Evidence - Overview

Question 1

Evidence Overview

Answer 1

The law of evidence is a system of rules and standards governing the admissibility of proof (testimony, writings, objects, etc.) at the trial of a civil or criminal action. A good rule of thumb is that all relevant evidence is admissible if competent, i.e., does not violate some exclusionary rule. These exclusionary rules serve as a gateway, and are meant to ensure that evidence is reliable and authentic (e.g., the hearsay rule, the best evidence rule), or to protect certain societal interests outside of the courtroom (e.g., testimonial privileges).

Question 2

IS THE EVIDENCE RELEVANT? - Explain Why Each Item of Evidence Is Relevant

Answer 2

1. Does it tend to make the existence of any fact of consequence to the determination of the action (materiality) more or less probable than it would be without the evidence (probativeness)?
2. Generally, relevant evidence relates to the time, person, or event at issue, but there are exceptions for certain similar occurrences, e.g.:
   a. To prove causation
   b. Prior false claims
   c. Similar accidents caused by the same condition
   d. Rebutting a claim of impossibility
   e. Habit
   1) Distinguish from character evidence (which is more general and often inadmissible)—e.g., “Charlie never stops at the stop sign at Main and Oak” (habit) vs. “Charlie is a careless driver” (character)
   f. Business routine and industrial custom

Question 3

IS THE EVIDENCE RELEVANT? - Policy-based Relevance—Evidence Excluded for Social Policy Reasons

Answer 3

1. Think about the general rule, the rationale behind the rule, and its exceptions/limitations
2. Liability insurance
   a. Inadmissible to prove—negligence or ability to pay
   b. Admissible to prove—ownership or control, impeachment, or as part of an admission of liability
3. Subsequent remedial measures
   a. Inadmissible to prove—negligence, culpable conduct, or defect
   b. Admissible to prove—ownership or control, feasibility of the repair, or destruc- tion of evidence
4. Settlement offers and accompanying admissions of fact
   a. Inadmissible to prove or disprove validity or amount of disputed claim, or to impeach by prior inconsistent statement or contradiction
   b. Exception—preexisting information not protected
5. Payments or offers to pay medical expenses
   a. Inadmissible to prove liability
   b. But note: Accompanying statements of fact are admissible (unlike rule for settlement negotiations)
6. Withdrawn guilty pleas and accompanying statements—generally inadmissible

Question 4

IS THE EVIDENCE RELEVANT? - Discretionary Relevance—Rule 403 Balancing Test

Answer 4

1. Judge has broad discretion to exclude relevant evidence if its probative value is substantially outweighed by:
   a. Unfair prejudice
   b. Confusion of issues
   c. Misleading the jury
   d. Undue consumption of time

Question 5

IS THE EVIDENCE RELEVANT? - Character Evidence—Special Relevance Problem

Answer 5

1. Determine its purpose—substantive or impeachment evidence? (For character evidence offered to impeach a witness, see VII., infra.)
2. Which methods are permitted?
   a. Reputation testimony (“Mary has a good reputation for honesty in our community”)
   b. Opinion testimony (“I think Mary is a very honest person”)
   c. Specific acts—usually not permitted, unless character is directly at issue in the case (rare); in sexual assault or child molestation cases; or when the act is independently relevant (i.e., relevant to an issue other than defendant’s character)—“MIMIC”:
   1) Motive
   2) Intent
   3) Mistake (absence of)
   4) Identity
   5) Common plan or scheme
3. What type of case is it?
   a. Criminal cases—determine who can initiate and under what circumstances
   1) Defendant may introduce evidence of his own good character to show innocence
   2) When prosecution may introduce defendant’s bad character
   a) As rebuttal when defendant “opens the door”
   b) Specific acts that are independently relevant (“MIMIC”)
   c) Specific similar acts by defendant in sexual assault or child molestation case (admissible for any relevant purpose, including propensity)
   3) Character of the victim
   a) Defendant may introduce if relevant to his innocence (generally in self- defense cases)
   b) Prosecution may rebut with (i) defendant’s bad character for same trait or (ii) victim’s good character for same trait
   b. Civil cases—character evidence generally not admitted
   1) Exceptions—when character is directly in issue (e.g., defamation, negligent hiring); similar specific acts in a sexual assault or child molestation case; or specific acts that are independently relevant (“MIMIC”)

Question 6

REAL EVIDENCE - Generally

Answer 6

1. Object is presented directly to the trier of fact for inspection
2. Allows the trier of fact to reach conclusions based upon its own perceptions rather than relying upon those of witnesses

Question 7

REAL EVIDENCE - Types and Examples

Answer 7

1. Direct
   a. Offered to prove the facts about the object as an end in itself
   b. Example—evidence of a permanent injury can be shown by the injury itself
2. Circumstantial
   a. Facts about the object are proved as a basis for an inference that other facts are true
   b. Example—in a paternity case, the child can be shown to the jury to demonstrate the child is the same race as the alleged father
3. Original
   a. Has some connection with the transaction that is in question at the trial
   b. Example—the alleged murder weapon in a murder case
4. Prepared
   a. Also called “demonstrative” evidence
   b. Examples—sketches, models, jury view of scene

Question 8

REAL EVIDENCE - Must Be Authenticated

Answer 8

1. Recognition testimony by witness—if item has recognizable features
2. Chain of custody—if evidence is a type likely to be confused or if it can be easily tampered with:
   a. Proponent must show that the object has been held in a substantially unbroken chain of possession
   b. Need not negate all possibilities of substitution or tampering, but must show adherence to some system of identification and custody

Question 9

DOCUMENTARY EVIDENCE—COMMON ISSUES - Has It Been Authenticated?

Answer 9

1. Writings must be authenticated by proof showing they are what the proponent claims they are (unless self-authenticating such as newspapers, commercial paper, etc.)
   a. Standard for authentication—proof sufficient to support a jury finding of genuineness
2. Authenticated by stipulation, evidence of authenticity, etc.
3. Oral statements—only when important

Question 10

DOCUMENTARY EVIDENCE—COMMON ISSUES - Best Evidence Rule (“Original Document Rule”)

Answer 10

1. In proving the terms of a writing (including a recording, photograph, or X-ray), where the terms are material, the original writing must be produced
   a. Secondary evidence is allowed only if the original is unavailable for some reason other than the serious misconduct of the proponent
2. Rule applies only in certain situations
   a. When the writing is a legally operative or dispositive instrument (e.g., contract, deed, will, divorce decree)
   b. When the witness’s knowledge of a fact comes from having read it in the document
   1) If the fact exists independently of a writing, the best evidence rule does not apply

Question 11

IS THE WITNESS COMPETENT TO TESTIFY? - Requirements for All Witnesses (Federal Rules)

Answer 11

1. Personal knowledge of the subject matter
2. Sworn oath or affirmation that witness will testify truthfully
3. All witnesses presumed competent under the Federal Rules until the contrary is demonstrated (no age requirement)

Question 12

IS THE WITNESS COMPETENT TO TESTIFY? - Does a Dead Man Act Apply?

Answer 12

1. Not recognized by Federal Rules; statutes vary by state
2. May bar an interested person from testifying in a civil case as to a communication with a deceased, if such testimony is offered against the representative of the deceased (e.g., executor)
3. Many exceptions to act and “door-openers”

Question 13

IS OPINION TESTIMONY APPROPRIATE? - Lay Opinion Testimony

Answer 13

1. Requirements—rationally based on the witness’s perception, helpful to the jury, and not based on scientific or technical knowledge
2. Common examples
   a. General appearance or condition of a person
   b. State of emotion
   c. Speed of moving object
   d. Intoxication
   e. Sanity
   f. Voice or handwriting identification

Question 14

IS OPINION TESTIMONY APPROPRIATE? - Expert Opinion Testimony

Answer 14

1. Is the subject matter one where expert testimony would assist the trier of fact (relevant and reliable)?
   a. Court acts as gatekeeper to determine reliability (Daubert test)
2. Is the expert qualified on the subject?
3. Does the expert possess reasonable probability regarding her opinion?
4. Is the opinion supported by a proper factual basis (personal observation, facts made known to her at trial, or facts supplied outside courtroom and of a type reasonably relied upon by experts in field)?

Question 15

CAN THE CREDIBILITY OF THE WITNESS BE IMPEACHED? - Common Methods

Answer 15

Any Party May Attack the Credibility of Any Witness (Even Its Own)

Impeachment by cross-examination and (some methods) extrinsic evidence
1. Prior inconsistent statement

2. Bias
3. Prior conviction of crime
   a. Any crime (misdemeanor or felony) involving dishonesty or false statement—judge has no discretion to exclude
   b. Any other felony
   c. Limitations on remoteness (10-year rule)
4. Prior bad acts
   a. Must be probative of truthfulness (i.e., an act of deceit)
   b. Cross-examination only; no extrinsic evidence (this includes another witness who testifies about the individuals prior bad acts)
5. Opinion or reputation evidence of untruthfulness
6. Sensory deficiencies
7. Contradictory facts

Question 16

IS THE TESTIMONY PRIVILEGED? - General Approach

Answer 16

1. Identify the privilege, its scope, and its holder
2. Are there any exceptions, waivers, or limitations?
3. Applicability in federal court
   a. Federal courts currently recognize:
   1) Attorney-client privilege
   2) Spousal immunity
   3) Marital communications privilege
   4) Psychotherapist/social worker-client privilege
   5) Clergy-penitent privilege
   6) Governmental privileges
   b. If not one of those, does state law apply with respect to privileges (i.e., is it a diversity case)?

Question 17

IS THE TESTIMONY PRIVILEGED? - Privileges

Answer 17

1. Attorney-client
   a. Client must be seeking attorney’s services at the time of the communications
   b. Communication must be confidential (not intended to be disclosed to third parties)
   c. Termination of attorney-client relationship does not terminate privilege; it even survives death
   d. Special rules for corporate clients
   e. Nonapplicability
   1) Where client seeks legal advice in aid of crime or fraud
   2) Parties claiming through the same deceased client
   3) Dispute between attorney and client (e.g., malpractice)
   4) Client puts legal services at issue
2. Physician-patient
   a. No federal privilege, but recognized in many states
   b. Information must be acquired while professional relationship exists, while attending patient, and information must be necessary for treatment
   c. Nonapplicability
   1) Dispute between physician and patient (e.g., malpractice)
   2) Patient puts physical condition at issue (e.g., personal injury lawsuit)
3. Psychotherapist/social worker-client
   a. Similar in operation to the attorney-client privilege
4. Privileges related to marriage
   a. Spousal immunity (privilege not to testify in a criminal case)
   1) Applies in criminal cases only
   2) Privilege belongs to witness-spouse under Federal Rules
   3) Can only be asserted during marriage, although the matters at issue may have occurred prior to the marriage
   b. Confidential marital communications privilege (protects communications only; not observations, etc.)
   1) Applies in both civil and criminal cases
   2) Privilege belongs to both spouses
   3) Communication must have been made during a valid marriage, but divorce will not terminate the privilege retroactively
   c. Exceptions—neither privilege applies in:
   1) Legal actions between the spouses
   2) Cases involving crimes against the testifying spouse or either spouse’s children
   3) In furtherance of joint crime or fraud
5. Other Privileges
   a. Clergy-penitent
   b. Accountant-client
   c. Professional journalist
   d. Governmental privileges

Question 18

IS A STATEMENT BARRED BY THE HEARSAY RULE? - Is the Statement Hearsay by Definition?

Answer 18

1. Was there an out-of-court “statement” (i.e., oral or written assertion, or nonverbal conduct intended as an assertion)?
   a. Nonhuman declarations are not hearsay; there is no such thing as animal or machine hearsay
2. Is it being offered for its truth or for some other purpose?
   a. If offered for its truth, it is hearsay
   b. If not offered for its truth, it is not hearsay, such as:
   1) Legally operative facts (e.g., words of contract or defamation)
   2) Offered to prove effect on reader or listener (e.g., notice)
   3) Circumstantial evidence of declarant’s state of mind
   4) Impeachment
3. Hearsay within hearsay—both inner and outer hearsay statements must fall within an exception

Question 19

IS A STATEMENT BARRED BY THE HEARSAY RULE? - If the Statement Falls Under the Hearsay Definition, Is It Nonetheless Categorized as “Nonhearsay” Under the Federal Rules?

Answer 19

1. Statement by an opposing party (also called “admission” of a party-opponent)
   a. A statement by or attributable to a party, offered against that party (need not be against interest)
   b. Adoptive statements (e.g., party’s silence in the face of an accusation)
   c. Vicarious statements (i.e., made by the party’s authorized spokesperson, agent, co-conspirator, etc.)
2. Prior inconsistent statement of testifying witness—when made under oath at a prior proceeding or deposition
3. Prior consistent statement of testifying witness—in certain circumstances when offered to rehabilitate an impeached witness
4. Prior statement of identification of testifying witness (e.g., photo identifications)

Question 20

IS A STATEMENT BARRED BY THE HEARSAY RULE? - If the Statement Is Hearsay, Does It Fall Within a Hearsay Exception?

Answer 20

1. Exceptions where the declarant must be unavailable to testify

a. Former testimony—under oath
1) The party against whom the testimony is offered (or his predecessor in interest in civil cases) must have been a party in the former action

b. Statement against interest
1) Declarant must have known that the statement was against her pecuniary, proprietary, or penal interest when made

c. Dying declarations—belief that death is imminent, concerning cause or circumstances of death
1) Homicide and civil cases only
2) Declarant need not have actually died

d. Statement of personal or family history
1) Declarant must be a member of the family in question or intimately associated with the family

e. Statement against party procuring unavailability
1) The unavailable declarant’s hearsay statements are admissible against the party who procured her unavailability by deliberate wrongdoing

2. Common exceptions where the declarant’s unavailability is immaterial
   a. Excited utterance—made under stress of exciting event

b. Present sense impression
1) Statement must be made during or immediately after the event or condition

c. Then-existing state of mind, emotion, sensation
1) State of mind directly at issue in case (e.g., domicile)
2) To prove subsequent acts of declarant

d. Exceptions relating to bodily conditions
1) Statement of own present condition—admissible even if not made to physician
2) Statement made for medical diagnosis or treatment—includes past conditions/symptoms
a) Includes cause or source of injury if pertinent to diagnosis or treatment

e. Business records
1) Record must be made in regular course of business
2) Matters must be within the personal knowledge of the entrant or someone with a business duty to transmit such matters to the entrant

f. Recorded recollection—document not admissible, but may be read to jury
1) Various foundational requirements must be met (witness must not be able to remember the facts, must have been made or adopted by witness when the events were fresh in her mind, etc.)
2) Distinguish refreshing recollection, in which the witness testifies from their own memory after reviewing the document (no hearsay problem)**

g. Official records
h. Ancient documents—statements in authenticated documents prepared before 1998
i. Learned treatises—if used during examination of expert and established as reliable
j. Statements in documents affecting an interest in property
k. Catch-all exception—if not covered by specific exception but (i) guarantees of trustworthiness, (ii) statement is strictly necessary, and (iii) notice given to adversary

Question 21

IS A STATEMENT BARRED BY THE HEARSAY RULE? - Are There Any Confrontation Clause Issues (Criminal Cases Only)?

Answer 21

1. A hearsay statement offered against the accused in a criminal case is barred by the Confrontation Clause (even if it falls within a hearsay exception) if:
   a. The declarant is unavailable;
   b. The statement was “testimonial” in nature; and
   c. The accused had no opportunity to cross-examine the testimonial statement prior to trial
2. What Is a “testimonial” statement?
   a. Statements made in the course of a police investigation when the primary purpose is to establish facts potentially relevant to a later criminal prosecution
   1) Statements made to assist police in an ongoing emergency are nontestimonial
   b. Affidavits or written reports of forensic analysis
3. Confrontation Clause rights may be forfeited if the defendant commits a wrongful act intended to keep the witness from testifying at trial

Question 22

When may a document used to refresh recollection of a witness be offered into evidence?

Answer 22

Where a witness has used a document to refresh memory while on the stand, the ADVERSE party may introduce the document into evidence. The party refreshing the witness may not –> this would be a backdoor into getting evidence in and that is against the rules.

Question 23

When can you bolster your own witness?

Answer 23

Not allowed until after witness’s credibility has been attacked.

Question 24

Lay witness testimony

Answer 24

Admissible if:
• Rationally based on witness’s perception (person- al knowledge).
• Helpful to jury in deciding a fact.
• Not based on scientific, technical, or otherwise specialized knowledge that would require expert testimony.

Question 25

What must a party disclose to an opposing party absent a discovery request?

Answer 25

Without waiting for a discovery request, a party must provide to the other parties copies or descriptions of documents that are in the disclosing party’s possession or control and that the disclosing party may use to supports its claims or defenses.