Federal Evidence Review Federal Rules of Evidence 2015 Federal Evidence Review Highlights Updated for use in 2015 Includes amended Rules FRE 803(d)(1)(B) and FRE 803(6), 803(7), 803(8) Direct links to legislative history materials High Federal Rules of Evidence 2015 Federal Evidence Review About the Review The Federal Evidence Review is a monthly electronic legal journal that highlights recent federal evidence cases and developments for subscribers. The FederalEvidence.com site, provides another evidence forum, and offers many other complimentary evidence features and tools for visitors, including the Federal Evidence Blog. www.FederalEvidence.com/blog Subscriptions http://federalevidence.com/subscribe Federal Evidence Review Benefits Monitor recent federal evidence developments, cases and trends. Serve as a key litigation aid and reference source for practitioners at all stages of litigation (from the filing of a case to preparing an appeal). Resource Materials The Federal Evidence Review and FederalEvidence.com provides the following resource materials on the FRE: This PDF Text Of The Federal Rules Of Evidence, which includes direct links to the legislative history of the FRE and is searchable The FRE Legislative History Page which summarizes and provides background information on the FRE (including amendment to Rules FRE 803(d)(1)(B) and FRE 803(6), 803(7), 803(8) Blog Posts On Amending The Federal Rules Of Evidence (including FRE 803(d)(1)(B) and FRE 803(6), FRE 803(7), FRE 803(8)) Previous version before 2013 restyling, the Federal Rules of Evidence before the December 1, 2013 amendment Provide a key forum for federal litigators, jurists, academia, and other practitioners and students of evidence. Promote ideas and stimulate discussion on key evidence issues. Save time by staying on top of current evidence cases and developments. Maintain your advantage on evidence law by making it easier to use recent evidence cases in your practice. Federal Evidence Review Published by FederalEvidence.com 2850 South Quincy Street, No. 6883 Arlington, VA 22206-4283 Phone (571) 312-5642 Fax: (571) 730-2203 Info@FederalEvidence.com Copyright 2015 FederalEvidence.com ISSN: 1556-5645 All Rights Reserved. \u0018 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Federal Rules of Evidence Index Resource Materials ...................................................................................................................................................2 The Federal Rules of Evidence-Amendments ......................................................................................................10 Article I. General Provisions Rule 101. Scope; Definitions...................................................................................................................................14 (a) Scope..............................................................................................................................................................14 (b) Definitions.....................................................................................................................................................14 Rule 102. Purpose....................................................................................................................................................14 Rule 103. Rulings on Evidence................................................................................................................................14 (a) Preserving a Claim of Error...........................................................................................................................14 (b) Not Needing to Renew an Objection or Offer of Proof.................................................................................14 (c) Court's Statement About the Ruling; Directing an Offer of Proof................................................................14 (d) Preventing the Jury from Hearing Inadmissible Evidence............................................................................15 (e) Taking Notice of Plain Error..........................................................................................................................15 Rule 104. Preliminary Questions............................................................................................................................15 (a) In General.......................................................................................................................................................15 (b) Relevance That Depends on a Fact................................................................................................................15 (c) Conducting a Hearing So That the Jury Cannot Hear It................................................................................15 (d) Cross-Examining a Defendant in a Criminal Case........................................................................................15 (e) Evidence Relevant to Weight and Credibility................................................................................................15 Rule 105. Limiting Evidence That Is Not Admissible Against Other Parties or for Other Purposes.............15 Rule 106. Remainder of or Related Writings or Recorded Statements.............................................................16 www.FederalEvidence.com \u0018 Federal Rules of Evidence Federal Evidence Review 2015 Article II. Judicial Notice Rule 201. Judicial Notice of Adjudicative Facts...................................................................................................16 (a) Scope..............................................................................................................................................................16 (b) Kinds of Facts That May Be Judicially Noticed............................................................................................16 (c) Taking Notice.................................................................................................................................................16 (d) Timing............................................................................................................................................................16 (e) Opportunity to Be Heard................................................................................................................................16 (f) Instructing the Jury.........................................................................................................................................16 Article III. Presumptions In Civil Cases Rule 301. Presumptions in Civil Cases Generally................................................................................................17 Rule 302. Applying State Law to Presumptions in Civil Cases............................................................................17 Article IV. Relevance And Its Limits Rule 401. Test for Relevant Evidence..........................................................................................................17 Rule 402. General Admissibility of Relevant Evidence.......................................................................................17 Rule 403. Excluding Relevant Evidence for Prejudice, Confusion, Waste of Time, or Other Reasons..........18 Rule 404. Character Evidence; Crimes or Other Acts..........................................................................................18 (a) Character Evidence........................................................................................................................................18 (1) Prohibited Uses..............................................................................................................................................18 (2) Exceptions for a Defendant or Victim in a Criminal Case............................................................................18 (3) Exceptions for a Witness...............................................................................................................................18 (b) Crimes, Wrongs, or Other Acts......................................................................................................................18 (1) Prohibited Uses..............................................................................................................................................18 (2) Permitted Uses; Notice in a Criminal Case...................................................................................................18 Rule 405. Methods of Proving Character.............................................................................................................19 (a) By Reputation or Opinion..............................................................................................................................19 (b) By Specific Instances of Conduct..................................................................................................................19 Rule 406. Habit; Routine Practice..........................................................................................................................19 Rule 407. Subsequent Remedial Measures...........................................................................................................19 Rule 408. Compromise Offers and Negotiations..................................................................................................19 (a) Prohibited uses...............................................................................................................................................19 (b) Exceptions. ...................................................................................................................................................20 Rule 409. Offers to Pay Medical and Similar Expenses.......................................................................................20 \u0018 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Rule 410. Pleas, Plea Discussions, and Related Statements.................................................................................20 (a) Prohibited Uses..............................................................................................................................................20 (b) Exceptions. ...................................................................................................................................................20 Rule 411 Liability Insurance...................................................................................................................................20 Rule 412. Sex-Offense Cases: The Victim's Sexual Behavior or Predisposition................................................21 (a) Prohibited Uses..............................................................................................................................................21 (b) Exceptions......................................................................................................................................................21 (c) Procedure To Determine Admissibility..........................................................................................................21 (d) Definition of \"Victim.\"..................................................................................................................................21 Rule 413 Similar Crimes in Sexual-Assault Cases................................................................................................21 (a) Permitted Uses...............................................................................................................................................21 (b) Disclosure to the Defendant...........................................................................................................................21 (c) Effect on Other Rules.....................................................................................................................................22 (d) Definition of \"Sexual Assault.\".....................................................................................................................22 Rule 414. Similar Crimes in Child-Molestation Cases.........................................................................................22 (a) Permitted Uses...............................................................................................................................................22 (b) Disclosure to the Defendant...........................................................................................................................22 (c) Effect on Other Rules.....................................................................................................................................22 (d) Definition of \"Child\" and \"Child Molestation.\"............................................................................................22 Rule 415. Similar Acts in Civil Cases Involving Sexual Assault or Child Molestation.....................................23 (a) Permitted Uses...............................................................................................................................................23 (b) Disclosure to the Opponent...........................................................................................................................23 (c) Effect on Other Rules.....................................................................................................................................23 Article V. Privileges Rule 501. Privileges in General..............................................................................................................................23 Rule 502. Attorney-Client Privilege and Work Product; Limitations on Waiver..............................................23 (a) Disclosure Made in a Federal Proceeding or to a Federal Office or Agency; Scope of a Waiver.................23 (b) Inadvertent Disclosure...................................................................................................................................24 (c) Disclosure Made in a State Proceeding.........................................................................................................24 (d) Controlling Effect of a Court Order...............................................................................................................24 (e) Controlling Effect of a Party Agreement.......................................................................................................24 (f) Controlling Effect of This Rule......................................................................................................................24 (g) Definitions.....................................................................................................................................................24 Article VI. Witnesses Rule 601. Competency to Testify in General........................................................................................................25 Rule 602. Need for Personal Knowledge...............................................................................................................25 www.FederalEvidence.com \u0018 Federal Rules of Evidence Federal Evidence Review 2015 Rule 603. Oath or Affirmation to Testify Truthfully............................................................................................25 Rule 604. Interpreter..............................................................................................................................................25 Rule 605. Judge's Competency as a Witness........................................................................................................25 Rule 606. Juror's Competency as a Witness..........................................................................................................25 (a) At the Trial.....................................................................................................................................................25 (b) During an Inquiry into the Validity of a Verdict or Indictment.....................................................................26 Rule 607. Who May Impeach a Witness...............................................................................................................26 Rule 608. A Witness's Character for Truthfulness or Untruthfulness................................................................26 (a) Reputation or Opinion Evidence....................................................................................................................26 (b) Specific Instances of Conduct.......................................................................................................................26 Rule 609. Impeachment by Evidence of a Criminal Conviction..........................................................................27 (a) In General.......................................................................................................................................................27 (b) Limit on Using the Evidence After 10 Years.................................................................................................27 (c) Effect of a Pardon, Annulment, or Certificate of Rehabilitation...................................................................27 (d) Juvenile Adjudications...................................................................................................................................27 (e) Pendency of an Appeal...................................................................................................................................27 Rule 610. Religious Beliefs or Opinions.................................................................................................................28 Rule 611. Mode and Order of Examining Witnesses and Presenting Evidence.................................................28 (a) Control by the Court; Purposes......................................................................................................................28 (b) Scope of Cross-Examination.........................................................................................................................28 (c) Leading Questions.........................................................................................................................................28 Rule 612. Writing Used to Refresh a Witness's Memory.....................................................................................28 (a) Scope..............................................................................................................................................................28 (b) Adverse Party's Options; Deleting Unrelated Matter....................................................................................28 (c) Failure to Produce or Deliver the Writing......................................................................................................29 Rule 613. Witness's Prior Statement......................................................................................................................29 (a) Showing or Disclosing the Statement During Examination..........................................................................29 (b) Extrinsic Evidence of a Prior Inconsistent Statement....................................................................................29 Rule 614. Court's Calling or Examining a Witness..............................................................................................29 (a) Calling............................................................................................................................................................29 (b) Examining......................................................................................................................................................29 (c) Objections......................................................................................................................................................29 Rule 615. Excluding Witnesses...............................................................................................................................29 \u0018 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Article VII. Opinions And Expert Testimony Rule 701. Opinion Testimony by Lay Witnesses...................................................................................................30 Rule 702. Testimony by Expert Witnesses.............................................................................................................30 Rule 703. Bases of an Expert's Opinion Testimony..............................................................................................30 Rule 704. Opinion on an Ultimate Issue................................................................................................................31 (a) In General - Not Automatically Objectionable..............................................................................................31 (b) Exception.......................................................................................................................................................31 Rule 705. Disclosing the Facts or Data Underlying an Expert's Opinion...........................................................31 Rule 706. Court-Appointed Expert Witnesses......................................................................................................31 (a) Appointment Process.....................................................................................................................................31 (b) Expert's Role.................................................................................................................................................31 (c) Compensation................................................................................................................................................31 (d) Disclosing the Appointment to the Jury.........................................................................................................32 (e) Parties' Choice of Their Own Experts...........................................................................................................32 Article VIII. Hearsay Rule 801. Definitions That Apply to This Article; Exclusions from Hearsay.....................................................32 (a) Statement........................................................................................................................................................32 (b) Declarant. . ....................................................................................................................................................32 (c) Hearsay...........................................................................................................................................................32 (d) Statements That Are Not Hearsay..................................................................................................................32 (1) A Declarant-Witness's Prior Statement...................................................................................................32 (2) An Opposing Party's Statement...............................................................................................................32 Rule 802. The Rule Against Hearsay......................................................................................................................33 Rule 803. Exceptions to the Rule Against Hearsay Regardless of Whether the Declarant Is Available as a Witness........................................................................................................................33 (1) Present Sense Impression..............................................................................................................................33 (2) Excited Utterance. ........................................................................................................................................33 (3) Then-Existing Mental, Emotional, or Physical Condition.............................................................................33 (4) Statement Made for Medical Diagnosis or Treatment. . ...............................................................................33 (5) Recorded Recollection . ................................................................................................................................33 (6) Records of a Regularly Conducted Activity..................................................................................................34 (7) Absence of a Record of a Regularly Conducted Activity..............................................................................34 (8) Public Records...............................................................................................................................................34 (9) Public Records of Vital Statistics..................................................................................................................34 (10) Absence of a Public Record.........................................................................................................................34 (11) Records of Religious Organizations Concerning Personal or Family History............................................34 (12) Certificates of Marriage, Baptism, and Similar Ceremonies.......................................................................35 (13) Family Records............................................................................................................................................35 (14) Records of Documents That Affect an Interest in Property.........................................................................35 (15) Statements in Documents That Affect an Interest in Property.....................................................................35 www.FederalEvidence.com \u0018 Federal Rules of Evidence 2015 Federal Evidence Review (16) Statements in Ancient Documents...............................................................................................................35 (17) Market Reports and Similar Commercial Publications. .............................................................................35 (18) Statements in Learned Treatises, Periodicals, or Pamphlets........................................................................35 (19) Reputation Concerning Personal or Family History. . ................................................................................35 (20) Reputation Concerning Boundaries or General History..............................................................................36 (21) Reputation Concerning Character. . ............................................................................................................36 (22) Judgment of a Previous Conviction.............................................................................................................36 (23) Judgments Involving Personal, Family, or General History, or a Boundary...............................................36 (24) [Other Exceptions.]......................................................................................................................................36 Rule 804. Exceptions to the Rule Against Hearsay When the Declarant Is Unavailable as a Witness.......36 (a) Criteria for Being Unavailable.......................................................................................................................37 (b) The Exceptions..............................................................................................................................................37 (1) Former Testimony...................................................................................................................................37 (2) Statement Under the Belief of Imminent Death......................................................................................37 (3) Statement Against Interest.......................................................................................................................37 (4) Statement of Personal or Family History................................................................................................37 (5) [Other Exceptions.].................................................................................................................................37 (6) Statement Offered Against a Party That Wrongfully Caused the Declarant's Unavailability.................37 Rule 805. Hearsay Within Hearsay........................................................................................................................38 Rule 806. Attacking and Supporting the Declarant's Credibility.......................................................................38 Rule 807. Residual Exception.................................................................................................................................38 (a) In General.......................................................................................................................................................38 (b) Notice.............................................................................................................................................................38 Article IX. Authentication And Identification Rule 901. Authenticating or Identifying Evidence................................................................................................39 (a) In General.......................................................................................................................................................39 (b) Examples........................................................................................................................................................39 (1) Testimony of a Witness with Knowledge................................................................................................39 (2) Nonexpert Opinion About Handwriting..................................................................................................39 (3) Comparison by an Expert Witness or the Trier of Fact...........................................................................39 (4) Distinctive Characteristics and the Like.................................................................................................39 (5) Opinion About a Voice............................................................................................................................39 (6) Evidence About a Telephone Conversation............................................................................................39 (7) Evidence About Public Records.:............................................................................................................39 (8) Evidence About Ancient Documents or Data Compilations...................................................................39 (9) Evidence About a Process or System......................................................................................................40 (10) Methods Provided by a Statute or Rule.................................................................................................40 Rule 902. Evidence That Is Self-Authenticating...................................................................................................40 (1) Domestic Public Documents That Are Sealed and Signed............................................................................40 (2) Domestic Public Documents That Are Not Sealed but Are Signed and Certified.........................................40 (3) Foreign Public Documents. ..........................................................................................................................40 \u0018 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 (4) Certified Copies of Public Records...............................................................................................................40 (5) Official Publications......................................................................................................................................40 (6) Newspapers and Periodicals..........................................................................................................................40 (7) Trade Inscriptions and the Like.....................................................................................................................41 (8) Acknowledged Documents............................................................................................................................41 (9) Commercial Paper and Related Documents..................................................................................................41 (10) Presumptions Under a Federal Statute. . .....................................................................................................41 (11) Certified Domestic Records of a Regularly Conducted Activity.................................................................41 (12) Certified Foreign Records of a Regularly Conducted Activity....................................................................41 Rule 903. Subscribing Witness's Testimony..........................................................................................................41 Article X. Contents Of Writings, Recordings, And Photographs Rule 1001. Definitions That Apply to This Article................................................................................................42 Rule 1002. Requirement of the Original................................................................................................................42 Rule 1003. Admissibility of Duplicates...................................................................................................................42 Rule 1004. Admissibility of Other Evidence of Content.......................................................................................42 Rule 1005. Copies of Public Records to Prove Content........................................................................................43 Rule 1006. Summaries to Prove Content...............................................................................................................43 Rule 1007. Testimony or Statement of a Party to Prove Content........................................................................43 Rule 1008. Functions of the Court and Jury.........................................................................................................44 Article XI. Miscellaneous Rules Rule 1101. Applicability of the Rules.....................................................................................................................44 (a) To Courts and Judges.....................................................................................................................................44 (b) To Cases and Proceedings..............................................................................................................................44 (c) Rules on Privilege..........................................................................................................................................44 (d) Exceptions. ...................................................................................................................................................45 (e) Other Statutes and Rules................................................................................................................................45 Rule 1102. Amendments..........................................................................................................................................45 Rule 1103. Title.........................................................................................................................................................45 www.FederalEvidence.com \u0018 Federal Rules of Evidence 2015 Federal Evidence Review Federal Rules Of Evidence - Amendments Effective December 1, 2014 On December 1, 2014, new amendments to the FRE took effect. The amendments apply to FRE 801(d)(1)(B) (Statements That Are Not Hearsay) and FRE 803(6), (7), and (8) (Exceptions: Records of a Regularly Conducted Activity, Absence of a Record of a Regularly Conducted Activity, Public Record). Purpose Of FRE 801(d)(1)(B) Amendment: The rule provides that a prior consistent statement may be introduced as a rehabilitative means to rebut a charge of recent fabrication, influence or motive as long as the statement was made prior to the alleged fabrication, influence or motive. Under FRE 801(d)(1)(B), the prior statement as non-hearsay is admitted as substantive evidence. As amended, the rule would allow for the use of a prior consistent statement to \"to rehabilitate the declarant's credibility as a witness when attacked on another ground.\" As explained by the Committee on Rules of Practice and Procedure: \"The advisory committee proposed that Rule 801(d)(1)(B) be amended to provide that prior consistent statements are admissible under the hearsay exemption whenever they would otherwise be admissible to rehabilitate the witness's credibility. The amendment is intended to eliminate confusing jury instructions on the permissible use of prior consistent statements.\" Minutes, at 67, 82 (Sept. 12, 2013) (published with the Advisory Committee on Civil Rules Meeting Materials, at 82 (Nov. 7-8, 2013)) . Purpose Of FRE 803(6), (7) and (8) Amendments: FRE 803(6) and FRE 803(7) provide for the admission of business records. FRE 803(8) permits the introduction of public records. Each rule has a \"trustworthiness requirement\". The amendment clarifies who holds the burden of proof to show lack of trustworthiness. As noted by the Committee on Rules of Practice and Procedure, the amendments \"... clarify that the opponent has the burden of showing that the proffered record is untrustworthy. The reasons espoused by the advisory committee for the amendments are: first, to resolve a conflict in the case law by providing uniform rules; second, to clarify a possible ambiguity in the rules as originally adopted and as restyled; and third, to provide a result that makes the most sense, as imposing a burden of proving trustworthiness on the proponent is unjustified given that the proponent must establish that all the other admissibility requirements of these rules are met \" requirements that tend to guarantee trustworthiness in the first place.\" Minutes, at 16 (Sept. 12, 2013) (published with the Advisory Committee on Civil Rules Meeting Materials, at 82 (Nov. 7-8, 2013)) Rule Amendment Process Under the Rules Enabling Act, after Congress receives proposed amendments to the federal rules from the U.S. Supreme Court by May 1st of any year, the changes become effective unless Congress otherwise acts by December 1st of that same year. Congressional review is the seventh of seven key steps in the adoption of an amendment under the Rules Enabling Act On April 25, 2014, the Supreme Court approved amended FRE 801(d)(1)(B) and FRE 803(6)-(8) and transmitted the amended rules to Congress as required by 28 U.S.C. 2072 so that it would take effect on December 1, 2014 unless Congress otherwise provided by law. The Supreme Court order promulgating the rule amendment states that the amended rule \"shall govern in all proceedings thereunder commenced and, insofar as just and practicable, all proceedings then pending.\" 10 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Text Of Amended Rules The text of the FRE 801(d)(1)(B) and FRE 803(6)-(8) before December 1, 2014 and after the amendments took effect appear below. Amended Rule 801(d)(1)(B) (Definitions That Apply to This Article; Exclusions from Hearsay) strike out indicates deletion; underline indicates insertion Rule 801. Definitions That Apply to This Article; Exclusions from Hearsay (d) Statements That Are Not Hearsay. A statement that meets the following conditions is not hearsay: (1) A Declarant-Witness's Prior Statement. The declarant testifies and is subject to cross-examination about a prior statement, and the statement: *** (B) is consistent with the declarant's testimony and is offered: (i) to rebut an express or implied charge that the declarant recently fabricated it or acted from a recent improper influence or motive in so testifying; or (ii) to rehabilitate the declarant's credibility as a witness when attacked on another ground; or **** Committee Note Rule 801(d)(1)(B), as originally adopted, provided for substantive use of certain prior consistent statements of a witness subject to cross-examination. As the Advisory Committee noted, \"[t]he prior statement is consistent with the testimony given on the stand, and, if the opposite party wishes to open the door for its admission in evidence, no sound reason is apparent why it should not be received generally.\" Though the original Rule 801(d)(1)(B) provided for substantive use of certain prior consistent statements, the scope of that Rule was limited. The Rule covered only those consistent statements that were offered to rebut charges of recent fabrication or improper motive or influence. The Rule did not, for example, provide for substantive admissibility of consistent statements that are probative to explain what otherwise appears to be an inconsistency in the witness's testimony. Nor did it cover consistent statements that would be probative to rebut a charge of faulty memory. Thus, the Rule left many prior consistent statements potentially admissible only for the limited purpose of rehabilitating a witness's credibility. The original Rule also led to some conflict in the cases; some courts distinguished between substantive and rehabilitative use for prior consistent statements, while others appeared to hold that prior consistent statements must be admissible under Rule 801(d)(1)(B) or not at all. www.FederalEvidence.com 11 Federal Rules of Evidence 2015 Federal Evidence Review The amendment retains the requirement set forth in Tome v. United States, 513 U.S. 150 (1995): that under Rule 801(d)(1)(B), a consistent statement offered to rebut a charge of recent fabrication of improper influence or motive must have been made before the alleged fabrication or improper inference or motive arose. The intent of the amendment is to extend substantive effect to consistent statements that rebut other attacks on a witness such as the charges of inconsistency or faulty memory. The amendment does not change the traditional and well-accepted limits on bringing prior consistent statements before the factfinder for credibility purposes. It does not allow impermissible bolstering of a witness. As before, prior consistent statements under the amendment may be brought before the factfinder only if they properly rehabilitate a witness whose credibility has been attacked. As before, to be admissible for rehabilitation, a prior consistent statement must satisfy the strictures of Rule 403. As before, the trial court has ample discretion to exclude prior consistent statements that are cumulative accounts of an event. The amendment does not make any consistent statement admissible that was not admissible previously the only difference is that prior consistent statements otherwise admissible for rehabilitation are now admissible substantively as well. CHANGES MADE AFTER PUBLICATION AND COMMENTS The text of the proposed amendment was changed to clarify that the traditional limits on using prior consistent statements to rebut a charge of recent fabrication or improper influence or motive are retained. The Committee Note was modified to accord with the change in text. Amended Rule 803(6) (Records of a Regularly Conducted Activity) strike out indicates deletion; underline indicates insertion Rule 803. Exceptions to the Rule Against Hearsay Regardless of Whether the Declarant Is Available as a Witness The following are not excluded by the rule against hearsay, regardless of whether the declarant is available as a witness. *** (6) Records of a Regularly Conducted Activity. A record of an act, event, condition, opinion, or diagnosis if: (A) the record was made at or near the time by or from information transmitted by someone with knowledge; (B) the record was kept in the course of a regularly conducted activity of a business, organization, occupation, or calling, whether or not for profit; (C) making the record was a regular practice of that activity; (D) all these conditions are shown by the testimony of the custodian or another qualified witness, or by a certification that complies with Rule 902(11) or (12) or with a statute permitting certification; and (E) neither the opponent does not show that the source of information nor or the method or circumstances of preparation indicate a lack of trustworthiness. *** 12 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Committee Note The Rule has been amended to clarify that if the proponent has established the stated requirements of the exception regular business with regularly kept record, source with personal knowledge, record made timely, and foundation testimony or certification then the burden is on the opponent to show a lack of trustworthiness. While most courts have imposed that burden on the opponent, some have not. It is appropriate to impose the burden of proving untrustworthiness on the opponent, as the basic admissibility requirements are sufficient to establish a presumption that the record is reliable. The opponent, in meeting its burden, is not necessarily required to introduce affirmative evidence of untrustworthiness. For example, the opponent might argue that a record was prepared in anticipation of litigation and is favorable to the preparing party without needing to introduce evidence on the point. A determination of untrustworthiness necessarily depends on the circumstances. Amended Rule 803(7) (Absence of a Record of a Regularly Conducted Activity) strike out indicates deletion; underline indicates insertion Rule 803. Exceptions to the Rule Against Hearsay Regardless of Whether the Declarant Is Available as a Witness The following are not excluded by the rule against hearsay, regardless of whether the declarant is available as a witness. *** (7) Absence of a Record of a Regularly Conducted Activity. Evidence that a matter is not included in a record described in paragraph (6) if: (A) the evidence is admitted to prove that the matter did not occur or exist; (B) a record was regularly kept for a matter of that kind; and (C) neither the opponent does not show that the possible source of information nor or other indicate a lack of trustworthiness. *** Committee Note The Rule has been amended to clarify that if the proponent has established the stated requirements of the exception set forth in Rule 803(6) then the burden is on the opponent to show a lack of trustworthiness. The amendment maintains consistency with the proposed amendment to the trustworthiness clause of Rule 803(6). Amendment continued on page 46 www.FederalEvidence.com 13 Federal Rules of Evidence 2015 Federal Evidence Review Article I. General Provisions Rule 101. Scope; Definitions (a) Scope. These rules apply to proceedings in United States courts. The specific courts and proceedings to which the rules apply, along with exceptions, are set out in Rule 1101. (b) Definitions. In these rules (1) \"civil case\" means a civil action or proceeding; (2) \"criminal case\" includes a criminal proceeding; (3) \"public office\" includes a public agency; (4) \"record\" includes a memorandum, report, or data compilation; (5) a \"rule prescribed by the Supreme Court\" means a rule adopted by the Supreme Court under statutory authority; and (6) a reference to any kind of written material or any other medium includes electronically stored information. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1, 1988; Apr. 29, 1994, eff. Dec. 1, 1994; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 102. Purpose These rules should be construed so as to administer every proceeding fairly, eliminate unjustifiable expense and delay, and promote the development of evidence law, to the end of ascertaining the truth and securing a just determination. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 103. Rulings on Evidence (a) Preserving a Claim of Error. A party may claim error in a ruling to admit or exclude evidence only if the error affects a substantial right of the party and: (1) if the ruling admits evidence, a party, on the record: (A) timely objects or moves to strike; and (B) states the specific ground, unless it was apparent from the context; or (2) if the ruling excludes evidence, a party informs the court of its substance by an offer of proof, unless the substance was apparent from the context. (b) Not Needing to Renew an Objection or Offer of Proof. Once the court rules definitively on the record either before or at trial a party need not renew an objection or offer of proof to preserve a claim of error for appeal. (c) Court's Statement About the Ruling; Directing an Offer of Proof. The court may make any statement about the character or form of the evidence, the objection made, and the ruling. The court may direct that an offer of proof be made in question-and-answer form. 14 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 (d) Preventing the Jury from Hearing Inadmissible Evidence. To the extent practicable, the court must conduct a jury trial so that inadmissible evidence is not suggested to the jury by any means. (e) Taking Notice of Plain Error. A court may take notice of a plain error affecting a substantial right, even if the claim of error was not properly preserved. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 104. Preliminary Questions (a) In General. The court must decide any preliminary question about whether a witness is qualified, a privilege exists, or evidence is admissible. In so deciding, the court is not bound by evidence rules, except those on privilege. (b) Relevance That Depends on a Fact. When the relevance of evidence depends on whether a fact exists, proof must be introduced sufficient to support a finding that the fact does exist. The court may admit the proposed evidence on the condition that the proof be introduced later. (c) Conducting a Hearing So That the Jury Cannot Hear It. The court must conduct any hearing on a preliminary question so that the jury cannot hear it if: (1) the hearing involves the admissibility of a confession; (2) a defendant in a criminal case is a witness and so requests; or (3) justice so requires. (d) Cross-Examining a Defendant in a Criminal Case. By testifying on a preliminary question, a defendant in a criminal case does not become subject to cross-examination on other issues in the case. (e) Evidence Relevant to Weight and Credibility. This rule does not limit a party's right to introduce before the jury evidence that is relevant to the weight or credibility of other evidence. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 105. Limiting Evidence That Is Not Admissible Against Other Parties or for Other Purposes If the court admits evidence that is admissible against a party or for a purpose but not against another party or for another purpose the court, on timely request, must restrict the evidence to its proper scope and instruct the jury accordingly. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) www.FederalEvidence.com 15 Federal Rules of Evidence 2015 Federal Evidence Review Rule 106. Remainder of or Related Writings or Recorded Statements If a party introduces all or part of a writing or recorded statement, an adverse party may require the introduction, at that time, of any other part or any other writing or recorded statement that in fairness ought to be considered at the same time. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1, 2011.) Article II. Judicial Notice Rule 201. Judicial Notice of Adjudicative Facts (a) Scope. This rule governs judicial notice of an adjudicative fact only, not a legislative fact. (b) Kinds of Facts That May Be Judicially Noticed. The court may judicially notice a fact that is not subject to reasonable dispute because it: (1) is generally known within the trial court's territorial jurisdiction; or (2) can be accurately and readily determined from sources whose accuracy cannot reasonably be questioned. (c) Taking Notice. The court: (1) may take judicial notice on its own; or (2) must take judicial notice if a party requests it and the court is supplied with the necessary information. (d) Timing. The court may take judicial notice at any stage of the proceeding. (e) Opportunity to Be Heard. On timely request, a party is entitled to be heard on the propriety of taking judicial notice and the nature of the fact to be noticed. If the court takes judicial notice before notifying a party, the party, on request, is still entitled to be heard. (f) Instructing the Jury. In a civil case, the court must instruct the jury to accept the noticed fact as conclusive. In a criminal case, the court must instruct the jury that it may or may not accept the noticed fact as conclusive. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) 16 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Article III. Presumptions in civil cases Rule 301. Presumptions in Civil Cases Generally In a civil case, unless a federal statute or these rules provide otherwise, the party against whom a presumption is directed has the burden of producing evidence to rebut the presumption. But this rule does not shift the burden of persuasion, which remains on the party who had it originally. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 302. Applying State Law to Presumptions in Civil Cases In a civil case, state law governs the effect of a presumption regarding a claim or defense for which state law supplies the rule of decision. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Article IV. Relevance And Its Limits Rule 401. Test for Relevant Evidence Evidence is relevant if: (a) it has any tendency to make a fact more or less probable than it would be without the evidence; and (b) the fact is of consequence in determining the action. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 402. General Admissibility of Relevant Evidence Relevant evidence is admissible unless any of the following provides otherwise: the United States Constitution; a federal statute; these rules; or other rules prescribed by the Supreme Court. Irrelevant evidence is not admissible. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) www.FederalEvidence.com 17 Federal Rules of Evidence 2015 Federal Evidence Review Rule 403. Excluding Relevant Evidence for Prejudice, Confusion, Waste of Time, or Other Reasons The court may exclude relevant evidence if its probative value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 404. Character Evidence; Crimes or Other Acts (a) Character Evidence. (1) Prohibited Uses. Evidence of a person's character or character trait is not admissible to prove that on a particular occasion the person acted in accordance with the character or trait. (2) Exceptions for a Defendant or Victim in a Criminal Case. The following exceptions apply in a criminal case: (A) a defendant may offer evidence of the defendant's pertinent trait, and if the evidence is admitted, the prosecutor may offer evidence to rebut it; (B) subject to the limitations in Rule 412, a defendant may offer evidence of an alleged victim's pertinent trait, and if the evidence is admitted, the prosecutor may: (i) offer evidence to rebut it; and (ii) offer evidence of the defendant's same trait; and (C) in a homicide case, the prosecutor may offer evidence of the alleged victim's trait of peacefulness to rebut evidence that the victim was the first aggressor. (3) Exceptions for a Witness. Evidence of a witness's character may be admitted under Rules 607, 608, and 609. (b) Crimes, Wrongs, or Other Acts. (1) Prohibited Uses. Evidence of a crime, wrong, or other act is not admissible to prove a person's character in order to show that on a particular occasion the person acted in accordance with the character. (2) Permitted Uses; Notice in a Criminal Case. This evidence may be admissible for another purpose, such as proving motive, opportunity, intent, preparation, plan, knowledge, identity, absence of mistake, or lack of accident. On request by a defendant in a criminal case, the prosecutor must: (A) provide reasonable notice of the general nature of any such evidence that the prosecutor intends to offer at trial; and (B) do so before trial or during trial if the court, for good cause, excuses lack of pretrial notice. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 26, 2011, eff. Dec. 1, 2011.) 18 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Rule 405. Methods of Proving Character (a) By Reputation or Opinion. When evidence of a person's character or character trait is admissible, it may be proved by testimony about the person's reputation or by testimony in the form of an opinion. On cross-examination of the character witness, the court may allow an inquiry into relevant specific instances of the person's conduct. (b) By Specific Instances of Conduct. When a person's character or character trait is an essential element of a charge, claim, or defense, the character or trait may also be proved by relevant specific instances of the person's conduct. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 406. Habit; Routine Practice Evidence of a person's habit or an organization's routine practice may be admitted to prove that on a particular occasion the person or organization acted in accordance with the habit or routine practice. The court may admit this evidence regardless of whether it is corroborated or whether there was an eyewitness. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 407. Subsequent Remedial Measures When measures are taken that would have made an earlier injury or harm less likely to occur, evidence of the subsequent measures is not admissible to prove: negligence; culpable conduct; a defect in a product or its design; or a need for a warning or instruction. But the court may admit this evidence for another purpose, such as impeachment or if disputed proving ownership, control, or the feasibility of precautionary measures. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 408. Compromise Offers and Negotiations (a) Prohibited Uses. Evidence of the following is not admissible on behalf of any party either to prove or disprove the validity or amount of a disputed claim or to impeach by a prior inconsistent statement or a contradiction: (1) furnishing, promising, or offering or accepting, promising to accept, or offering to accept a valuable consideration in compromising or attempting to compromise the claim; and (2) conduct or a statement made during compromise negotiations about the claim except when offered in a criminal case and when the negotiations related to a claim by a public office in the exercise of its regulatory, investigative, or enforcement authority. www.FederalEvidence.com 19 Federal Rules of Evidence 2015 Federal Evidence Review (b) Exceptions. The court may admit this evidence for another purpose, such as proving a witness's bias or prejudice, negating a contention of undue delay, or proving an effort to obstruct a criminal investigation or prosecution. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 409. Offers to Pay Medical and Similar Expenses Evidence of furnishing, promising to pay, or offering to pay medical, hospital, or similar expenses resulting from an injury is not admissible to prove liability for the injury. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 410. Pleas, Plea Discussions, and Related Statements (a) Prohibited Uses. In a civil or criminal case, evidence of the following is not admissible against the defendant who made the plea or participated in the plea discussions: (1) a guilty plea that was later withdrawn; (2) a nolo contendere plea; (3) a statement made during a proceeding on either of those pleas under Federal Rule of Criminal Procedure 11 or a comparable state procedure; or (4) a statement made during plea discussions with an attorney for the prosecuting authority if the discussions did not result in a guilty plea or they resulted in a later-withdrawn guilty plea. (b) Exceptions. The court may admit a statement described in Rule 410(a)(3) or (4): (1) in any proceeding in which another statement made during the same plea or plea discussions has been introduced, if in fairness the statements ought to be considered together; or (2) in a criminal proceeding for perjury or false statement, if the defendant made the statement under oath, on the record, and with counsel present. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Pub. L. 94-149, Dec. 2, 1975; Apr. 30, 1979, eff. Dec. 1, 1997; Apr. 26, 2011, eff. Dec. 1, 2011.) Rule 411. Liability Insurance Evidence that a person was or was not insured against liability is not admissible to prove whether the person acted negligently or otherwise wrongfully. But the court may admit this evidence for another purpose, such as proving a witness's bias or prejudice or proving agency, ownership, or control. (Legislative History Links: Pub. L. 93-595, Jan. 2, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1, 2011.) 20 www.FederalEvidence.com Federal Rules of Evidence Federal Evidence Review 2015 Rule 412. Sex-Offense Cases: The Victim's Sexual Behavior or Predisposition (a) Prohibited Uses. The following evidence is not admissible in a civil or criminal proceeding involving alleged sexual misconduct: (1) evidence offered to prove that a victim engaged in other sexual behavior; or (2) evidence offered to prove a victim's sexual predisposition. (b) Exceptions. (1) Criminal Cases. The court may admit the following evidence in a criminal case: (A) evidence of specific instances of a victim's sexual behavior, if offered to prove that someone other than the defendant was the source of semen, injury, or other physical evidence; (B) evidence of specific instances of a victim's sexual behavior with respect to the person accused of the sexual misconduct, if offered by the defendant to prove consent or if offered by the prosecutor; and (C) evidence whose exclusion would violate the defendant's constitutional rights. (2) Civil Cases. In a civil case, the court may admit evidence offered to prove a victim's sexual behavior or sexual predisposition if its probative value substantially outweighs the danger of harm to any victim and of unfair prejudice to any party. The court may admit evidence of a victim's reputation only if the victim has placed it in controversy. (c) Procedure to Determine Admissibility. (1) Motion. If a party intends to offer evidence under Rule 412(b), the party must: (A) file a motion that specifically describes the evidence and states the purpose for which it is to be offered; (B) do so at least 14 days before trial unless the court, for good cause, sets a different time; (C) serve the motion on all parties; and (D) notify the victim or, when appropriate, the victim's guardian or representative. (2) Hearing. Before admitting evidence under this rule, the court must conduct an in camera hearing and give the victim and parties a right to attend and be heard. Unless the court orders otherwise, the motion, related materials, and the record of the hearing must be and remain sealed. (d) Definition of \"Victim.\" In this rule, \"victim\" inc