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Evidence > Specialized Article IV Rules > Flashcards

Specialized Article IV Rules Flashcards

1
Q

Article IV: Specialized Relevance Rules

A

Rule 407: Subsequent Remedial Measures;
Rule 408: Compromise Offers and Negotiations;
Rule 409: Offers to Pay Medical and Similar Expenses;
Rule 410: Pleas, Plea Discussions; and Related Statements;
Rule 411: Liability Insurance

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2
Q

Rule 407: Purposes

A

+ Encourages defendants to take remedial measures without worrying about the effects on pending litigation.
+ Protects defendants from unfair prejudice (b/c jury may give too much weight to evidence of subsequent remedial measure in assessing fault).

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3
Q

A “measure” (for 407 purposes) is…

A

anything that 1. would have made an earlier injury or harm less likely to occur, and 2. is subsequent to an earlier injury or harm.

E.g.’s:

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4
Q

“Measures” are only excluded under 407 if…

A

… offered to prove liability, e.g.

  • Negligence;
  • Culpable conduct;
  • A defect in a product or its design; or
  • A need for a warning or instruction.
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5
Q

Examples of 407 Measures

A
  1. Firing an employee
  2. Recalling a product
  3. Changing a policy
  4. Providing updated warning label
  5. Re-training employees
  6. Issuing a recall
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6
Q

Rule 407 bars evidence of remedial measures that occurred after…

A

… the injury occurred.

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7
Q

Evidence is excluded under 407 when…

A

… offered by and against a party to prove:

  • negligence
  • culpable conduct
  • a defect in a product or its design, or
  • a need for a warning or instruction.
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8
Q

Not excluded when…

A

The measure was not taken by a party OR is offered to prove some other, relevant, controverted purpose, e.g.

  • Impeachment
  • Proving Ownership
  • Proving Control
  • Proving Feasibility
  • These things must be in dispute (controverted), though.
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9
Q

Rule 407: Subsequent Remedial Measures - Exceptions

A
  1. Other purposes than the culpability purposes listed in the rule;
  2. Third-Party Repairs (when the Defendant doesn’t make the repairs).
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10
Q

Rule 408 - Purposes

A

To further the social policy favoring settlements, i.e. to ensure that parties are not inhibited from making offers or statements during the settlement negotiation process.

Protects parties from unfair prejudice (b/c jury may give too much weight to attempts at settlement or to statements made during the process (which may or may not be true).

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11
Q

What does Rule 408 cover?

A

Offers and acceptances made by parties;
AND
All conduct or statements made during compromise negotiations.

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12
Q

Evidence is excluded under Rule 408 when:

A

Offered for one of three purposes:

  1. to prove the validity or amount of a disputed claim;
  2. to disprove that validity or amount;
  3. To impeach a witness’s testimony through a prior inconsistent statement or contradiction.
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13
Q

Evidence is NOT excluded under Rule 408 when:

A
  1. The dispute has not matured into a “claim.”
  2. The parties do not dispute some aspect of the claim.
  3. The statements or conduct do not occur during compromise negotiations or while compromising/attempting to compromise the claim.
  4. The evidence is offered for any other purpose, e.g. proving bias/prejudice, negating contention of undue delay, proving obstruction of criminal investigation.
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14
Q

When does a “claim” for purposes of 408 exist?

A
  1. Complaint has been filed
    OR
  2. Party has hired an atty and threatened to sue.
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15
Q

Factors which indicate a “compromise negotiation”

A

Factors:

  • Was the statement unilateral?
  • Was the statement made during formal negotiations?
  • Was a concrete offer made?
  • Were attorneys involved?
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16
Q

Some permissible purposes to admit evidence under 408

A
  1. Bias of a witness or prejudice
  2. Negating a contention of undue delay
  3. Proving an effort to obstruct a criminal investigation
  4. Others
17
Q

Under 408, can a prosecutor introduce evidence related to a criminal defendant’s civil settlement to show guilt?

A

No.

18
Q

Criminal Case Exception to 408 Exclusion

A

+ Statements made during negotiations with a public office exercising regulatory, investigative, or enforcement authority;

- Admissible in any subsequent criminal trial;
- Both prosecutor and defendant can invoke;
- But most likely to benefit prosecutor.
19
Q

Rule 409 - Purposes

A

We want to encourage people to offer to pay each other’s medical expenses.

Don’t want to chill any potential offers by allowing such an offer to prejudice the offeror at trial.

Protects parties from unfair prejudice (b/c jury may believe that payment of expenses is an admission of liability).

20
Q

What Does 409 Cover?

A

+ Furnishing, promising, or offering to pay
+ Medical, hospital, or similar expenses.

  • No “claim” necessary
  • No “compromise” necessary
  • Rule only covers the offer to pay or the furnishing of medical expenses, not any other statements that were made contemporaneously with the offer.
21
Q

Evidence is excluded under 409 when…

A

… offered to prove liability for the injury (rather than other purposes, i.e. that the injury occurred).

22
Q

Rule 410 - Purposes

A

+ Encourage plea bargaining;
+ Promotes free and open plea discussions;
+ Protects criminal defendants from unfair prejudice if jury hears the evidence;
+ Discourages prosecutors from taking advantage of defendants (levels the playing field)

23
Q

What does 410 cover?

A
  1. Guilty plea that was later withdrawn;
  2. Nolo contendre plea;
  3. Statement made during a proceeding on either of those pleas under F. R. Crim. P. 11 or a comparable state procedure; or
  4. 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.
24
Q

What does 410 NOT cover?

A

The court may admit a statement describing [410(3.) Statement made [on a guilty plea that was withdrawn or a nolo contendre plea; or 410 (4.) 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]:

(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 prseent.

25
Q

Evidence is excluded under 410 when…

A
  1. introduced against the defendant who participated in the plea bargaining process;
  2. Used for any purpose against the defndant even when offered to impeach him;
    - Bars admission in both civil and criminal trials.
    - Bars out-of-court bargaining process and any in-court discussins or acceptance of the plea.
  3. Only bars evidence when the plea bargaining process fails.
26
Q

Evidence is NOT excluded under 410 when…

A
  1. Defendant is not a party and the statements are not offered against him (e.g. D testifies as witness)
  2. Defendant introduces evidence from the plea bargaining process him/herself
  3. Re: Final (not withdrawn) guilty pleas.
    - Doesn’t exclude statements made during plea discussions which do result in a guilty plea. See (a)(4)
27
Q

Remember the exceptions to 410

A

+ If D opens the door by admitting statements, another party may introduce additional statements from the same session when fairness requires.
+ Perjury or false statements prosecution against the D if the statement was made under oath, on the record, with counsel present

28
Q

When does “plea bargaining” occur, for the purposes of 410?

A

Two-Part Test:

  1. D had an actual subjective expectation of negotiating a plea
  2. The expectation was reasonable given the totality of the objective circumstances [i.e. a DEA agent can’t negotiate a plea].
29
Q

Factors suggesting plea negotiation

A
  1. Involvement of Prosecutor
  2. Involvement of Defense Attorney
  3. Chargest already filed
  4. Specific terms discussed
  5. Government expressed interest in D’s offer
  6. Absence of caveat statements.
30
Q

Waiver

A
  1. Most U.S. Attys require a waiver of 410 bfore discussing plea
  2. Allows government to enforce D’s promises to cooperate.
  3. But strips D of protections of 410.
  4. Cynical Judicial/Govt View: If there’s no waiver, it’s not a plea bargaining session.
31
Q

Rule 411 - Purpose

A

Encourages individuals and organizations to obtain liability insurance.

32
Q

What does 411 cover?

A
  1. Evidence of liability insurance.
    - Liability insurance: e.g.
    + Car insurance;
    + Medical malpractice ins.,
  2. Some Courts: Indemnity agreements
  3. Rule covers “persons”
    - Organizations likely covered, as well.
33
Q

What does 411 NOT cover?

A

Non-liability types of insurance, such as health insurance and life insurance.

34
Q

Evidence is excluded under 411 when…

A

… offered to prove fault - that is, offered “to prove whether the person acted negligently or otherwise wrongfully.”

Evidence (14 decks)

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