federal Constitution Hearsay -- Confrontation Clause -- Crawford Case - Correct Answers The Confrontation Clause requires cross-examination whenever a statement that was made by a witness, who is now not subject to cross-examination, was made in anticipation of litigation. i.e., A statement that was prepared for the police or a prosecutor; a written or oral statement that was recorded The statement cannot be used unless the witness is there to be cross-examined on it. In order to bring in a statement against a defendant in a criminal case: (1) must show that there was a hearsay exception (federal or state rules) (2) under Crawford, must show that the statement being brought in against the criminal defendant is not a statement that was made reasonably in anticipation of litigation Statement cannot be testimonial Testimonial = made in anticipation of litigation Hearsay -- Confrontation Clause -- Giles Case - Correct Answers If a witness was previously threatened about testifying and then does not come to trial out of fear of death, the prior threats are admitted under the hearsay exception and the Confrontation Clause Hearsay -- Confrontation Clause -- Bryant Case - Correct Answers Because the shooting had occurred only 25 minutes prior, and neither the police nor the victim knew where the shooter ran, the statement made identifying the shooter could be intended to help catch the shooter at that moment rather than to convict him later. -Was the statement made to arrest him or convict him? -Was there an ongoing danger? Dying declaration satisfies the Confrontation Clause. Hearsay -- Confrontation Clause -- Davis Case - Correct Answers -When you are calling to seek help or report a crime, which the Court describes as ongoing but has immediately passed, it is not for the purpose of offering testimony in a subsequent case, but used to resolve the current situation -Where the parties are separated and speak to the police separately, it is analogous to Crawford and the statements would be offered in anticipation of a criminal trial -Mens Rea matters: why did you make this statement? Impeachment and Rehabilitations -- Bias and Perception -- Rule 607: Who May Impeach a Witness - Correct Answers Any party, including the party that called the witness, may attack the witness's credibility Impeachment and Rehabilitations -- Bias and Perception -- Rule 608(a): A Witness' Character for Truthfulness or Untruthfulness - Correct Answers (a) Reputation or Opinion Evidence. A witness's credibility may be attacked or supported by testimony
about the witness's reputation for having a character for truthfulness or untruthfulness, or by testimony in the form of an opinion about that character. But evidence of truthful character is admissible only after the witness's character for truthfulness has been attacked. -Cross-examination must rise to the level that the witness's truthfulness has been attacked (Michael) -Must target the witness's generic truth-telling ability -This is when someone can come in and testify that you are in fact a good person -Mere inconsistent statements are not necessarily an attack on your truth-telling ability -Cannot merely be that you got it wrong, must rise to level of showing that you are not a truth-teller generally -If there are a number of inconsistent statements, it could rise to the level of not having a good character for the truth (determined on case-by-case basis) Impeachment and Rehabilitations -- Bias and Perception -- Rule 608(b): A Witness' Character for Truthfulness or Untruthfulness - Correct Answers (b) Specific Instances of Conduct. Except for a criminal conviction under Rule 609, extrinsic evidence is not admissible to prove specific instances of a witness's conduct in order to attack or support the witness's character for truthfulness. But the court may, on cross- examination, allow them to be inquired into if they are probative of the character for truthfulness or untruthfulness of: (1) the witness; or (2) another witness whose character the witness being cross-examined has testified about -By testifying on another matter, a witness does not waive any privilege against self- incrimination for testimony that relates only to the witness's character for truthfulness Impeachment and Rehabilitations -- Bias and Perception -- STATE Rule 616 (Not in Federal Rules of Evidence) - Correct Answers In addition to other methods, a witness may be impeached by any of the following methods: (A) Bias. Bias, prejudice, interest, or any motive to misrepresent may be shown to impeach the witness either by examination of the witness or by extrinsic evidence. (B) Sensory or mental defect. A defect of capacity, ability, or opportunity to observe, remember, or relate may be shown to impeach the witness either by examination of the witness or by extrinsic evidence. (C) Specific contradiction. Facts contradicting a witness's testimony may be shown for the purpose of impeaching the witness's testimony. If offered for the sole purpose of impeaching a witness's testimony, extrinsic evidence of contradiction is inadmissible unless the evidence is one of the following: (1) Permitted by Evid. R. 608(A), 609, 613, 616(A)-(B) or 706; or (2) Permitted by the common law of impeachment and not in conflict with the Rules of Evidence. Impeachment and Rehabilitations -- Inconsistent Statement -- Rule 613: Witness' Prior Statement - Correct Answers (a) Showing or Disclosing the Statement During Examination. When examining a witness about the witness's prior statement, a party
need not show it or disclose its contents to the witness. But the party must, on request, show it or disclose its contents to an adverse party's attorney. (b) Extrinsic Evidence of a Prior Inconsistent Statement. Extrinsic evidence of a witness's prior inconsistent statement is admissible only if the witness is given an opportunity to explain or deny the statement and an adverse party is given an opportunity to examine the witness about it, or if justice so requires. This subdivision (b) does not apply to an opposing party's statement under Rule 801(d)(2) Impeachment and Rehabilitations -- Inconsistent Statement -- Extrinsic Evidence - Correct Answers -If a witness is allowed to leave town before the prior inconsistent statement is being offered, the extrinsic evidence of the statement (i.e., a transcript/physical documents) must be able to be explained by the witness -Therefore, if the witness is gone, the statement cannot be brought in (Wammock) -If a prior inconsistent statement is made under oath or under the party admission doctrine, then you do not need to give the witness a chance to explain it, it can simply be brought in (substantive evidence) Impeachment and Rehabilitations -- Inconsistent Statement -- Can bring inconsistent statements in for: - Correct Answers -Impeachment; or -If prior inconsistent statements are needed to build the elements of a case, they cannot be used to prove guilt if they are only coming in as impeachment. -There must be affirmative substantive evidence to prove the case. -But inconsistent statements are always admissible to tear down the statement they are now making on the stand. -Anything that goes to show why a witness might give a different version of the story other than the one that is true is admissible for impeachment. -Substantive evidence Impeachment and Rehabilitations -- Impeachment by Evidence of a Criminal Conviction -- Rule 609(a): Impeachment by Evidence of a Criminal Conviction - Correct Answers (a) In General. The following rules apply to attacking a witness's character for truthfulness by evidence of a criminal conviction: (1) for a crime that, in the convicting jurisdiction, was punishable by death or by imprisonment for more than one year, the evidence: (A) must be admitted, subject to Rule 403, in a civil case or in a criminal case in which the witness is not a defendant; and *Must be admitted unless the probative value is substantially outweighed by the prejudicial effect (B) must be admitted in a criminal case in which the witness is a defendant, if the probative value of the evidence outweighs its prejudicial effect to that defendant; and (2) for any crime regardless of the punishment, the evidence must be admitted if the court can readily determine that establishing the elements of the crime required proving
Impeachment and Rehabilitations -- Impeachment by Evidence of a Criminal Conviction -- Rule 609(b): Impeachment by Evidence of a Criminal Conviction - Correct Answers (b) Limit on Using the Evidence After 10 Years. This subdivision (b) applies if more than 10 years have passed since the witness's conviction or release from confinement for it, whichever is later. Evidence of the conviction is admissible only if: (1) its probative value, supported by specific facts and circumstances, substantially outweighs its prejudicial effect; and (2) the proponent gives an adverse party reasonable written notice of the intent to use it so that the party has a fair opportunity to contest its use Impeachment and Rehabilitations -- Impeachment by Evidence of a Criminal Conviction -- Rule 609(c): Impeachment by Evidence of a Criminal Conviction - Correct Answers (c) Effect of a Pardon, Annulment, or Certificate of Rehabilitation. Evidence of a conviction is not admissible if: (1) the conviction has been the subject of a pardon, annulment, certificate of rehabilitation, or other equivalent procedure based on a finding that the person has been rehabilitated, and the person has not been convicted of a later crime punishable by death or by imprisonment for more than one year; or (2) the conviction has been the subject of a pardon, annulment, or other equivalent procedure based on a finding of innocence Impeachment and Rehabilitations -- Impeachment by Evidence of a Criminal Conviction -- Rule 609(d): Impeachment by Evidence of a Criminal Conviction - Correct Answers (d) Juvenile Adjudications. Evidence of a juvenile adjudication is admissible under this rule only if: (1) it is offered in a criminal case; (2) the adjudication was a witness other than the defendant; (3) an adult's conviction for that offense would be admissible to attack the adult's credibility; and (4) admitting the evidence is necessary to fairly determine guilt or innocence Impeachment and Rehabilitations -- Impeachment by Evidence of a Criminal Conviction -- Rule 609(e): Impeachment by Evidence of a Criminal Conviction - Correct Answers (e) Pendency of an Appeal. A conviction that satisfies this rule is admissible even if an appeal is pending. Evidence of the pendency is also admissible. Impeachment and Rehabilitations -- Writing Used to Refresh -- Rule 612(a): Writing Used to Refresh a Witness' Memory - Correct Answers (a) Scope. This rule gives an adverse party certain options when a witness uses a writing to refresh memory: (1) while testifying; or (2) before testifying, if the court decides that justice requires the party to have those options Impeachment and Rehabilitations -- Writing Used to Refresh -- Rule 612(b): Writing Used to Refresh a Witness' Memory - Correct Answers (b) Adverse Party's Options; Deleting Unrelated Matter. Unless 18 U.S.C. §3500 provides otherwise in a criminal
case, an adverse party is entitled to have the writing produced at the hearing, to inspect it, to cross-examine the witness about it, and to introduce in evidence any portion that relates to the witness's testimony. If the producing party claims that the writing includes unrelated matter, the court must examine the writing in camera, delete any unrelated portion, and order that the rest be delivered to the adverse party. Any portion deleted over objection must be preserved for the record. Impeachment and Rehabilitations -- Writing Used to Refresh -- Rule 612(c): Writing Used to Refresh a Witness' Memory - Correct Answers (c) Failure to Produce or Deliver the Writing. If a writing is not produced or is not delivered as ordered, the court may issue any appropriate order. But if the prosecution does not comply in a criminal case, the court must strike the witness's testimony or - if justice so requires - declare a mistrial Opinion Evidence -- Lay Opinions -- Rule 701: Opinion Testimony by Lay Witness - Correct Answers -If a witness is not testifying as an expert, testimony in the form of an opinion is limited to one that is: (a) rationally based on the witness's perception; (b) helpful to clearly understanding the witness's testimony or to determining a fact in issue; and (c) not based on specific, technical, or other specialized knowledge within the scope of Rule 702 -"That car flew by me...maybe going 70-80 miles per hour" -Lay witness can talk about comparative speeds in certain circumstances -That boat is large, the weather is warm, that woman is short, etc. -*Must be a description based on what the witness actually saw and must be helpful to the jury Opinion Evidence -- Expert Opinions -- Rule 702: Opinion Testimony by Expert Witness
(1) Testimony of a Witness with Knowledge. Testimony that an item is what it is claimed to be. (2) · Nonexpert Opinion About Handwriting. A nonexpert's opinion that handwriting is genuine, based on familiarity with it that was not acquired for the current litigation. (3) Comparison by an Expert Witness or the Trier of Fact. A comparison with an authenticated specimen by an expert witness or the trier of fact. (4) Distinctive Characteristics and the Like. The appearance, contents, substance, internal patterns, or other distinctive characteristics of the item, taken together with all the circumstances. (5) Opinion Evidence About a Voice. An opinion identifying a person's voice - whether heard firsthand or through mechanical or electronic transmission or recording - based on hearing the voice at any time under circumstances that connect it with the alleged speaker. (6) Evidence About a Telephone Conversation. For a telephone conversation, evidence that a call was made to the number assigned at the time to: (A) a particular person, if circumstances, including self-identification, show that the person answering was the one called; or (B) a particular business, if the call was made to a business and the call related to business reasonably transacted over the telephone (7) Evidence About Public Records. Evidence that: (A) a document was recorded or filed in a public office as authorized by law; or (B) a purported public record or statement is from the office where items of this kind are kept (8) Evidence About Ancient Documents or Data Compilations. For a document or data compilation, evidence that: (A) is in a condition that creates no suspicion about its authenticity; (B) was in a place where, if Authenticating Evidence -- Self-Authenticating Evidence -- Rule 902: Evidence That is Self-Authenticating - Correct Answers -The following items of evidence are self- authenticating; they require no extrinsic evidence of authenticity in order to be admitted: (1) Domestic Public Documents That Are Sealed and Signed. (2) Domestic Public Documents That Are Not Sealed but Are Signed and Certified. (3) Foreign Public Documents. (4) Certified Copies of Public Records. (5) Official Publications. (6) Newspapers and Periodicals. (7) Trade Inscriptions and the Like. (8) Acknowledged Documents. (9) Commercial Paper and Related Documents. (10) Presumptions Under a Federal Statute. (11) Certified Domestic Records of a Regularly Conducted Activity. (12) Certified Foreign Records of a Regularly Conducted Activity. (13) Certified Records Generated by an Electronic Process or System. (14) Certified Data Copied from an Electronic Device, Storage Medium, or File.
Best Evidence and Summaries -- Rule 1001: Definitions That Apply to This Article - Correct Answers (a) A "writing" consists of letters, words, numbers, or their equivalent set down in any form (b) A "recording" consists of letters, words, numbers, or their equivalent recorded in any manner (c) A "photograph" means a photographic image or its equivalent stored in any form (d) An "original" of a writing or recording means the writing or recording itself or any counterpart intended to have the same effect by the person who executed or issued it. For electronically stored information, "original" means any printout - or other output readable by sight - if it accurately reflects the information. An "original" of a photograph includes the negative or a print from it (e) A "duplicate" means a counterpart produced by a mechanical, photographic, chemical, electronic, or other equivalent process or technique that accurately reproduces the original Best Evidence and Summaries -- Rule 1002: Requirement of the Original - Correct Answers An original writing, recording, or photograph is required in order to prove its content unless these rules or a federal statute provides otherwise. Best Evidence and Summaries -- Rule 1003: Admissibility of Duplicates - Correct Answers -A duplicate is admissible to the same extent as the original unless a genuine question is raised about the original's authenticity or the circumstances make it unfair to admit the duplicate *A written transcription would question authenticity Best Evidence and Summaries -- Rule 1004: Admissibility of Other Evidence of Content
examined in court. The proponent must make the originals or duplicates available for examination or copying, or both, by other parties at a reasonable time and place. And the court may order the proponent to produce them in court. Best Evidence and Summaries -- Rule 1007: Testimony or Statements of a Party to Prove Content - Correct Answers The proponent may prove the content of a writing, recording, or photograph by the testimony, deposition, or written statement of the party against whom the evidence is offered. The proponent need not account for the original. *May testify when the evidence should be in private records and it's not, or when it should be in the computer records and it's not Dead Man's Statute - Correct Answers -Dead Man's Statute states that in a civil action, a party with an interest in the litigation may not testify against a dead party about communications with the dead party -If you have a civil dispute with someone who is now deceased, and you are wanting to testify to something that the decedent said, because the person is no longer available, you are not able to tell your side of the story -It must be supported by documentary elements or through other witnesses who do not have the same bias that you have -The deceased must be an adverse party to the litigation *Hendrickson Case -Daughter cannot testify that her mother gave her a ring, and that she actually owned it, because the deceased dad is not there to refute the claim -She can offer documents or objective witnesses Privileges -- Rule 501: Privilege in General - Correct Answers -The Common law - as interpreted by United States courts in the light of reason and experience - governs a claim of privilege unless any of the following provides otherwise: -The United States Constitution; -A federal statute; or -Rules prescribed by the Supreme Court -But in a civil case, state law governs privilege regarding a claim or defense for which state law supplies the rule of decision Privileges -- Rule 502(a): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers -The following provisions apply, in the circumstances set out, to disclosure of a communication or information covered by the attorney-client privilege or work-product protection (a) Disclosure Made in a Federal Proceeding or to a Federal Office or Agency; Scope of a Waiver. When the disclosure is made in a federal proceeding or to a federal office or agency and waives the attorney-client privilege or work-product protection, the waiver extends to an undisclosed communication or information in a federal or state proceeding only if: (1) the waiver is intentional; (2) the disclosed and undisclosed communications or information concern the same subject matter; and
(3) they ought in fairness to be considered together Privileges -- Rule 502(b): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers (b) Inadvertent Disclosure. When made in a federal proceeding or to a federal office or agency, the disclosure does not operate as a waiver in a federal or state proceeding if: (1) the disclosure is inadvertent; (2) the holder of the privilege or protection took reasonable steps to prevent disclosure; and (3) the holder promptly took reasonable steps to rectify the error, including (if applicable) following Federal Rule of Civil Procedure 26(b)(5)(B) Privileges -- Rule 502(c): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers (c) Disclosure Made in a State Proceeding. When the disclosure is made in a state proceeding and is not the subject of a state-court order concerning waiver, the disclosure does not operate as a waiver in a federal proceeding if the disclosure: (1) would not be a waiver under this rule if it had been made in a federal proceeding; or (2) is not a waiver under the law of the state where the disclosure occurred Privileges -- Rule 502(d): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers (d) Controlling Effect of a Court Order. A federal court may order that the privilege or protection is not waived by disclosure connected with the litigation pending before the court — in which event the disclosure is also not a waiver in any other federal or state proceeding. Privileges -- Rule 502(e): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers (e) Controlling Effect of a Party Agreement. An agreement on the effect of disclosure in a federal proceeding is binding only on the parties to the agreement, unless it is incorporated into a court order. Privileges -- Rule 502(f): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers (f) Controlling Effect of this Rule. Notwithstanding Rules 101 and 1101, this rule applies to state proceedings and to federal court-annexed and federal court-mandated arbitration proceedings, in the circumstances set out in the rule. And notwithstanding Rule 501, this rule applies even if state law provides the rule of decision. Privileges -- Rule 502(g): Attorney-Client Privilege and Work Product; Limitations on Waiver - Correct Answers (g) Definitions. In this rule: (1) "attorney-client privilege" means the protection that applicable law provides for confidential attorney-client communications; and (2) "work-product protection" means the protection that applicable law provides for tangible material (or its intangible equivalent) prepared in anticipation of litigation or for trial.
Privileges -- Common Interest Waiver Exception (Bennett Case) - Correct Answers -If you are sharing a legal communication about a case in which you and several others are all mutual defendants, and you all have the same concern about the same issue, then sharing the issue with them does not waive the privilege -It is assumed this is part of the joint defense -If a third party receives a privileged communication between other parties, no one has the ability to assert privilege; once it has been released to a third party, it constitutes a waiver Privileges -- Marital Privilege (Trammel Case) - Correct Answers -Spouses are not required to testify against one another, but if one wants to, they are allowed -BUT, if both parties hold the privilege, the defendant can prevent the other person from testifying -Mrs. Trammel wanted to testify against her husband in court because she received a plea deal Privileges -- Keyes Case - Correct Answers -If you sue your lawyer, the nature of the lawsuit has made an issue out of the things that are contained within the privileged communications, and the privilege is waived