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I. RULE 401 - Relevant Evidence = evidence having any tendency to make the existence of
any fact that is of consequence to the determination of the action more or less probable
than it would be without the evidence. (very low threshold).
a. Facts of consequence include:
i. An element of the cause of action, claim or defense.
ii. The credibility of the witnesses.
iii. Background fact (helpful facts filling in the evidence).
II. Conditional relevance = when the relevance of evidence depends on the existence of a
fact. RULE 104(b) gives judges the discretion to conditionally admit evidence so long as
the “missing link” of that evidence will be “connected up” by proof of the missing fact.
a. This evidence will be admitted if a reasonable jury could find by the preponderance
of the evidence that fact exists.
b. The judge determines whether there is sufficient evidence for the jury to find the
existence of the fact.
c.
III. Old Chief v. U.S. = The recognition that the prosecution with its burden of persuasion
needs evidentiary depth to tell a continuous story has no application when the point at
issue is defendant’s legal status. (Prosecution refused to stipulate to the fact that Old
Chief was a felon so that they could tell the somewhat gruesome details of his crime)
a. When a court considers whether to exclude on grounds of unfair prejudice, the
availability of other means of proof may be an appropriate factor.
CHARACTER EVIDENCE: THE PROPENSITY RULE AND CHARACTER AT ISSUE
I. RULE 404 – Character Evidence Not Admissible to Prove Conduct; Exceptions; Other
Crimes.
a. 404(a) = Evidence of a person’s character or a trait of character is not admissible for
the purpose of proving action in conformity therewith on a particular occasion.
i. Character evidence is of slight probative value and may be very prejudicial. It
tends to distract the trier of fact from the main question of what actually happened
on a particular occasion. It allows them to reward the good and punish the bad.
ii. Character is a generalized description of one’s disposition, or of one’s
disposition
in respect to a general trait, such as honesty, temperance, or peacefulness.
iii. Only extends to “act propensity evidence” not “mental propensity evidence.”
b. There are two broad purposes for which character evidence may be offered.
i. Propensity uses: arguing that, because someone acted or thought a certain way
in
the past, they have a character that makes it more likely that they acted or thought
that way again.
ii. Non-Propensity uses: offering character evidence for any other reason.
iii. Three types of character evidence = reputation, opinion and specific acts.
iv. If character is offered to prove that a person thought, rather than acted, a
certain
way on a particular occasion, the general rules on character evidence probably do
not apply.
II. RULE 404(a)(1), 1st clause – Character of Accused. In a criminal case, evidence of a
pertinent trait of character offered by an accused, or by the prosecution to rebut the same.
a. Pertinent = those involved in the event charged.
b. The rule refers to a “specific trait” of character and not character generally. This
suggests that testimony of an accused as being honest might be admissible but not
that he has a “good character.”
c. This is the “mercy rule” and applies only in criminal cases.
III. RULE 404(a)(2), 1st clause – Character of Alleged Victim. In a criminal case, and subject
to the limitations imposed by rule 412, evidence of a pertinent trait of character of the
alleged victim of the crime offered by an accused, or by the prosecution to rebut the
same…
a. Example = the victim’s violent nature would be pertinent to a self-defense claim.
IV. RULE 404(b) – Specific Acts Offered for Non-Character Uses or Mental Propensity Uses
= Other Crimes Wrongs or Acts: Evidence of other crimes, wrongs, or acts, is not
admissible to prove the character of a person in order to show action in conformity
therewith. It may, however, be admissible for other purposes, such as proof of motive,
opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or
accident, provided that upon request by the accused, the prosecution in a criminal case
shall provide reasonable notice in advance of trial, or during trial if the court excuses
pretrial notice on good cause shown, of the general nature of any such evidence it intends
to introduce at trial.
a. Sanctions mental propensity evidence.
b. The list is illustrative and not exhaustive.
c. A propensity use is deemed “non-character” when showing the prior acts helps to
prove the current conduct without making the intermediate inference that the act
shows a person’s character. In other words, the prior acts itself, and not any character
trait, tends to prove an aspect of the current case at trial.
1. Proof of Specific Acts – The most common use of 404(b) = justification for
introducing a criminal defendant’s prior misconduct to prove matters such as
intent, knowledge or identity.
2. Acts occurring after the event are also includable.
3. The specific act must be shown by a preponderance of the evidence. I.E. mere
fact of arrest not sufficient, however, a crime that was acquitted could be proved
by preponderance.
g. Intent or Knowledge – specific acts admissible to prove this. Evidence of similar acts
may help to establish that a defendant did not “act mistakenly or accidentally” but
rather with the intent or knowledge required by the elements of the crime or tort.
i. Doctrine of “objective chances:” the repeated occurrence of certain unusual
events is so unlikely as to render improbable the claim that any one of those
events happened mistakenly or accidentally.
h. Common Plan, Scheme, or Design – specific acts admissible to prove this. To prove
the existence of a larger plan, scheme, or conspiracy, of which the crime on trial is a
part…Each crime should be an integral part of an over-arching plan explicitly
conceived and executed by the defendant or his confederates. This will be relevant to
showing motive, and hence the doing of the criminal act, the identity of the actor, or
his intention.
a. Acts pursuant to a common scheme also become admissible if the actors are
charged with a conspiracy.
i. Preparation – specific acts admissible to prove this. I.E. a man buys explosives one
week before a building is blown up.
VI. Rule 405(b) = In cases in which character or a trait of character is an essential element of
a charge, claim, or defense, proof may also be made of specific instances of conduct.
d. Defamation, Negligent Hiring, Negligent Entrustment.
e. This is a non-propensity use of character evidence.
HABIT
I. RULE 406 – Habit; Routine practice = Evidence of the habit of a person or of the routine
practice of an organization, whether corroborated or not regardless of the presence of
eyewitnesses, is relevant to prove that the conduct of the person or organization on a
particular occasion was in conformity with the habit or routine practice.
a. Habit describes one’s regular response to a repeated situation. Habit is a person’s
regular response of meeting a particular kind of situation with a specific type of
conduct. I.E. going down a particular stairway two stairs at a time. Someone acting a
particular way to a narrow, specific situation. Or “psychological theory,” frequently
repeated, specific behavioral response to a narrow set of circumstances that is
unconsciously mechanical.
b. Some courts define it as “semi-automatic, almost involuntary and invariably specific
response to fairly specific stimuli.
IV. RULE 609(a)(2) = evidence that any witness has been convicted of a crime shall
be admitted regardless of the punishment, if it readily can be determined that
establishing the elements of the crime required proof or an admission of
dishonesty or false statement by the witness.
a. Under this circumstance the judge has no discretion weigh prejudice against
probative value.
1. Nevertheless, exclusion is still possible if one of the limitations in rule
609(b), (c), or (d) apply.
b. By the phrase dishonesty and false statement the statute means crimes such as
perjury, false statement, criminal fraud, embezzlement, or false pretense, or
any other criminally false offense, commission of which involves some
element of deceit, untruthfulness, or falsification bearing on the accused’s
propensity to testify truthfully.
1. Stealing is generally excluded.
2. If the witness made a false statement or deceived someone during the
course of a crime which did not have as one of its elements a requirement
that the perpetrator commit dishonesty or make a false statement the
conviction is inadmissible.
3. Very narrow view of dishonesty = offenses classified as crimen falsi have
included only those crimes in which the ultimate criminal act was itself an
act of deceit.
c. Readily determined = ready proof that the conviction required the fact finder
to find, or the defendant to admit, an act of dishonesty or false statement.
II. RULE 408 – Compromise and Offers to Compromise = (a) prohibited uses.
Evidence of the following is not admissible on behalf of any party, when offered
to prove liability for, invalidity of, or amount of a claim that was disputed as to
validity or amount, or to impeach through a prior inconsistent statement or
contradiction:
(1) Furnishing or offering to furnish, - or accepting or offering to accept – a
valuable consideration in compromising or attempting to compromise the claim;
and
(B) This rule does not require exclusion if the evidence is offered for a purpose
not prohibited by subdivision (a). Examples of permissible purposes include
proving a witnesses bias or prejudice, negating a contention of undue delay; and
proving an effort to obstruct criminal investigation or prosecution.
III. RULE 409 – Payment of Medical and Similar Expenses = Evidence of furnishing
or offering or promising to pay medical, hospital, or similar expenses occasioned
by an injury is not admissible to prove liability for the injury.
a. No dispute is necessary for rule 409 to apply.
b. The offer need not be made directly to the injured party; it can be made to
anyone can accept.
c. The rule’s prohibition is only against using the evidence to prove “liability for
the injury.”
IV. RULE 410 – Plea Bargains and Related Statements in Criminal Cases = Except as
otherwise provided in this rule, evidence of the following is not, in any civil or
criminal proceeding, admissible against the defendant who made the plea or was a
participant in the plea discussions: (1) a plea of guilty that was later withdrawn;
(2) a plea of nolo contendere; (3) any statement made in the course of any
proceeding under rule 11 of the F.R. of criminal procedure (judge/defendant
colloquy) or comparable state procedure regarding wither of the foregoing pleas;
or (4) any statements made in the course of plea discussions with an attorney for
the prosecuting authority which do not result in a plea of guilty or which results in
a plea of guilty later withdrawn.
However, such a statement is admissible (i) in any proceeding wherein
another statement made in the course of the same plea or discussions has been
introduced and the statement ought, in fairness, be considered
contemporaneously with it, or (ii) in a criminal proceeding for perjury or false
statement if the statement was made by the defendant under oath, on the
record and in the presence of counsel.
V. RULE 411 – Liability Insurance – Evidence that a person was or was not insured
against liability is not admissible upon the issue of whether the person acted
negligently or otherwise wrongfully. This rule does not require the exclusion of
evidence of insurance liability when offered for another purpose, such as proof of
agency, ownership, or control, or bias or prejudice of a witness.
a. The rule is not limited to evidence that the defendant was insured against
liability; it was broadly drafted “so as to include contributory negligence or
other fault of a plaintiff as well as fault of a defendant.”
b. The rule does not prohibit using the evidence for purposes other than proving
negligence or wrongful conduct.
VI. RULE 611 – Mode and Order of Interrogation and Presentation – (a) control by
court. The court shall exercise reasonable control over the mode and order of
interrogating witness and presenting evidence so as to (1) make the interrogation
and presentation effective for the ascertainment of truth, (2) avoid needless
consumption of time, and (3) protect witnesses from harassment or undue
embarrassment.
611(b) – Scope of Cross-Examination – Cross-examination should be
limited to the subject matter of the direct examination and matters
affecting the credibility of the witness. The court may, in the exercise of
discretion, permit inquiry into additional matters as if on direct
examination.
611(c) – Leading Questions – Leading questions should not be used on the
direct examination of a witness except as may be necessary to develop the
witness’ testimony. Ordinarily leading questions should be permitted on
cross-examination. When a party calls a hostile witness, an adverse party,
or a witness identified with an adverse party, interrogation may be by
leading questions.
DIRECT EXAMINATION