EVIDENCE/Wilkes Fall 1999

I. Mode and Order of Presentation

A. Control by the Court

1. Rule 102

Purpose and Construction- rules shall be construed to secure fairness in administration.

2. Rule 403

Exclusion of Relevant Evidence on the Grounds of Prejudice, Confusion, or Waste of Time.

3. Rule 611(a)

Mode and Order of Interrogation and Presentation- Control by Ct-

(a)(1) make it effective for ascertainment of the truth

(2) avoid needless consumption of time

(3) protect witnesses

4. U.S. v. Reaves

This is a tax fraud case. The Ct. limited the time for both sides- okay so long as the limits aren’t arbitrary.

5. Notes

The Purpose of Rules is to

a. Get to the Truth

b. Expediency

c. Prevent Injustice

d. Fairness/Due Process

e. Preserve Confidential Relationships

B. Leading Questions

1. Rule 611(c)

Leading questions should not be used on direct except as necessary to develop witness’ testimony. A leading question is one which suggests the desired response

**Does it call for a yes or no answer

**Does it suggest the answer you want

4 exceptions- cross, hostile witness, adverse party, or witness identified by adverse party (maybe if child or incompetent).

2. Direct Exam

a. Straub v. Reading Co.

Leading questions were asked by P’s atty throughout his case. Jury was prejudiced by the conduct and the defense atty was left ineffective. When conduct runs the length of the trial and control is lost and a warped version of the issues goes to the jury, the verdict must be set aside. App. was denied a fair trial.

b. Notes

3. Cross

a. U.S. v. McKenna

The issue raised on appeal is the denial of right to effective confrontation by not employing leading questions. This goes to the mode, not the scope, of interrogation. Leading questions are not guaranteed by the Confrontation Cl.

b. Notes

C. Scope of Cross

1. Rule 611(b)

The scope of cross should be limited to the subject matter of the direct and matters affecting credibility.

TX- Wide Open Cross (English Rule)

2. The American Rule

a. Douglass v. State

Error is alleged due to the ct permitting the D to be crossed on certain letters that he had not referred to on direct. Content of the letters went to the truth of his defense for killing so the scope of cross was permissible

b. Notes

English Rule- anything may be brought out on cross.

3. Subject Matter of Direct

a. U.S. v. Segal

The D was forced to use transcripts, not allowed to play the recording, and was not allowed to refer to portions of the transcript that were not referred to on direct. Limit to the transcript was permissible but the limit as to what was offered on direct was unduly burdensome.

b. Notes

II. Objections and Offers of Proof

Rule 103 (Harmless Error Rule)

(a) effect of erroneous ruling- error may bot be predicated upon a ruling which admits or excludes evidence unless a substantial right of a party is affected and

(1) objection is timely or motion to strike is on the record, stating the specific ground- if it is not apparent or

(2) offer of proof- if evidence is excluded, the substance of the evidence was made known to the court by offer or was apparent from the context

(b) record offer and ruling

(c) outside presence of the jury

(d) plain error may be noticed even though it was not brought to the ct’s attention

A. Contemporaneous Objection

1. Hackenson v. City of Waterbury

Did the evidence warrant the finding of fact essential to the jury verdict? The testimony was objected to after the answer was given, but there was no motion to strike. The ct said the purpose of the rule is to prevent the parties from gambling and it is apparent that this is not what this party was trying to do. But, he did fail to preserve error so we will not reverse.

2. Notes

Proposed change in Federal Rule- error committed on motions in limine will be appealable without having to renew objection.

B. Requirement of Specific Objection

1. Een v. Consolidated Freightways

The general objection of "irrelevant, incompetent, immaterial, calling for speculation & conjecture, obviously invading the province of the jury and calling for a conclusion" is too vague to preserve error.

2. Notes

Bridges v. City of Richardson—objection was based on irrelevance, if the objection is sustained it is up to the proponent to tell the judge why the evidence is being offered, otherwise any grounds will be enough on appeal.

C. Consequences of Failure to Object with Specifity

1. Owen v. Patton

Error in admitting testimony was denied because even though it was prejudicial there was no objection, no motion to strike or request for special instruction and it was not plain error and there was no injustice as a result.

2. Notes

D. Offer of Proof

1. U.S. v. Winkle

Alleged error in excluding hearsay. Error may not be based on a ruling excluding evidence unless the substance of the evidence was made known to the ct by offer or was apparent. Ct’s won’t be too tough on cross, because you won’t know what the answer is going to be.

2. Notes

III. Competency

A. Status

1. Rule 601

2. Competency v. Credibility

a. U.S. v. Bedonie

Witness produced inconsistent statements. How inconsistent must a witness be before he is incompetent to testify? The test is whether the witness has intelligence enough to make it worthwhile to hear him at all and whether he feels a duty to tell the truth.

b. Notes

A lawyer cannot be a witness in his own case, but the entire firm is not disqualified.

In civil actions, when state law applies, the competency of a witness is determined by state law (dead man’s statutes are state statutes).

3. Jurors

a. Rule 606

A member of the jury may not testify.

A member of the jury may testify on the question whether extraneous prejudicial information was improperly brought to bear upon any juror.

b. Attacking the Judgement

i. Tanner v. U.S.

Motion for new trial because jurors were sleeping and allegedly on drugs during trial. The motion was denied because the ct asked counsel to bring it to the ct’s attention when it happened and counsel did not. Nothing suggested these allegations were true.

ii. Notes

Extraneous prejudicial information includes documents that were not admitted into evidence getting back to the jury, and a threat or a bribe.

Granting of a new trial is not appeallable except through mandamus.

4. Judges

a. Rule 605

Competency of judge as witness- presiding judge may not testify, no objection needs to be made to preserve error. Nor may the judge’s clerk.

b. Advisory Committee Note

5. Dead Man’s Rule (no federal rule on this)

a. Zeigler v. Moore

Any party to a transaction with the deceased cannot testify to the facts. If you have an adverse interest to the estate, you can’t testify. This was a third/disinterested party. You can waive this statute by not objecting.

b. Notes

When you have a claim against a third party you should assign your claim to a third person then you can testify.

B. Foundation

1. The Oath

a. Rule 603

b. Religious Convictions

i. Substitutes

ii. Ferguson v. Commissioner of Internal Revenue

P refused oath because of religious convictions. P offered a different version but the ct refused. The ct erred in refusing because a statement that impressed on the mind and the conscience the necessity for telling the truth will suffice.

Also include-"under the penalty of perjury" to be safe.

Competency is for the judge, credibility for the jury.

c. Children

i. Substitutes

ii. Minimal

Capps v. Commonwealth

5 1/2 year old knew that a lie was bad and she avowed to tell the truth. It is the duty of the trial ct to carefully examine a witness and ascertain whether he/she is sufficiently intelligent to observe, recollect, and narrate and has the moral sense of the obligation to tell the truth.

At CL 14 was the presumptive age, today it is more like 10-12.

Observe, Recollect, Communicate.

d. Competent Incompetent

i. Prior Determinations

U.S. v. Phibbs

Witness was incompetent to stand trial by his psychiatrist, but testified. The ct disagreed with the psychiatrist. As long as the witness can appreciate the duty to tell the truth and is minimally capable of observing, recalling and communicating events, his testimony should be let in. Review is on an abuse of discretion standard.

2. Perception

a. Rule 602

Lack of personal knowledge.

b. Witness’ Own Testimony

i. U.S. v. Davis

Nothing in the record suggests a lack of personal knowledge. Personal knowledge may be shown with the witness’ own testimony.

ii. Notes

c. Extent of Personal Knowledge

i. Gladden v. State

Officer gave testimony as to the D’s condition of sobriety at the time he observed D driving. A non-expert may give his opinion before giving the facts upon which it is based.

ii. Notes

d. Contradicted Foundation

i. Maylie v. Nat’l RR Passenger Corp.

Dr. was not 100% sure that he was present during surgery, records show that he was not there. Although he probably shouldn’t have been allowed to testify, the jury could properly weigh this testimony because its weakness was revealed.

ii. Notes

3. Recollection

a. Memory Refreshed

i. Rule 612

If a statement is used while or before trial it must be produced for inspection.

ii. Any Statement or Object

A. Henry v. Lee

P was a jewler who cashed the D’s check. The D was bankrupt. The P looked at a paper to recall circumstances. This is okay- you can use anything to refresh, it doesn’t have to be written by the witness.

B. Baker v. State

What can an atty do to refresh a witness’ testimony? The party seeking to enter record of past recollection must establish (1) the record was made at a time when he did recall and (2) the witness can vouch that it was accurate when made. (Past Recollection Recorded-becomes the testimony)

Past Recollection Revived is stimulus to present recollection, not evidence itself, because the witness speaks from memory you do not need (1) and (2).

b. Recorded Recollection

i. Rule 803(5)

Recorded Recollection-may be read into evidence unless offered by adverse party.

(1) memo or record about which a witness once had knowledge, made by the witness, when matter was fresh in the witness’ mind

(2) witness says it accurately reflects

ii. Adopted Statement

A. U.S. v. Williams

D cashed government checks with forged endorsement. Witness said the D knew but couldn’t remember where he got checks from. He was asked to examine a written statement he made. He still couldn’t recall and disputed the accuracy of some of the statements. Statement was written by Secret Service Agent, it was not word for word and contained false facts. Statement was admitted because witness’ failure to recall was probably fabricated and his credibility was in issue. The statement was adopted by the witness when events were fresh in his mind before any motive to lie.

B. Notes

Hypnotically refreshed testimony is per se inadmissible. (Tx)

Different Rule for D himself, must look at factors. Rock v. Arkansas, p.123.

Factors to consider- part of therapy or is therapy for recollection, was he subject to suggestion, is there a record of the session, is the dr. a qualified hypnotist, is there corroborating evidence, is witness prone to suggestion, what procedures were used.

4. Communication

a. Interpreters

i. Watson v. State

Witness suffered a stroke and brother in law offered to translate. This didn’t work because there was no way to test translation. His nurse also tried and this failed too.

ii. Notes

IV. Relevance

A. Introduction

1. Relevance at Common Law

a. Plumb v. Curtis

2. Materiality at Common Law

a. Azimov v. Azimov

3. Rule 401 Definition

It is defined by the pleadings.

Any evidence having any tendency to make the existence of any fact more or less probable and of consequence to the determination of the action.

4. Rule 402

All Relevant evidence is admissible.

5. Rule 403

Unless prejudicial , confusing to the issues, misleading or cumulative.

B. Any Tendency

1. Douglass v. Eaton Corp.

P’s claims that D discharged because of discriminatory reasons. Plaintiff fought with 2 white women. The evidence is question is testimony of prior fights that occurred at the plant. The dist. ct said this evidence was not relevant because the P was not similarly situated to the other people- in the prior cases the discharged employee was the aggressor. On appeal, a ct may only reverse if there is an abuse of discretion. A ct may not consider the weight or sufficiency of the evidence. They must simply ask whether the evidence has a tendency to support a consequential fact. Reversed.

2. Notes

Evidence is conditionally relevant when its probative value depends upon the existences of another fact, it shall be admitted subject to fulfillment of a condition of fact.

If evidence is of remote relevancy you end up trying the evidence separately.

Failure to introduce evidence may be relevant. A jury will be able to infer from a party’s failure to introduce evidence within their control.

C. Of Consequence

1. U.S. v. Hall

D was convicted of distributing and conspiring to distribute cocaine. The trial ct erred in allowing opinion testimony of a DEA agent: there was no corroborating evidence because it wasn’t always possible to make a buy and a seize. Officer testified to hypotheticals and not to any facts bearing on this case. It lacked relevance.

2. Notes

Philips v. Wester Co. of NA, collateral source rule- a collateral source or money was paid to the P, the D cannot bring this up. For example, an insurance co. has paid P’s medical bills.

D. Common Application

1. Admission by Conduct

a. Flight and Cash

b. U.S. v. Hankins

Evidence of flight or escape from custody is often only marginally relevant but it is well established that it is admissible because it is admission by conduct. Probative value must be weighed in terms of the degree of confidence 4 inferences can be drawn (1) D’s behavior to flight, (2) flight to consciousness of guilt, (3) consciousness of guilt and crime charged, and (4) consciousness of guilt to actual guilt.

c. Notes

In civil cases, ducking service of process can come in as an admission by conduct.

2. Poverty or Wealth

a. Punitive Damages

i. Hall v. Montgomery Ward

D’s balance sheet was properly admitted- general rule of admissibility when exemplary damages become an issue.

ii. Notes

3. Similar Events

a. Substantial Identity

i. Nachtsheim v. Beech Aircraft

Ice on plane was supposed to be the cause of the accident. Evidence of a subsequent accident was sought to be introduced. Must have occurred under substantially similar circumstances (and still have to balance 403).

ii. Notes

If the purpose is to show awareness of a condition (not propensity), the rules should be relaxed. Attempts to demonstrate scientific principles, rather than to prove how an accident occurred, need not be made under substantially similar circumstances. If P has made similar claims that were false, most cts will admit them into evidence.

Evidence of no accidents is admissible as long as the proponent provides an adequate foundation that substantially similar circumstances have resulted in no accidents.

4 Gruesome Pictures

a. Terry v. State

D was found guilty of murder, victim was his infant son. The D appeals the admission of 8 color photos: 3 showed bruised (these were okay), 1 was an x-ray of a broken arm (okay), and 4 were areas of the body after an autopsy (these were not admissible and it was an abuse of discretion to let them in). Prejudice was unfair and could lead the jury to make an emotional decision.

b. Notes

Felon in possession- prior felony on record is admissible but the details of the felony are not. Prosecutor must accept D’s stipulation. In civil ct, you don’t have to accept stipulations.

5. Implicating Another

a. Somebody Else Did It

i. U.S. v. Green

Officer was convicted of bribing people. the evidence sought to be admitted as part of his defense was evidence of a fellow officer doing was he was accused of an fellow officer’s conviction. It should have been allowed in, but not an abuse of discretion.

ii. Notes

E. Rule 401/403 Balancing

1. McQueeny v. Wilmington Trust

Worker fell while aboard ship. D found out that P’s witness had never in fact witnessed the event. He did not testify. The D wanted to use this as intent to defraud. It was an abuse of discretion to not allow this in.

2. Notes

Spoliation (sp?)- destroying evidence or hiding evidence comes in as a party admission.

Only keep it out if probative value is substantially outweighed by undue prejudice.

V. Relevance/Special Rules

A. Subsequent Remedial Measures

1. Rule 407

Admitted to show control, ownership, feasibility of precautionary measures, and for impeachment (if the D testifies in superlatives: "this is the safest product out there"). Not admissible to prove defect or need for warning.

Texas-nothing to preclude admissibility in product liability cases. Recalls are admissible (written notification of a defect).

2. Strict Liability and Feasiblity

a. Miller v. Heil

Miller got pinned between bed and truck. The estate challenges the design. Post design changes were admitted to show feasibility of an alternative which was controverted at trial.

b. Notes

How do you stop this if you are a D? Concede feasibility.

What constitutes a remedial measure? Firing the janitor

B. Compromise and Offer of Compromise

1. Rule 408

Inadmissible unless offered to prove bias of a witness, negating a contention of undue delay, or proving an effort to obstruct a criminal investigation or prosecution.

2. Disputes, Waiver, and Other Purposes

a. Alpex Computer Corp. v. Nintendo

Infringement of patent. Evidence of offers to issue license, license granted and licenses agreed to during litigation. 408 requires a difference of opinion as to validity of the claim. The licenses were the result of negotiation.

b. Notes

C. Payment of Medical and Similar Expenses

1. Rule 409

Evidence of offering or promising to pay medical, hospital or similar expenses is not admissible to prove liability for the injury (claim need not be disputed like 408 and extraneous statements can come in).

2. Admission of Fault

a. Arnold v. Owens

Car accident and pedestrian was struck. D offered to pay medical expenses. If the offer is voluntary or benevolent the offer is not admissible, but if the circumstances indicate some admission of fault, it may be admissible.

b. Notes

Jury should be cautioned regarding the statement.

D. Pleas and Plea Discussions

1. Rule 410 Civil and Criminal

Evidence of

(1) Guilty plea later withdrawn;

(2) Plea of nolo contendre;

(3) Any statement made under R11 of Fed. Crim. Pro.;

(4) Statements made in plea discussions which do not result in a guilty plea,

are inadmissible, except as otherwise provided in this rule.

If another statement made in the same plea discussion has been

introduced, it ought to be contemporaneously with the statement

if in a criminal proceeding for perjury.

2. Use of Pleas for Impeachment

a. U.S. v. Udeagu

D pled guilty and then withdrew. Government wants to use statements made in connection with guilty plea to impeach D’s testimony. While statements may not be used in prosecution’s case in chief, they can be used to impeach.

b. Notes

Rule 410- Statements made to persons other than the prosecutor are also inadmissible if made in the course of plea discussions. May be limited to those with authority to act for prosecutor.

3. Can Protections of 410 be Waived?

a. U.S. v. Mezzanatto

Witness lied during negotiations subsequent to agreeing his statements could be used against him. The gov’t terminated talks. A criminal may knowingly and voluntarily waive constitutional rights. Agreements to waive evidentiary rules are enforceable even over subsequent objections. Must be affirmatively shown to be involuntary to be excluded.

E. Liability Insurance

1. Rule 411

Evidence that a person was or was not insured is not admissible upon issue of negligence. It may be admissible to prove agency, ownership, control, bias or prejudice.

2. Permissible Uses of Liability Ins.

a. Bernier v. Board of County Road Commissioners

D asserted that it did not have sufficient funds to maintain roads. P wants to reduce prejudicial effect of this statement by offering evidence of insurance. Judgment was deferred but may be admissible if the D’s case should be of the nature that the jury might infer inability to pay judgment.

b. Notes

VI. Character Evidence

A. Rule 404, 405, 406

1. Rule 404

Character evidence is inadmissible to prove conduct; exceptions; and other crimes

(a) Exceptions

(1) character of accused- evidence of a pertinent trait of character is offered by an accused or a prosecutor to rebut

(2) character of victim- evidence offered by the accused or prosecutor to rebut, or evidence of a trait of peacefulness of the victim to rebut that victim was the first aggressor.

(3) character of witness- as provided by Rules 607-609.

Texas- another exception, character of the accused- offered by a party accused in a civil case involving moral terpitude or by P to rebut.

(b) Other crimes- to show actions are in conformity therewith may be admitted for other purposes- motive, intent, preparation, plan, knowledge, identity, absence of mistake or accident (must give reasonable notice of nature of evidence).

2. Rule 405

Methods of proving

(a) Reputation or opinion- in all cases where character is admissible

(b) Specific instances-if essential element of a charge, claim or defense

3. Rule 406

Routine, Habit

Corroborated or not, regardless of presence of eyewitness, is relevant to prove conformity with habit on a particular occasion.

B. The Eleven Rules of Substantive Character Evidence, Similar Acts, and Habit

1. Circumstantial Use of Character Evidence is Not Permitted in a Civil Case

a. General Rule

i. Ginter v. NW Mutual Life Ins.

Material omission from application-treatment for depression. At issue is the evidence of the deceased’s good character to rebut accusation that deceased lied. The evidence should be excluded. In Texas, it would have come in.

ii. Moorhead v. Mitsubishi Aircraft

Evidence of pilot’s training records is challenged. Evidence was erroneously admitted but it was a bench trial so we aren’t going to reverse.

b. Possible Exceptions

i. Dahlen c. Landis

Defendant claimed self-defense in a roadside altercation. Was it error to refuse to admit evidence of P’s past hostility? Is the victim’s character an essential element of self-defense? No. In self-defense claims, the D’s knowledge of the victim’s aggressive character and specific acts may be admissible if D knew of violent acts (goes to his knowledge rather than victim’s propensity).

ii. Notes

Texas-you could use acts of violence by victim to show propensity.

2. When Character is in Issue in a Civil Case, Evidence of the Pertinent Character Trait is Admissible and May be Proven by Reputation, Opinion, and Specific Instances of Conduct

a. Negligent Entrustment

i. VanHouten-Maynard v. ANR Pipeline

P seeks to exclude D’s driving record and reputation for carelessness. In a negligent entrustment case, these things are pertinent. Exclusion denied.

ii. Notes

Character evidence is at issue in a civil case of- defamation, child custody, neg. hiring or supervision, fraud.

3. In a Criminal Case, the Prosecution May Not Offer Character Evidence Concerning the Defendant in its Case in Chief

a. U.S. v. Williams

Detective referred to the D as "fast Eddie." This is tantamount to reputation evidence. The state can’t do this until the D has opened the door. Conviction was reversed because other evidence was so weak.

b. Notes

4. In a Criminal Case, Character Evidence of a Pertinent Trait of a Defendant is Admissible if Offered First by the Defendant, After Which the State May Offer Rebuttal Evidence. Proof May be Made Only by Reputation and Opinion

a. Michelson v. U.S.

Past convictions of receiving stolen goods was properly admitted. This case is for bribery. Both crimes proceed from the same character defects which the D’s witnesses were reporting did not exist. The ct was in its discretion to exclude evidence of rumors of an event that was so remote.

b. Notes

"Have you heard…" is used for reputation testimony.

"Did you know…" is used for opinion testimony.

What is a pertinent trait? Good moral character, honesty and truthfulness but not law abiding.

5. In a Criminal Case, Character Evidence of a Pertinent Trait of a Victim is Admissible if Offered First by the Defendant, After Which the State May Offer Rebuttal Evidence. Proof May be Made Only by Reputation and Opinion

a. U.S. v. Keiser

D shot a man but argued self-defense. Victim’s violent disposition is exactly the sort of evidence 404 was intended to encompass. But, can an incident after the shooting be admitted as character evidence? This evidence is relevant but it was properly excluded because only reputation or opinion testimony is proper. Victim’s violent character is no an essential element of self-defense so specific acts are not allowed.

b. Notes

Specific acts cannot be used to show propensity of victim but can be used to show D’s state of mind.

6. In a Homicide Case, if the Defendant Offers Evidence That the Deceased was the First Aggressor, the Prosecution May the Offer Rebuttal Evidence of the Peacefulness of the Victim. Proof May be Made only by Reputation and Opinion

a. State v. Hicks

The D remarked about the victim’s character in his opening statement. Prosecutor wanted to put on evidence to rebut. D never developed statement in opening and objected to prosecutor’s 3d character witness. Prosecutor should not have anticipated this evidence. Evidence should have been excluded but no prejudice resulted because 2 witnesses were not objected to.

b. Notes

Cross-exam does not waive your objection.

7. In a Criminal Case, When Character is an Essential Element of a Charge, Claim or Defense, Proof May be Made by Reputation, Opinion, and Specific Instance of Conduct

8. Any Character Witness may be Cross-Examined concerning that Witness’ Knowledge of Specific Instances of Pertinent Bad Acts Committed by the Person Whose Character that Witness Had Endorsed

a. U.S. v. Wooden

D said the door to the restaurant was open and they went in to buy beer. D wanted to offer evidence of honesty. P wanted evidence of 20 prior drunk convictions in. Such convictions do not have a bearing on honesty, peace and good order.

b. Notes

Prosecurote many only get into specific acts if he has a good faith belief that (1) the act has occurred and (2) that the witness knows about it. And question cannot presume guilt.

9. Similar Acts- Specific Instances of Conduct are Admissible to Prove Intent, Motive, Plan, Design, or any Purpose Other Than Character, so long as the Probative Value of the evidence as to its not-for character purpose is not substantially outweighed by the risk of prejudice

a. Rule 404

(b) May be admissible to show motive, opportunity, intent, preparation, plan, knowledge, identity or absence of mistake or accident, must give reas. notice.

b. Identity

i. U.S. v. Jones

At issue is evidence of conviction for commercial gambling to show he lived in house where drugs were found. 3-part test (1) relevant to an issue other than character, (2) sufficient to find that D committed the act (modus operandi, signature trait), (3) 403. This inference was a propensity one and not a signature trait.

ii. Notes

Burden to show that the bad act occurred- less than an preponderance, even an acquittal can be used. Ct’s are reluctant to use arrests but you can use the facts.

c. Motive

i. U.S. v. Potter

Physician exchanging prescriptions for sex acts. Criminal charge was for illegally dispensing prescriptions. Sex acts were admissible to prove motive.

ii. Notes

Needing money for drugs as a motive for robbing a bank is not admissible because it is a tenuous link. Must show substantial drug habit that he couldn’t afford.

d. Intent or Knowledge

i. U.S. v. Hearst

Other acts are relevant to her defense of duress, crimes don’t have to be similar. Evidence admitted during prosecutor’s case in chief was okay because it was clear that the D would raise the issue of duress.

*Evidence should not have come in this way.

ii. Notes

If other crimes are too similar it looks like it is going to prove propensity.

e. Other Situations

i. U.S. v. Woods

7 children died the same way while in her care. Evidence of other deaths are admissible to prove lack of an accident even though D did not claim accident. This falls under the signature trait and identity of the wrongdoer exceptions. Ct really creates a new exception here because there are too many coincidences and it is almost impossible for this to occur without her involvement.

ii. Notes

When the balance between prejudicial and probative is close it should be let in unless it is not very important to the gov’t’s case.

10. Habit- Evidence of Habit is Admissible to Show That Conduct Conformed to Habit

a. Rule 406

A regular response to a certain repeated situation, must be specifically tied to conduct in the case. Doesn’t have to be corroborated and there doesn’t have to be an absence of eyewitnesses.

i. Halloran v. Virginia Chemicals

Witness said that P used heating coils on prior occasions. One prior occasion would not be enough. This was properly admitted because this is a deliberate and repetitive practice.

ii. Notes

How many times is enough to make it habit? Every time under the circumstances.

b. Interaction Among Character, Habit, and Methods of Proof

i. Perrin v. Anderson

4 LEO’s recounted prior violent encounters with the D. There were 5 encounters and no non-violent encounters. Testimony of specific instances is allowed to show habit (unlike character).

ii. Notes

11. The Rule of Character and Bad Act Evidence are Applied Differently in Cases Involving Rape or Sexual Abuse—Evidence of the Victim’s Prior Sexual Activity is more Strictly Regulated, while Evidence of the Defendant’s Prior Bad Acts is More Permissively Treated

a. Rule 412

Relevance of alleged victim’s past sexual behavior or alleged sexual disposition

Except- in criminal (1) to show specific instance to show someone other than the D was responsible, or (2) specific instance with the accused to show consent.

in civil (1) probative outweighs the harm to victim

b. Rape Shield Protection and the D’s Constitutional Rights

i. U.S. v. Bear Stops

Evidence that was sought to be brought in by D was evidence that victim was assaulted by other persons. The ct should have admitted this to prove an alternative explanation for the characteristics that are identified with children who have been abused and as an alternative to explain the bloody underwear.

ii. Notes

* Must have in camera procedure before this evidence is admissible because we want to encourage victims to come forward and probative value is so thin and there may be an absence of physical evidence.

These exceptions are here because recidivism rates are higher and there are unique difficulties with proof and we don’t like these crimes.

c. Rule 413

Evidence of similar crimes in sexual assault cases is admissible and shall be disclosed 15 days prior to trial and this rule should not be construed to limit admission.

d. Rule 414

Evidence of similar crimes in sexual molestation cases.

e. Rule 415

Evidence of similar acts in civil cases concerning sexual assault or child molestation- admissible as provided by 413, 414. These rules create exceptions to 404(b) (character evidence). May be admitted to any matter that is relevant.

f. Scope of the Rule Permitting Use of D’s Prior Sex Offenses

VII. Foundations

A. Real Evidence

1. Rule 901

Requirement of authentication and identification- by witness with knowledge, distinctive characteristics.

2. Chain of Custody

a. Lockhart v. McCotter

Item was traced from arrest to property envelope. It was established that it was secure and there was limited access. The envelope was traced to ct. While chain of custody was not established, this was sufficient because wallet was readily identifiable.

b. Notes

Minor gaps in custody are okay. Trial judge determines authenticity.

B. Demonstrative Evidence

1. Defined

Distinguished from real evidence because it has no probative value itself but serves merely as a visual aid to the jury in comprehending the testimony of a witness.

2. Smith v. Ohio Oil Co.

Use of plastic human skeleton was at issue. The test- (1) it must be relevant, and (2) explanatory to the jury. It is reversible error if it was just used for dramatic effect.

3. Photos, Videos, and Recordings

a. Foundation

Must be a fair and accurate representation of the scene on the day of the event in question.

b. Brown v. Barnes

Picture showed essentially the same view as on the day of the accident. Witness does not have to be the one who took the picture and the picture does not have to be taken on the day of the accident.

c. Notes

Photographer does not have to have an independent recollection of the scenes in the photo. You may want him to testify if certain distances are relevant.

Sound Recording-

(1) recording device was capable of recording

(2) operator was competent

(3) recording is correct rendition.

(4) no additions or deletions

(5) recording was preserved

(6) speakers are identified

(7) no impermissible inducement

4. X-Rays

a. Foundation

b. King v. Williams

X-rays were not properly authenticated but a proper chain of custody was established.

C. Voice Identification and Phone Calls

1. Rule 901

(4) distinctive characteristic

(5) identification opinion

(6) telephone- made to person assigned the number or business, self authenticating

2. Advisory Committee Note

3. U. S. v. Watson

D challenged admission of recorded phone conversation (transcripts). Don’t have to hear voice prior to recording. Any doubts about the opinions expressed (as to who was talking) is a question for the jury- as long as there is a sufficient basis for the opinion. Inaudible tapes are within the discretion of the ct. Transcripts are proper if they are accurate and tapes are inaudible.

4. Incoming Telephone Calls

a. People v. Lyons

Someone identified himself as the D and called the officer. The officer never spoke with the D before. Do circumstances permit the inference that the caller was the D? yes- The caller used both of the D’s names, the caller told another detective he knew the officer was looking for him, the caller’s reaction was spontaneous and dismayed.

5. Outgoing Telephone Calls

a. Calls to Businesses

i. Barrickman v. Nat’l Utilities

P was unclear about who she spoke with but there is a general rule that statements made a person answering a phone call to a place of business in the course of business, although no personal identification is made, the presumption is that such person is authorized to transact such business for the company.

ii. Notes

D. Handwritten and Writings

1. Rule 901

(2) non-expert opinion based upon familiarity not acquired for the purpose of litigation

(3) comparison by trier or expert witness

(4) distinctive characteristics, and the like.

2. Handwriting

a. Extent and Timing of Perception

i. In Re Diggins’ Estate

Witness who has only observed the person write his name once was competent to testify. Once goes to the weight, not the admissibility of the evidence.

ii. Notes

b. Comparison by Jury

i. U.S. v. Ranta

D was charged with stealing gov’t checks and cashing them. Expert could not conclusively determine so the ct gave the samples to the jury. This is okay because the D’ fingerprint sufficiently connected him and provided adequate foundation.

ii. Notes

3. Circumstantial Evidence

a. U.S. v. McMahon

Challenge is to a note allegedly written by the D. But, McMahon was observed passing the note. "I" was used in the note, suggesting that the passer was the author.

b. Notes

Can be admitted by- circumstances, contents, experts, persons familiar, trier of fact, or someone who was present and saw him sign it.

E. Public Records

1. Rule 901, 902(Certified copies of public record are self-authenticating)

2. Notes

VIII. Best Evidence Rule

A. General Rule- Proving the Contents of a Writing or Recording

1. Definition-requires the original of any document, the contents of which are at issue in the case.

Rule 1001-1008

2. Proving the Contents of a Writing

a. DeMarco v. Ohio Decorative Products

DeMarco made a reasonable, dilligent and good faith effort to find the original. Secondary evidence is admissible.

b. Notes

3. Writings Defined

a. Seiler v. Lucasfilm, Ltd.

Cannot reconstruct original when it was destroyed in bad faith.

b. Notes

4. Chattels

a. U.S. v. Duffy

Inscribed chattel- best evidence does not apply to objects, only writings. Only exception may be if there is a complex writing on it.

b. Notes

5. Tape Recording

a. U.S. v. Howard

Recorded statements were fairly inaudible. An agent testified to the statements. He testified to the contents of the conversation—not the contents of the tape. No best evidence problem.

b. Notes

6. Pictures, Films, X-Rays

a. U.S. v. Levine

Any original qualifies- negative, work-print. Then authenticate with a participant in film-making process.

b. Notes

B. Duplicates and Secondary Evidence

1. U.S. v. Sinclair

At issue were duplicates of an expense report- just one side. D wanted both sides admitted. Ct held that it didn’t need both sides because it wasn’t necessary to the defense.

2. Secondary Evidence

a. Neville Construction co. v. Cook Paint and Varnish

Original was destroyed in a fire.

b. Notes

C. Summaries

1. U.S. v. North American Reporting

You can use summaries when the evidence is voluminous but the underlying evidence still has to be admissible.

2. Notes

IX. Opinion Testimony

A. Lay Opinion

1. Rule 701

Rationally based on perception and helpful to the jury.

2. Rule 704

Opinion as to ultimate issue- evidence is not inadmissible soley because it embraces an ultimate issue to be decided by the trier of fact.

*Collective facts rule- opinion can be checked against the facts that support the opinion (you had to be there situation). This is not applied very often.

3. Rationally Based on Perception

a. U.S. v. Hoffner

Dr. was giving out a large amount of Sched II drugs. Lay witnesses were asked if D intended to issue Rx for legitimate purposes. Their opinions could not have been based on concrete facts- they were not there.

b. Notes

4. Helpful to the Jury

a. Shorthand Rendition

i. U.S. v. Yazzie

D was convicted for statutory rape. Friends wanted to testify as to victim’s age and affirmative defense. Their testimony was based on their perception- she was smoking and driving. It goes to the D’s state of mind.

ii. Krueger v. State Farm

Did the operator of the car have enough time to stop? Jury had sufficient facts that it could decide. This wasn’t a had to be there situation.

Can’t use hypotheticals with lay witnesses, even hypos with experts must be based on the facts.

b. Intent of Another

i. U.S. v. Rea

Tax evasion case. When the issue is a party’s knowledge and he cannot identify the objective basis for his opinion, he doesn’t meet the rule.

ii. U.S. v. Fowler

Witness knew D’s job and their experience was helpful to the jury.

c. Ultimate Issue

i. Kostelecky v. NL Acme Tool

Can testify as to ultimate facts but not legal conclusions. All accident report did was state that the cause was the injured’s own conduct.

ii. Notes

B. Expert

1. Rule 702

If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training or education may testify.

2. Qualification

a. Berry v. City of Detroit

P’s expert was not qualified because he had no expertise greater than the jury and no proper foundation was laid. Witness had nothing to offer the jury.

b. Notes

3. Assist the Trier of Fact

a. U.S. v. Whitehead

Dr. gave statements that he couldn’t physically distinguish between consensual and non-consensual or tell by who, then said he said diagnosis was L suffered from sex abuse by D. The ultimate fact is not helpful to the jury. Medical opinion cannot pass judgement on victim’s truthfulness.

b. Notes

4. Scientific, Technical, or Other Specialized Knowledge

a. Novel Scientific Evidence

i. Frye Test

Must have standing and scientific recognition in the particular field in which it belongs.

ii. Daubert

Factors- peer review, publication, potential rate of error, has it been tested. The trial ct must act as the gatekeeper.

iii. Gammill

Kumho Tire

Apply the same test to non-scientific testimony.

b. Mathematical Proof

i. People v. Collins

Testimony was to the probability of the two people of the same characteristics being together at the time of the crime. No foundation was laid. He made up statistical probabilities. This testimony invaded the province of the jury.

ii. Kramer v. young

This was a paternity case. Blood test was done and according to statute must be 97.3% sure. Genetic testing is valid and subject to cross. Procedure is universally accepted.

iii. Notes

5. Basis of Opinion and Underlying Data

a. Rule 703

Facts or relevant data need not be admissible.

b. Rule 704

Disclosure of underlying facts or data need not be testified to before expert gives their opinion, unless ct requests otherwise.

c. Facts Reasonably Relied Upon

i. Thomas v. Metz

Can rely on things not in evidence if the would ordinarily and reasonably be relied upon by experts.

ii. Notes

6. Ultimate Issue

a. Rule 704 (b)

b. State of Mind

i. U.S. v. Thigpen

The question was whether a schizophrenic could appreciate the wrongful nature of his actions. This was okay because it was a hypothetical person.

ii. Notes

Opinion must be to a reasonable degree of "medical" certainty.

X. Hearsay Defined

A. Rules 801 and 802

1. Rule 801

Statement, other than one made by the declarant while testifying at trial or hearing, (out of court statement), offered to prove the truth of the matter asserted.

Declarant is the person who made the statement.

Can be a statement- oral or written, or nonverbal conduct of a person.

*any writing is a potential hearsay question (must be able to cross)

2. Rule 802

Not admissible except as otherwise provided.

B. Declarant

1. People v. Centolella

Bloodhounds- the dogs’ reliability must be established through training records, pedigree, previous success and failure rate.

2. Notes

C. Truth of the Matter Asserted

1. Independent legal Significance

a. Oral Contracts

i. Creaghe c. Iowa Home Mutual

At issue are statements made by the insured to the D regarding cancellation of policy. Hearsay does not exclude relevant testimony as to what the contracting parties said with respect to the making or the terms of the oral agreement. Use of the testimony is not for the truth but for the fact that they were spoken.

ii. Notes

Words spoken to create or terminate a legal relationship are not hearsay when offered to show the existence of a legal relationship.

b. Slander and Perjury

i. U.S. v. Anfield

D objected to testimony in his perjury trial as hearsay. The prosecutor’s statements indicate only that the appellant made inconsistent statements under oath we don’t care if the statements were true.

ii. Notes

Verbal parts of acts- not hearsay because it explains the ambiguous act. For ex., dividing M&Ms

c. Threats and Fraud

i. U.S. v. Jones

Transcript of sentencing hearing was read to the jury. It was not offered to prove the truth of the matter asserted- just that the statements were made.

ii. Notes

d. Notice

i. Vinyard v. Vinyard Funeral Home

Slip and fall case. Prior accident at issue, offered to prove notice, not the truth of the matter asserted.

ii. Notes

e. State of Mind of the Listener

i. McClure v. State

Witness testimony that they had sex with deceased while deceased was married to the D. Also at issue is testimony that someone had told the D about it. The testimony should have been admitted because it went to the state of mind of the D and we don’t care whether or not it is true.

ii. Notes

Probable cause- statements made to officer to give probable cause are relevant only if probable cause is an issue.

f. State of Mind of the Declarant

i. Betts v. Betts

This is a child custody case. The cause of death of a sibling is disputed. Charges were brought against the new step-father. Statements were made to foster mother concerning the sibling’s death. The statements were admitted to show the state of mind of the child at the time of the proceeding.

ii. Notes

Statements made to present state are a hearsay exception because there is no time for reflection and listener can judge statements by appearance and they can be cross-examined.

g. Circumstantial Use

i. U.S. v. Amahia

This case involves a nigerian national. Statements were made to a co-conspirator then relayed to Poncil about the availability of cash for bogus marraiges. Double hearsay? No, because we are using it to show why Poncil put herself in a position to marry Amahia.

ii. Notes

D. Statement

1. Assertive Conduct

a. Responses to Question with Action

i. Stevenson v. Commonwealth

Evidence of blood stained shirt is in question. Mrs. Stevenson gave the police the shirt D wore on the day in question. Was Mrs. S’s nonverbal conduct the equivalent of a verbal assertion of the truth of the matter asserted? Yes, it was inadmissible.

ii. Notes

2. Non-Assertive Conduct and Words

a. Implied Assertions

i. U.S. v. Zenni

Are implied assertions hearsay? The gov’t agent answered phone while on D’s premises and callers placed bets. This was offered into evidence to show that the D’s residence was used for betting operations. It was offered to show declarant’s belief. Implied assertions are not as vulnerable as express asertions.

ii. Notes

3. Silence

a. Silver v. NY Central RR

P was suffering from a circulatory ailment and the railcar became too cold. A delay caused a layover in negative temps. Porter testified as to conditions he felt but could not testify that no one complained. Evidence of no complaint is too remote and is inadmissible unless there is evidence of circumstances indicating that others similarly situated had the opportunity to complain.

b. Notes

E. Hearsay or not hearsay

1. U.S. v. Check

XI. Hearsay Exclusions

A. Prior Statements by a Witness

1. Inconsistent Statements Under Oath

a. Common Law

b. Rule 801(d)(1)(A)

Statements which are not hearsay- prior statements by a witness if testimony is inconsistent and statement was given under oath subject to penalty of perjury of in a deposition.

c. Other Proceedings

i. U.S. v. Livingston

This case involves armed robbery of post office. Witness testified that she did not remember giving a statement to a postal inspector. Statement must be made prior to any motive to fabricate. There was no verbal record and the circumstances lack reliability. Statement should be allowed in for impeachment purposes only- not substantive value.

ii. Notes

2. Consistent Statements

a. Rule 801(d)(1)(B)

Not hearsay if declarant testifies at trial or a hearing and is subject to penalty of perjury and the statement is consistent and is offered to rebut an express or implied charge against declarant of recent fabrication or improper influence or motive.

b. Allegations of Recent Fabrication

i. Tome v. U.S.

Whether an out of court statement made after the alleged fabrication, or after the alleged improper influence or motive arose, are admissible. Statements here were made alleging sexual assault. They were made after divorce. Statements must be made prior to alleged fabrication or else it’s not relevant.

ii. Notes

3. Prior Identification

a. Rule 801(d)(1)(C)

b. Subject to Cross

i. U.S. v. Owens

In this case, a counselor was beaten and suffered memory loss. He recalled identifying the D but didn’t remember the D as the actual attacker. The issue was whether a prior out of ct identification is admissible when the identifying witness is unable because of memory loss to explain the basis for the identification. There is a confrontation clause problem presented by this situation but as long as there is a witness to cross it is admissible- the constitution only guarantees the right to the opportunity to an effective cross, not a cross that is effective.

ii. Notes

B. Admissions by a Party

1. Rule 801(d)(2)

Admission by a party opponent-statement offered by a party and (1) is the party’s own statement which is contrary to the positon they are taking now or (2) is a statement of which the party has manifested an adoption or belief in its truth or (3) a statement by a person authorized by the party to make a statement made by the party’s agent or (4) a statement made by the party’s agent or servant concerning a matter within the scope of employment- made during the existence of a relationship or (5) a statement by a coconspirator of a party during the course and in furtherance of the conspiracy.

2. Own Statement

a. State v. Johnson

At issue in trial was the D’s own willingness in failing to deposit tax sums required. Hearsay was admitted as to this fact and D did not object. On cross, prosecutor objected to hearsay. D argued that since admissions against interest were admitted there should be a correlative right to introduce beneficial admissions. Rules don’t allow this and the statement wasn’t hearsay because it was a party admission.

b. Notes

Codefendants are not party opponents.

Statements against interest-

against interest when made

made by anyone

no motive to lie

requires personal knowledge

witness must be unavailable (not in tx)

Admissions

against position at trial

made by a party

personal knowledge not required

does not require publication (can be something you say to yourself)

3. Adoptive Admissions

a. Rule 801(d)(2)(B)

b. By Conduct

i. U.S. v. Beckham

Friend said "I don’t have another one (referring to a crack rock), but my friend does." The friend walked past them and took out 2 ziplock bags. D adopted the statement as his own. Where the facts bearing upon admissibility conflict, the court need only find that it is more probable that not that the facts favoring admissibility exist.

ii. Bill v. Farm Bureau Life Ins.

Medical examiner’s testimony was excluded as to conversation he had with the P. "I asked him if there were any doubt in his mind that his son committed suicide, he shook his head." The nod was to be interpreted by the jury.

iii. Notes

4. Authorized Admissions, Admissions by an Agent

a. Rule 801 (d)(2)(C), (D)

b. Distinction

i. Mahlandt v. Wild Candid Survival & Research

3 statements are at issue- a note, an oral statement and board meeting minutes. The first two were admissible even though there was no personal knowledge because he believed it was true and he is an employee and it is within the scope of his employment. The last is admissible, but not against employee because he wasn’t at the meeting.

ii. Notes

If you fail to respond to something that a reasonable person would have responded to it may constitute an admission.

Cannot ask why a defendant in a criminal case did not say something to the police during his arrest--miranda rights were issued. But you can ask why it took 2 weeks for him to turn himself in.

c. Within the Scope of Agency or Employment

i. Hill v. Spiegel, Inc.

Age discrimination suit. Former manager testified as to conversations he had with other employees concerning the P’s discharge (age and income). There was no evidence that these declarants were involved in the decision to terminate the P. Must establish (1) existence of an agency relationship, (2) statements were made during the course of the relationship, (3) and were related to matters concerning the scope of the agency.

ii. Notes

Can’t use this rule with the gov’t because there are too many agents/employees and they can’t be responsible for the statements of all of them.

Atty statements from a prior case are admissible if there is a true inconsistency, the statements are the equivalent of testimonial statements, an innocent explanation would not resolve the discrepancy.

5. Co-Conspirators

a. Rule 801(d)(2)(E)

offered against a party and is a statement by a coconspirator of a party during the course and in furtherance of the conspiracy

b. Existence of a Conspiracy

i. Bourjaily v. U.S.

The issue is whether the ct must determine by independent evidence that a conspiracy existed and the D and the declarant were members, the quantum of proof that this determination must be based on, and whether the ct must examine the circumstances of the statement to determine its reliability. The st should use a preponderance standard and the ct may examine any evidence whatsoever.

ii. Notes

Every ct has required some independent evidence to support evidence of a conspiracy. Texas requires some other evidence of the conspiracy.

If it is a firmly rooted exception, then it does not violate the confrontation clause.

c. In Furtherance of the Conspiracy

i. U.S. v. Harris

This is a mail fraud case. The issue was whether statement made while in the hospital were still in the furtherance of the conspiracy. The statement was that he had fooled the preacher. This was in furtherance of the conspiracy to defraud the ins. co.

ii. Notes

Judicial admissions are conclusive and cannot be explained away.

XII. Hearsay Exceptions

A. Unavailability Defined

1. Rule 804(a)

(1) Delcarant is exempted by ruling of ct on grounds of privilege.

(2) Persists in refusing to testify despite ct order

(3) Testifies to lack of memory

(4) Unable to be present because of death or existing physical or mental illness

(5) Absent from hearing and proponent of the statement has been unable to procure the declarant’s attendence

2. Privilege

a. Rule 804(a)(1)

b. Burden of Proof

i. U.S. v. Pelton & Rich

Boat show whores (remind you of anyone you know?? ). Witness was not called because it was assumed that she would not testify. She was subpoenaed but advised that she would take the fifth. Burden was not met that witness was unavailable.

ii. Notes

3. Refusal

a. Rule 804(a)(2)

b. Notes

4. Lack of Memory

a. Rule 804(a)(3)

b. Permanent Loss

i. U.S. v. Amaya

Witness had amnesia so the testimony was brought in from the prior trial (which had been reversed due to unrelated issues). Permanence of amnesia is not an absolute requirement- duration is just a factor.

ii. Notes

5. Death or Disability

a. Rule 804(a)(4)

b. Temporary Disability

i. U.S. v. Faison

Witness was having heart trouble during the 2d trial and the objection to admitting his prior testimony was founded on the belief that he would be available in the near future. Testimony was taken from the witness’ trial (predecessor in interest, 804 (b)(1)). The factors that should be looked at are-importance of witness, extent of cross in testimony, reliability, duration of illness, expected recovery time.

ii. Notes

6. Absence

a. Rule 804(a)(5)

b. Depositions

i. U.S. v. Rothbart

Employment required witness to be in Saudi Arabia. Prosecution arranged for deposition, and informally notified the D six days prior to the deposition. Declarant is not absent because he is outside of the jurisdiction or cannot be located. Prosecutor did not file a motion for deposition, no written notice to D, no ct order and no consent by D. Reversed, no proof of unavailability.

ii. Notes

Where you have a deposition, you the testimony is not unavailable but in order to use the deposition you must show that the witness is unavailable.

7. Procurement or Wrongdoing

a. Rule 804(a)(5)

b. Negligence

i. U.S. v. Mathis

Witness was released from jail erroneously. They could not be located. Witness was unavailable.

ii. Notes

B. Unavailability Exceptions

1. Rule 804(b)

a. Rule 804(b)(1)

Former testimony- predecessor in interest had oppty, similar motive to develop cross.

b. Predecessor in Interest

i. In the Matter of Johns-Manville/Asbestosis Case

Relationship among the Ds compels that prior Ds were predecessors in interest even though they weren’t subsidiaries.

ii. Notes

No effective cross in grand jury testimony. But, it may be used against the gov’t. Often, there is no cross at the preliminary hearings either- as a matter of tactics. So, you can use preliminary testimony unless D has no atty at prelim hearing.

2. Dying Declarations

a. Rule 804(b)(2)

Statement made under belief of impending death and must relate to cause or circumstances relating to death.

At CL this exceptions was only used in homicide cases.

b. Circumstantial Proof

i. State v. Quintana

Declarant’s back was broken, he was probably paralyzed, blood was oozing from his nose and mouth and he said there was a strong possibility of dying. Circumstances allowed this statement in.

ii. Notes

3. Statement Against Interest

a. Rule 804(b)(3)

Statement against interest.

Texas- don’t have to show unavailability of witness.

b. Pecuniary Interest

i. Ghelin v. Johnson

Delcaration against interest to say you are single in your tax returns because you can save a lot of money if you report that you are married. Must look at context to see if it is against interest.

ii. Notes

c. Penal Interest

i. Williamson v. United States

A statement tending to expose the declarant to criminal liability and offered to exculpate the accused is not admissible unless corroborating circumstances clearly indicate the trustworthiness of the statement.

In this case Harris was arrested for transporting cocaine to D. Harris recanted his confession wouldn’t sign statement and refused to testify because he feared for his life. The statement should not have come in- a broad self-inculpatory statement does not make the non-self-inculpatory parts credible.

ii. Notes

It is all a problem of trustworthiness when statements are so self-serving. Is there any corroboration? Look at context and time.

4. Family History

a. Rule 804(b)(4)

Statement of person or family history.

b. Relationship by Blood

i. Queen v. Hepburn

Statement was that she frequently heard mother say that she heard frequently from her father that he heard that Mary was born and lived…. This should have been admissible, all eyewitnesses are dead.

ii. Notes

5. Residual Interest

a. Rule 804(b)(5)

Catch all.

b. Guarantees of Trustworthiness

i. U.S. v. Carlson

Grand jury testimony of J.T. J.T. refused to testify at trial. Trustworthiness was high, J.T. never recanted, he just feared for his life. There was (1) reliability and a (2) substantial need for the tesimony. Must be (3) offered as evidence of a material fact and there must be (4) no other source and (5) the interest of justice is advanced.

*Not admitted under former testimony because no oppty to cross.

ii. Notes

Factor in evaluating trustworthiness-

relationship, capacity of declarant, personal truthfulness, if declarant has recanted, personal knowledge of declarant, circumstances, corroboration, anticipation of litigation, cross-exam, disinterested or interested, voluntary or not.

XIII. Hearsay Exceptions Not Requiring Declarant’s Unavailability

A. Present Sense Impression

1. Rule 803(1)

2. Event, Perception, and Time Requirements

a. U.S. v. Campbell

911 call and dispatch recording- 911 call gave description, officer and dispatch, while chasing D. Tape is admissible and so is 911 call. 3 conditions- (1) statement must describe or explain the event, (2) the declarant must have perceived it, and (3) description must be substantially contemporaneous.

b. Notes

Some cts add some other element of corroboration. Texas seems to.

B. Excited Utterances

1. Rule 803(2)

2. Unknown Declarant

a. Miller v. Keating

Someone said "the sob tried to cut in." This was inadmissible because the declarant was anonymous and credibility is diminshed, no cross and no option to impeach. The requirements are not met-(1) startling occasion, (2) statement related to the circumstances of #1, (3) the declarant appears to have had the oppty to observe the event, and (4) statement was made before time for reflection.

We can’t tell if the statement is from firsthand knowledge or not.

b. Notes

Self-serving statements are under suspicion because it suggests a thought process.

C. Statement of Existing Emotional or Physical Condition

1. Rule 803(3)

Made for the purpose of treatment of diagnosis- in so far as it is pertinent to diagnosis.

2. Foundation and Relevance

a. U.S. v. Day

Leg hurts, maybe evidence of a fight earlier that day, more towards intensity of the fight. D must lay relevance foundation- had to be shown there was a fight. Usually if it is so self-serving it must have some degree of spontaneity.

D. Statement for Treatment or Diagnosis

1. Rule 803(4)

2. Causation

a. Rock v. Huffco Gas & Oil

Details of ankle injury were not necessary for treatment. Could be a party admission or statement against interest if the witness if unavailable.

b. Notes

Statements made to someone for the purpose of them telling the dr. are also admissible.

E. Hearsay within Hearsay

1. Rule 805

Not excluded if each part conforms to an exception.

2. The Non-Hearsay Problem

a. U.S. v. Dotson

Police report detailing statement of gov’t witness was inadmissible because the 1st level of hearsay does not comport to an exception.

b. Notes

F. Business Records Exception

1. Rule 803(6)

2. Duty Requirement

a. Johnson v. Lutz

Police report should not be allowed in-specifically those statements that were not personal knowledge of the LEO.

b. Kelly v. Wasserman

The D admitted to welfare assistant that P was allowed to stay for free for life. Statement was in a report made by the assistant. This was admissible as a party admission and business record.

3 ways- (1) report is pursuant to business duty, (2) the underlying statement satisfies another hearsay exception or can in some way be verified, (3) underlying statement is offered as non-hearsay.

3. Germaneness Requirement

a. Palmer v. Hoffman

Accident report was made but not admitted because it was not made in the ordinary course of business, even though it was ordinary conduct of the RR to make reports. But, report was a matter of covering their butts in the event of litigation, not safety.

b. Notes

The absence of a record could be evidence of the non-happening of an event.

G. Public Records

1. Rule 803(8)

2. Factual Findings

a. Beech Aircraft v. Rainey

Cause of the accident was indeterminable. Report contained fact findings and conclusions. It listed the cause as probably pilot error. Opinions and conclusions are not by that fact excluded by the rule. Must be based on fact. Factors to look at (1) qualifications, sufficient basis and trustworthiness, (2) more than legal conclusions, (3) final report v. preliminary, (4) report superceded or revoked, (5) personal knowledge, (6) suspect motivation for making report, (7) timeliness, (8) made after a hearing, (9) statutes may exclude reports.

b. Notes

Police reports won’t come in for criminal case (against D), but will in a civil case.

Lab reports come in because they are not really adversarial and it’s not really investigative either.

H. State of Mind

1. Rule 803(3)

Then existing mental, emotional or physical condition- but not a statement as to memory, unless it relates to the execution, revocation, identification or terms of the declarant’s will.

2. Future Conduct

a. Mutual Life Ins. v. Hillmon

Issue was whether the insured was really dead. Letter gave plan of trip and showed where he would supposedly died. Letter was missing so recipient testified to its contents (Best Evidence Rule). It was admissible because it expressed his intentions at the time he wrote the letter. It is not offered as proof that he followed his plan.

The letter was not written by the insured. But ct held that letters can come in to show conduct of a non-declarant.

b. Notes

Advisory Committee Notes- left Hillmon undisturbed, judiciary limited it to the declarant’s conduct.

Jurisdictions are split but most let this in.

When does victim’s fear of the accused admissible? it comes in to rebut self-defense, accident or suicide.

3. Past Acts

a. Shepard v. U.S.

Statement at issue is "Dr. Shepard poisoned me." There is no evidence that she thought she was dying. D offered deceased’s thoughts of suicide so this statement was admitted to rebut it. A limiting jury instruction should have been issued. This testimony was highly prejudicial

I. Learned Treatise

1. Rule 803(18)

To the extent that an expert relied upon in direct or called to the attention of an expert in cross, statements in treatises, established as reliable, may be read into evidence.

2. Impeachment

a. Reilly v. Pinkus

"Kelp I Dine." D was not permitted to cross gov’t dr’s on statements in books. If dr agrees that a text is authoritative, you may cross on certain statements in the books to impeach.

b. Notes

May be read as substantive evidence too.

J. The Residual Exception

Advance notice must be given, must be trustworthy, material and more probative than anything else that could be offered and justice is served.

XIV. Hearsay and the Confrontation Clause

A. Confrontation Clause

B. Confrontation Clause v. Admission of Out of Court Declarations

C. Two Part Test

1. Ohio v. Roberts

Witness testified as a D witness in preliminary hearing. At trial witness did not show up. State used witness’ preliminary hearing testimony. Must show reliability and unavailability (good faith effort to produce). Different lawyer doesn’t matter.

2. Idaho v. Wright

Child’s statements to the dr. were admitted but the questions were clearly leading and children are highly suggestive. There was not recording. Corroborating evidence should not be relied upon because it sheds no light on who the perpetrator was.

3. U.S. v. Inadi

Unavailability is not required by the confrontation clause.

4. Notes

D. The Bruton Issues

1. Richardson v. Marsh

Conversation occurred in the car that the witness said she didn’t hear. This conversation was the only direct evidence at the joint trail. Jury was instructed not to hold it against this D. Giving jury instructions is enough because we can’t have a separate trial every time for- efficiency, consistent verdicts, witness efficiency, no D will have the advantage of knowing the state’s tactics.

2. Cruz v. NY

Video taped confession of one D was watched by the jury. The jury was instructed not to use it against any other D. When a non-testifying co-D’s confession incriminates another D, the confrontation clause bars its admission at their joint trial.

3. Notes

XV. Shortcuts to Proof- Judicial Notice and Presumptions

A. Judicial Notice

1. Rule 201

(a) Judicial notice may be taken of adjudicative facts

(b) if they are generally known in the jurisdiction and are capable of accurate determination.

(c) ct may take notice

(d) ct will take notice if requested

(e) must have oppty to be heard before notice is taken

(f) can be taken at any stage

(g) in a civil case it is conclusive

in a criminal case it is not

2. Common Law

a. Varcoe v. Lee

Judicial notice was taken of the fact that the accident occurred in a business district. There is no evidence in the record that supports this- a judge should not rely on personal knowledge. The ct should have left it up to the jury and counsel should have had a chance to respond.

The test- (1) is it common knowledge within the jurisdiction, (2) is it indisputable, and (3) is it an issue within the jurisdiction.

b. Notes

3. Judicial Notice in Criminal Cases- Instructing the Jury

a. U.S. v. Jones

In a criminal case the jury is no bound to accept judicial notice.

b. Notes

4. Legislative Facts

a. Advisory Committee Note

b. Adjud v. Legis Facts

Adjudicative facts are applicable to a particular case.

i. U.S. v. Gould

The fact was that cocaine comes from cocoa leaves. A ct may take judicial notice of any fact which is capable of instant and unquestionable demonstration, if desired, that no party would think of imposing a falsity on the tribunal in the face of an intelligent adversary.

ii. Notes

Judicial notice of legislative facts may be taken as conclusive.

B. Presumptions

1. Rule 301

Does not shift the burden of proof or persuasion, only the burden of going forward with evidence.

No 301 in tx but it is a CL rule in tx.

2. Rule 302

3. To Shift the Burden of Persuasion or Not in Civil Cases

a. James v. River Parishes Co.

The owner of a barge adrift on a river bears the burden of proof that it is nomadic without fault on his part. To rebut a presumption, the claimant must adduce evidence that would be sufficient to overcome a directed verdict.

*Ct did not apply 301 because this is a long standing substantive rule in admiralty law.

b. Notes

Conclusive presumptions shift the burden of going forward. If rebutted, then it becomes a permissible inference if it is a logical presumption.

Thayer (majority)- opponent must merely offer credible evidence sufficient to support a finding contrary to the presumed fact in order to take the presumption out of the case.

Morgan (minority)- burden completely shifts.

4. Presumptions in Criminal Cases

a. County Ct of Ulster v. Allen

Ny statute says that the present of a firearm in a vehicle is presumptive evidence of its illegal possession by all persons then occupying the vehicle. The only exception is if it is found on a person. The judge gave permissive inference instructions and this was a rational application of the statute.

b. Notes

In criminal cases, presumptions are only permissible(?).

To rebut any presumption it requires the same amount of evidence to rebut a directed verdict (some evidence a reasonable juror could use).

XVI. Impeachment

A. Extrinsic Evidence- Collateral/Non-Collateral Issue

Extrinsic- may not need to cross at all, info comes from other sources

Intrinsic- during cross facts are elicited from witness

Collateral- so removed from issues to be decided, extrinsic evidence is inadmissible.

Non-Collateral- related enough, extrinsic evidence is admissible.

B. Impeaching You Own Witness: The Vouching Rule and its Rejection by the Federal Rules

1. The Vouching Rule at Common Law

Rule at CL was that you can’t impeach your own witness, unless their testimony surprises you and hurts your case.

2. Rule 607

Any party may impeach a witness. But, there are still limits- you can’t call a party simply to impeach.

3. Notes

Texas- Testimony is admitted to a collateral matter on direct, you may impeach to relieve false impressions.

C. Requirement of Good Faith Basis for Inquiry

D. The Impeachment Modes

1. Level One- The Elements of Competency

Mode- 1: Oath

a. Rule 610

Religious beliefs are not admissible to show a witness’ credibility is impaired or enhanced. May be admissible to show employment and damages, hardship, motive of bias.

b. Beliefs Impairing Credibility-General Rule of Exclusion

i. U.S. v. Sampol

Witness had no religious beliefs that would cause him to violate his oath. Further inquiry was properly cut off.

ii. Notes

Inquiries as to drug use are limited to the time of perception and time of testifying.

Evidence of insanity is admissible to impeach credibility.

Mode- 2: Perception

Mode- 3: Recall

Mode- 4: Communication

c. Notes

2. Level Two- Character Impeachment

Mode- 5: Convictions/Prior Crimes

a. Rule 609

(1) did it constitute a crime of dishonesty or a false statement, then it is in,

(2) accused as a witness, then the burden of proof is on the state to shoe that probative outweighs prejudicial,

must be within 10 years old.

b. Balancing Process

i. U.S. v. Hayes

ii. Notes

c. Dishonesty and False Statement

i. U.S. v. Barnes

Prior heroin conviction is at issue. The conviction is 6 years old, it was a misdemeanor and it was for personal use. Charge now is theft. This is not similar enough that the jury would infer guilt. D’s honesty is relevant because his version of the facts were contradicted by the prosecution.

ii. Notes

Shoplifting is not a crime dishonesty.

Crimes that constitute dishonesty are meter tampering, counterfeiting money, filing a false police report, mail fraud or forgery.

Mode- 6: Bad Acts

a. Rule 608(b)

Specific instances of conduct for the purpose of attacking or supporting witness credibility.

Extrinsic evidence is not admissible to prove that a witness is lying as to a prior bad act (that did not result in a conviction). You must accept the answer.

b. Extrinsic Evidence of Untruthfulness

i. Simmons v. Pinkerton’s

Fire occurred at the warehouse. The admission of the polygraph of the security guard was in the discretion of the trial ct. Ct admitted testimony that the polygraph had been taken and P’s atty elicited testimony that D’s guard lied about not taking a polygraph. Testimony was admitted to impeach, not as substantive evidence. Using a misstatement or fact to impeach credibility that is not directly related to a substantive issue in the case simply to contradict a witness is impermissible.

ii. Notes

Bad acts that you can inquire about on cross- faking insanity, use of aliases, false credit applications, failure to report political contributions, false excused for work absences, lying about marital status, forgery, bribery, crimes of dishonesty.

Bad acts that you cannot inquire about on cross- drug use, prostitution, soliciting bribes.

Mode- 7: Character Witness for Veracity/Non-truthfulness

a. Rule 608(a)

Evidence of character and conduct of a witness

(1) reputation

(2) opinion as to character for truth, evidence to support the truthfulness of a witness may be admitted only after it has been attacked.

b. Expert Testimony as to Truthfulness

i. U.S. v. Hiss

Psychiatrist’s testimony of witness’ insanity to impeach credibility of witness is admissible.

ii. U.S. v. Barnard

Judge may call for expert to testify in deciding on the competency of a witness. Credibility is for the jury to decide. Here, the testimony would be highly prejudicial and the witness’ testimony was already suspect. Only in rare instances should this be admitted.

iii. Notes

3. Level 3- Inconsistencies

Mode-8: Prior Inconsistent Statements

a. Rule 613

Prior witness statements- (1) doesn’t have to be shown to opposing counsel (2) extrinsic evidence is only admissible is witness is afforded an oppty to explain or deny the same, or in the interest of justice otherwise requires.

Queen Caroline’s Rule- you need to show witness the statement before you use it to impeach to give them a chance to explain before you bring in intrinsic or extrinsic evidence.

Texas retains Queen Caroline’s Rule, same is true with bias in Texas.

b. U.S. v. Rogers

Co-robber made incriminating statements, then said she remembered giving the statement but didn’t remember saying those things in it and took the 5th. The gov’t offered the statement to impeach. It was proper impeachment.

(1) Inconsistency does not have to be diametrical opposition. It may be implied through silence, changes in position or denial of recollection.

(2) Relevancy requires that the prosecutor’s case would be adversely affected id inconsistency is allowed to stand.

(3) Must be compliance with 613- oppty to admit or deny.

(4) Jury must be given limiting instructions.

c. Notes

Extrinsic evidence is not admissible to impeach on a collateral issue.

Mode- 9: Contradiction

a. Extrinsic Evidence to Contradict

b. Facts Relevant to Material Issue: Intent

i. State v. Gore

D is charged with possession with intent to distribute. D denied ever selling cocaine out of trailer. The state put an informant on the stand that said he bought out of the trailer. This is a collateral matter, no extrinsic evidence. But, it probably comes in anyway because D put this out there and his credibility is at issue.

ii. Notes

c. Facts Relevant to Impeaching Point: Bias

i. U.S. v. Robinson

Normally, if the alleged misconduct is denied by the witness, extrinsic evidence is not admissible to impeach. But, this does not exclude proof of conduct by the witness evidencing a specific bias for or against a party.

ii. Notes

Texas retains Queen Caroline’s rule for bias.

Bias is never classified as a collateral issue.

d. Facts that Only Contradict

i. Hartsfield v. Carolina Casualty Ins

Hartsfield denied receipt of cancellation notice. He put his credibility in issue. Cancellation notice was properly admitted.

ii. Notes

4. Level 4- Bias

Mode- 10: Bias/Partiality-predisposition for or against.

a. Availability under the Federal Rules

b. U.S. v. Abel

Cohort testified against the D. Cohorts prison friend was going to testify that cohort lied. Prosecution wanted to introduce evidence of prison friend and D being in the same gang to show bias. Ct admitted evidence but not the specifics of the gang and gave a limiting instruction.

c. Notes

You don’t have to take the answer with bias- it is not a collateral issue.

E. Rehabilitation

1. Truthfulness After Attack

a. Rule 608(a)

Impeaching with reputation evidence as to truthfulness.

"Have you heard.." is the proper form, but must accept answer.

b. Cross as Attack

i. U.S. v. Medical Therapy Sciences

Evidence for truthful character is only admissible after it is attacked. Gov’t put out witness’ prior convictions and then attempted to rehabilitate him. Close call, probably within the ct’s discretion.

ii. Notes

2. Prior Inconsistent Statements

a. U.S. v. Harris

D was charged with forging eligibility questionaires. A prior statement is not hearsay if (1) declarant testifies about it and is subject to cross, (2) statement is consistent with declarant’s testimony and is offered to rebut an express of implied allegation or recent fabrication, improper influence or motive.

b. Notes

When offered to rehabilitate, it is not necessary that a motive to fabricate did not exist at the time the statement was made because it is not offered for the truth of the matter. But if you offer it for substance you must show no motive to fabricate.

XVII. Privilege

A. Rule 501

B. Marital Privilege

1. Trammel v. U.S.

Wife was allowed to testify as to any act or communication that occurred in the presence of a 3d party.

2. Notes

Marital privilege does not apply if the couple was separated and marriage was irreconcilable at the time of the communication.

C. Atty-Client Privilege

1. Denver Tramway v. Owens

Atty consultation- relationship is established when a party seeks a consultation.

2. Notes

Non-privileged- tax return prep., business docs., minutes of board meeting with atty present, atty as conduit, atty consulted as a friend, communication to secure business, patent atty’s acting as engineers.

Privilege does not apply if 3d party hears (even if inadvertant), unless the party’s presence does not indicate lack of intent to keep it confidential.

3. Upjohn v. U.S.

A fact cannot be concealed merely by revealing it to an atty. The atty’s mental process is protected beyond substantial need and undue hardship. Must show inability to obtain without undue hardship.

4. Notes

D. Privileges Related to Physical or Mental Health

1. Jafee v. Redmond

Conversations during counseling received after LEO shot a man was at issue. Physcho-therapist privilege serves the best interest of the patient and the public good.

2. Notes

No dr-patient privilege at CL.

All states have some form of this now but non were adopted by the legislature.

Texas- 510.

E. Priest-Penitent Privilege

1. Mullen v. U.S.

Priest told judge that D confessed. The privilege extends if person was seeking spiritual advice. Apply the 4 cannons, p. 894.

2. Notes

F. News Reporter’s Privilege

1. Riley v. City of Chester

Constitutional rights prevail over civil litigant’s interest in finding source. Not an absolute privilege. Specific need must be shown before it can be overcome. A criminal case would meet the interest. Look at the nature of the case, relevance to the case, and materiality of the info sought.

2. Notes

G. Informant’s Privilege

1. McCray v. Illinois

When the question if one of probable cause, the informant need not be identified. If the disclosure would be helpful or relevant to the defense of the accused or is essential to a fair determination of a cause, the privilege must give way.

2. Notes

This extends to civil cases too.

H. Executive Privilege

1. U.S. v. Nixon

If info is proved to be essential to justice it may be ordered to be revealed for an in camera inspection. General claim of privilege won’t win over criminal interests.

2. Notes

I. State’s Secret Privilege

1. U.S. v. Reynolds

When the compulsion of evidence will expose military matter which in the interest of national security should not be divulged a judge should not order an in camera inspection.

2. Notes