Federal rules Flashcards
Rule 101 Scope: Definitions
(a) Scope. These rules apply to proceedings in United States courts. The specific courts and proceedings to which the rules apply, along with exceptions, are set out in Rule 1101.
(b) Definitions. In these rules:
(1) “civil case” means a civil action or proceeding;
(2) “criminal case” includes a criminal proceeding;
(3) “public office” includes a public agency;
(4) “record” includes a memorandum, report, or data compilation;
(5) a “rule prescribed by the Supreme Court” means a rule adopted by the Supreme Court under statutory authority; and
(6) a reference to any kind of written material or any other medium includes electronically stored information.
Rule 102 Purpose
Introduction to Relevance
- These rules should be construed
- so as to administer every proceeding fairly,
- eliminate unjustifiable expense and delay,
- and promote the development of evidence law,
- to the end of ascertaining the truth and securing a just determination.
Rule 105. LIMITING EVIDENCE THAT IS NOT ADMISSIBLE AGAINST OTHER PARTIES OR FOR OTHER PURPOSES
Introduction to Relevance
If the court admits evidence that is admissible against a party or for a purpose—but not against another party or for another purpose—the court, on timely request, must restrict the evidence to its proper scope **and instruct the jury **accordingly.
Rule 1101. APPLICABILITY OF THE RULES
Introduction to Relevance
(a) To Courts and Judges. These rules apply to proceedings before:
● United States district courts;
● United States bankruptcy and magistrate judges;
● United States courts of appeals;
● the United States Court of Federal Claims; and
● the district courts of Guam, the Virgin Islands, and the Northern Mariana Islands.
(b) To Cases and Proceedings. These rules apply in:
● civil cases and proceedings, including bankruptcy, admiralty, and maritime cases;
● criminal cases and proceedings; and
● contempt proceedings, except those in which the court may act summarily.
Rule 606. JUROR’S COMPETENCY AS A WITNESS
Introduction to Relevance
(a) At the Trial. A juror may not testify as a witness before the other jurors at the trial. If a juror is called to testify, the court must give a party an opportunity to object outside the jury’s presence.
(b) During an Inquiry Into the Validity of a Verdict or Indictment.
(1) Prohibited Testimony or Other Evidence. During an inquiry into the validity of a verdict or indictment
[a] juror may not testify about any statement made or incident that occurred during the jury’s deliberations;
[b] the effect of anything on that juror’s or another juror’s vote;
[c] or any juror’s mental processes concerning the verdict or indictment. The court may not receive a juror’s affidavit or evidence of a juror’s statement on these matters.
(2) Exceptions. A juror may testify about whether:
(A) extraneous prejudicial information was improperly brought to the jury’s attention;
(B) an outside influence was improperly brought to bear on any juror; or
(C) a mistake was made in entering the verdict on the verdict form.
Focusing on 606(b)
606(b)(1) tells us what the jurors are not allowed to testify about when deliberations take place (in the juror private room)
606(b)(1)(c) applies during an inquiry into the validity of the verdict; a post verdict motion for a new trial on the ground of voir dire dishonesty plainly entails an inquiry into the validity of the verdict
Rule 103. RULINGS ON EVIDENCE
General Principles
a) Preserving a Claim of Error.A party may claim error in a ruling to admit or exclude evidence only if the error affects a substantial right of the party and:
(1)if the ruling admits evidence, a party, on the record:
(A)timely objects or moves to strike; and
(B)states the specific ground, unless it was apparent from the context; or
(2)if the ruling excludes evidence, a party informs the court of its substance by an offer of proof, unless the substance was apparent from the context.
(b) Not Needing to Renew an Objection or Offer of Proof.Once the court rules definitively on the record — either before or at trial — a party need not renew an objection or offer of proof to preserve a claim of error for appeal.
(c) Court’s Statement About the Ruling; Directing an Offer of Proof.The court may make any statement about the character or form of the evidence, the objection made, and the ruling. The court may direct that an offer of proof be made in question-and-answer form.
(d) Preventing the Jury from Hearing Inadmissible Evidence.To the extent practicable, the court must conduct a jury trial so that inadmissible evidence is not suggested to the jury by any means.
(e) Taking Notice of Plain Error.A court may take notice of a plain error affecting a substantial right, even if the claim of error was not properly preserved.
This rule is known as the threshold question
Rule 401. TEST FOR RELEVANT EVIDENCE [logical relevance]
General Principles
Evidence is relevant if:
(a) it has any tendency to make a fact more or less probable than it would be without the evidence; and
(b)the fact is of consequence in determining the action. [materiality]
[always start with 401; is it relevant?]
Key points
- any tendency
- logical relevance
- we cannot say that A is probably guilty but we can say that the apparent probability of the defendant’s guilt is not greater than before the evidence was received
- scintlla test ⇒ liberal thrust of the FREs
- preference for more rather than less
- Read w/ FRE 402
- Brick vs wall; A brick is not a wall
- Is it relevant Y/ N?
- If Y, what size brick?
- example: Self defense
- general elements of self defense: D must show by a preponderance of the evidence that:
- Did was a non-aggressor
- D had a reasonable belief** that such force is necessary to protect self from imminent harm
- evidence from bystander 2 that V was yelling
- Key points:
- FOC= fact of consequence
- Look at substantive law for elements of offense(s) to determine FOC
Breakdown: 3- Step Test for Relevance
- What fact is the evidence being offered to prove [FRE 401 (a)]
- Is the fact (in #1) a fact of consequence in this case [FRE 401 (b)] something that is material to the case
- Does the evidence help make that fact more/less true [FRE 401 (a)]
This rule is also known as the exclusionary rule
Rule 402. GENERAL ADMISSIBILITY OF RELEVANT EVIDENCE
General Principles
Relevant evidence is admissible unless any of the following provides otherwise:
- the United States Constitution;
- a federal statute;
- these rules; or biggest roadblock
- other rules prescribed by the Supreme Court.
Rule 104. Preliminary Questions
General Principles
(a) In General. The court must decide any preliminary question about whether a witness is qualified, a privilege exists, or evidence is admissible. In so deciding, the court is not bound by evidence rules, except those on privilege. what the judge does
(b) Relevance That Depends on a Fact.When the relevance of evidence depends on whether a fact exists, proof must be introduced sufficient to support a finding that the fact does exist. The court may admit the proposed evidence on the condition that the proof be introduced later. conditional relevance / what the jury does
(c) Conducting a Hearing So That the Jury Cannot Hear It.The court must conduct any hearing on a preliminary question so that the jury cannot hear it if:
(1)the hearing involves the admissibility of a confession;
(2)a defendant in a criminal case is a witness and so requests; or
(3)justice so requires.
(d)Cross-Examining a Defendant in a Criminal Case.By testifying on a preliminary question, a defendant in a criminal case does not become subject to cross-examination on other issues in the case.
(e)Evidence Relevant to Weight and Credibility.This rule does not limit a party’s right to introduce before the jury evidence that is relevant to the weight or credibility of other evidence.
This rule is considered the discretionary rule
Rule 403. Excluding Relevant Evidence for Prejudice, Confusion, Waste of Time, or Other Reasons
General Principles
The court may exclude relevant evidence if its probative value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence.
Exception to 402 that deals with subsequental remedial measures
Rule 407. Subsequent Remedial Measures
Specialized
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.
Exception to 402
Exception to 402 that deals w. negotiations
Rule 408. Compromise Offers and Negotiations
Specialized
(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.
(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.
Exception to 402
Exception to 402 that deals w medical expenses
Rule 409. Offers to Pay Medical and Similar Expenses
Specialized
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.
Exception to 402
Exception to 402 that deals w pleas
Rule 410. Pleas, Plea Discussions, and Related Statements
Specialized
(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 pleas underFederal Rule of Criminal Procedure 11or 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.
(b) Exceptions.The court may admit a statement described inRule 410(a)(3)or(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. **
Exception to 402
Excepetion to 402 that deals w/ insurance
Rule 411. Liability Insurance
Specialized
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.
Exception to 402
Rule 611. Mode and Order of Examining Witnesses and Presenting Evidence
Specialized
(a) Control by the Court; Purposes.The court should exercise reasonable control over the mode and order of examining witnesses and presenting evidence so as to:
(1)make those procedures effective for determining the truth;
(2)avoid wasting time; and
(3)protect witnesses from harassment or undue embarrassment.
(b) Scope of Cross-Examination.Cross-examination should not go beyond the subject matter of the direct examination and matters affecting the witness’s credibility. The court may allow inquiry into additional matters as if on direct examination.
(c) Leading Questions.Leading questions should not be used on direct examination except as necessary to develop the witness’s testimony. Ordinarily, the court should allow leading questions:
(1)on cross-examination; and
(2)when a party calls a hostile witness, an adverse party, or a witness identified with an adverse party
Rule 404 Character Evidence; Other Crimes, Wrongs, or Acts
Character
a) Character Evidence.
(1)Prohibited Uses.Evidence of a person’s character or character trait is not admissible to prove that on a particular occasion the person acted in accordance with the character or trait.
(2)Exceptions for a Defendant or Victim in a Criminal Case.The following exceptions apply in a criminal case:
(A)a defendant may offer evidence of the defendant’s pertinent trait, and if the evidence is admitted, the prosecutor may offer evidence to rebut it;
(B)subject to the limitations inRule 412 a defendant may offer evidence of an alleged victim’s pertinent trait, and if the evidence is admitted, the prosecutor may:
(i)offer evidence to rebut it; and
(ii)offer evidence of the defendant’s same trait; and
(C)in a homicide case, the prosecutor may offer evidence of the alleged victim’s trait of peacefulness to rebut evidence that the victim was the first aggressor.
(3)Exceptions for a Witness.Evidence of a witness’s character may be admitted under Rules[607][608], and[609]. Authorizes any a party in either a criminal or civil case to introdue character evidence (to the extent provided by FRES 607-609) to impeach or rehab the credibility of a W.
(b) Other Crimes, Wrongs, or Acts.
(1)Prohibited Uses.Evidence of any other crime, wrong, or act is not admissible to prove a person’s character in order to show that on a particular occasion the person acted in accordance with the character.
(2)Permitted Uses; Notice in a Criminal Case.This evidence may be admissible for another purpose, such as proving motive, opportunity, intent, preparation, plan, knowledge, identity, absence of mistake, or lack of accident. On request by a defendant in a criminal case the prosecutor must:
(A)provide reasonable notice of the general nature of any such evidence that the that the prosecutor intends to offer at trial, and
(B)do so before trial — or during trial if the court, for good cause, excuses lack of pretrial notice
Exception to 402
This rule overides rule 404(a)
Rule 413. SIMILAR CRIMES IN SEXUAL-ASSAULT CASES
Character
(a) Permitted Uses. In a criminal case in which a defendant is accused of a sexual assault, the court may admit evidence that the defendant committed any other sexual assault. The evidence may be considered on any matter to which it is relevant.
(b) Disclosure to the Defendant. If the prosecutor intends to offer this evidence, the prosecutor must disclose it to the defendant, including witnesses’ statements or a summary of the expected testimony. The prosecutor must do so at least 15 days before trial or at a later time that the court allows for good cause.
(c) Effect on Other Rules. This rule does not limit the admission or consideration of evidence under any other rule.
(d) Definition of “Sexual Assault.” In this rule and Rule 415, “sexual assault” means a crime under federal law or under state law (as “state” is defined in 18 U.S.C. § 513) involving:
(1) any conduct prohibited by 18 U.S.C. chapter 109A;
(2) contact, without consent, between any part of the defendant’s body—or an object—and another person’s genitals or anus;
(3) contact, without consent, between the defendant’s genitals or anus and any part of another person’s body;
(4) deriving sexual pleasure or gratification from inflicting death, bodily injury, or physical pain on another person; or
(5) an attempt or conspiracy to engage in conduct described in subparagraphs (1)–(4).
Exception to 404(a)
This rule overides rule 404(a)
Rule 414. SIMILAR CRIMES IN CHILD-MOLESTATION CASES
Character
(a) Permitted Uses. In a criminal case in which a defendant is accused of child molestation, the court may admit evidence that the defendant committed any other child molestation. The evidence may be considered on any matter to which it is relevant.
(b) Disclosure to the Defendant. If the prosecutor intends to offer this evidence, the prosecutor must disclose it to the defendant, including witnesses’ statements or a summary of the expected testimony. The prosecutor must do so at least 15 days before trial or at a later time that the court allows for good cause.
(c) Effect on Other Rules. This rule does not limit the admission or consideration of evidence under any other rule.
(d) Definition of “Child” and “Child Molestation.” In this rule and Rule 415:
(1) “child” means a person below the age of 14; and
(2) “child molestation” means a crime under federal law or under state law (as “state” is defined in 18 U.S.C. § 513) involving:
(A) any conduct prohibited by 18 U.S.C. chapter 109A and committed with a child;
(B) any conduct prohibited by 18 U.S.C. chapter 110;
(C) contact between any part of the defendant’s body—or an object—and a child’s genitals or anus;
(D) contact between the defendant’s genitals or anus and any part of a child’s body;
101
(E) deriving sexual pleasure or gratification from inflicting death, bodily injury, or physical pain on a child; or
(F) an attempt or conspiracy to engage in conduct described in subparagraphs (A)–(E).
Exception to 404(a)
Rule 415. SIMILAR ACTS IN CIVIL CASES INVOLVING SEXUAL ASSAULT OR CHILD MOLESTATION
Character
(a) Permitted Uses. In a civil case involving a claim for relief based on a party’s alleged sexual assault or child molestation, the court may admit evidence that the party committed any other sexual assault or child molestation. The evidence may be considered as provided in Rules 413 and 414.
(b) Disclosure to the Opponent. If a party intends to offer this evidence, the party must disclose it to the party against whom it will be offered, including witnesses’ statements or a summary of the expected testimony. The party must do so at least 15 days before trial or at a later time that the court allows for good cause.
(c) Effect on Other Rules. This rule does not limit the admission or consideration of evidence under any other rule.
deals with proving a person’s character by either reputation or opinion
Rule 405. METHODS OF PROVING CHARACTER
character
(a) By Reputation or Opinion. When evidence of a person’s character or character trait is admissible, it may be proved by testimony about the person’s reputation or by testimony in the form of an opinion. On cross-examination of the character witness, the court may allow an inquiry into relevant specific instances of the person’s conduct.
(b) By Specific Instances of Conduct. When a person’s character or character trait is an essential element of a charge, claim, or defense, the character or trait may also be proved by relevant specific instances of the person’s conduct.
This rule deals w/ a person’s habits
Rule 406. HABIT; ROUTINE PRACTICE
character
Evidence of a person’s habit or an organization’s routine practice may be admitted to prove that on a particular occasion the person or organization acted in accordance with the habit or routine practice. The court may admit this evidence regardless of whether it is corroborated or whether there was an eyewitness.
This rule deals w/ impeachment for criminal conviction
Rule 609. IMPEACHMENT BY EVIDENCE OF A CRIMINAL CONVICTION
impeachment
(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
(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—or the witness’s admitting—a dishonest act or false statement.
(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.
(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.
(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 of 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.
(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.
This rule deals w/ who can impeach a witness
Rule 607. WHO MAY IMPEACH A WITNESS
Impeachment
Any party, including the party that called the witness, may attack the witness’s credibility.
