What are the Federal Rules of Evidence?
What are the Federal Rules of Evidence?
The Federal Rules of Evidence were established to govern the way in which evidence is introduced at trials in a federal court. They were drafted for several years by the US Supreme Court before Congress finally enacted them in 1975. The idea behind them is to have a standard system all federal courts could use to determine the admission or exclusion of evidence in court proceedings.
What are the Federal Rules of Evidence, and why are they so important? Here’s everything you need to know.[/vc_column_text][vc_custom_heading text=”Criminal law vs civil law” font_container=”tag:h2|font_size:28|text_align:left|color:%23ff5d00″ use_theme_fonts=”yes”][vc_column_text]These are two broad branches of law, each of which has its own set of rules and punishments that govern it. The burden of proof varies between these branches of law and must be considered when introducing evidence at trial.
Criminal law encompasses criminal conduct and the legal punishment for such offenses. The burden of proof in criminal law always falls on the federal or state government to prove guilt “beyond a reasonable doubt.”
On the other hand, civil law addresses disputes between organizations, individuals, or the two, in which monetary compensation in the form of damages is awarded to the plaintiff. In civil law, the burden of proof is on the plaintiff based on “preponderance of evidence” to demonstrate that their assertion is more likely true than not. The evidence presented in civil cases needs to be beyond the balance of probabilities.[/vc_column_text][vc_custom_heading text=”Why are the Federal Rules of Evidence important?” font_container=”tag:h2|font_size:28|text_align:left|color:%23ff5d00″ use_theme_fonts=”yes”][vc_single_image image=”2328″ img_size=”full”][vc_empty_space height=”20px”][vc_column_text]
You might ask – why do we have rules of evidence in the first place? The whole premise of the rules revolves around a few basic principles – unfair surprise, reliability, efficiency, relevance, and the overall fairness of the court process. They regulate the evidence admitted into a trial and how the jury can use it to reach an unbiased verdict based on fact.
The idea behind them is to eliminate the historical mistrust of jurors by restricting the type of evidence they can receive or the way in which they can use it in their determination of guilt or innocence.
This begs the question – Who rules on the admissibility of evidence? The presiding trial judge determines whether the evidence presented in a trial can be admitted or excluded from the litigation process.
For evidence to be admitted in court, it has to meet two criteria. It should:
- Be relevant – The evidence should be material to the case and have probative value.
- Not be outweighed by countervailing elements – The evidence should not be privileged, a waste of time, confusing, unfairly prejudicial, or based on hearsay.
It’s important to note that Federal Rules of Evidence only apply to federal court cases. Nonetheless, several states across the country base their own evidence rules on the federal system. Having this knowledge gives you a broader perspective of the rules you can expect to find in your state courts.
Here is a plain-speak overview of each of the 11 articles in the Federal Rules of Evidence:
[/vc_column_text][vc_custom_heading text=”1. GENERAL PROVISIONS” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]This section provides information on the rules of admissibility or exclusion and how to object to each.
[/vc_column_text][vc_custom_heading text=”2. JUDICIAL NOTICE” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]This refers to the documentation the court may request either party to present or, of its own volition, admit into evidence without having to authenticate or lay a foundation.
[/vc_column_text][vc_custom_heading text=”3. PRESUMPTIONS IN CIVIL ACTIONS AND PROCEEDINGS” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]Presumptions are tools used by courts to determine which of the parties in a trial has to prove a particular fact.
[/vc_column_text][vc_custom_heading text=”4. RELEVANCY AND ITS LIMITS” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]Evidence is only admissible in court if it determines the validity of one or more facts important to the case.
[/vc_column_text][vc_custom_heading text=”5. PRIVILEGES” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]A privilege refers to the right not to disclose confidential information unless the privilege is waived. Examples include attorney-client, husband-and-wife, and doctor-patient privileges.
[/vc_column_text][vc_custom_heading text=”6. WITNESSES” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]To testify in a federal case, a witness must be competent enough to offer testimony on information they have personal knowledge of.
[/vc_column_text][vc_custom_heading text=”7. OPINIONS AND EXPERT TESTIMONY” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]In addition to personal knowledge, a witness can be allowed to provide a lay opinion if it is useful in understanding a fact based on their observations. If the opinion in question isn’t based on the witness’ personal observation, an expert witness with the skill, training, or experience will be called upon to form such an opinion.
[/vc_column_text][vc_custom_heading text=”8. HEARSAY” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]Hearsay evidence is essentially gossip presented as fact in a case. The rules exclude hearsay testimony unless it falls into any of the 24 exceptions.[/vc_column_text][vc_custom_heading text=”24 Exceptions to the Hearsay Rule” font_container=”tag:h4|font_size:21|text_align:center|color:%23606060″ google_fonts=”font_family:Francois%20One%3Aregular|font_style:400%20regular%3A400%3Anormal”][accordion id=”” class=”” style=””][accordion_item parent_id=”” title=”(1) Present Sense Impression” id=”fre-803-1″ class=”” style=””]A statement describing or explaining an event or condition, made while or immediately after the declarant perceived it.[/accordion_item][accordion_item parent_id=”” title=”(2) Excited Utterance” id=”” class=”” style=””]A statement relating to a startling event or condition, made while the declarant was under the stress of excitement that it caused.[/accordion_item][accordion_item parent_id=”” title=”(3) Then-Existing Mental, Emotional, or Physical Condition” id=”” class=”” style=””]A statement of the declarant’s then-existing state of mind (such as motive, intent, or plan) or emotional, sensory, or physical condition (such as mental feeling, pain, or bodily health), but not including a statement of memory or belief to prove the fact remembered or believed unless it relates to the validity or terms of the declarant’s will.[/accordion_item][accordion_item parent_id=”” title=”(4) Statement Made for Medical Diagnosis or Treatment” id=”” class=”” style=””]A statement that:
- Is made for — and is reasonably pertinent to — medical diagnosis or treatment; and
- Describes medical history (past or present symptoms or sensations, their inception, or their general cause).
A record that:
- Is on a matter the witness once knew about but now cannot recall well enough to testify fully and accurately;
- Was made or adopted by the witness when the matter was fresh in the witness’s memory; and
- Accurately reflects the witness’s knowledge.
If admitted, the record may be read into evidence but may be received as an exhibit only if offered by an adverse party.
[/accordion_item][accordion_item parent_id=”” title=”(6) Records of a Regularly Conducted Activity” id=”” class=”” style=””]A record of an act, event, condition, opinion, or diagnosis if:
- The record was made at or near the time by — or from information transmitted by — someone with knowledge;
- The record was kept in the course of a regularly conducted activity of a business, organization, occupation, or calling, whether or not for profit;
- Making the record was a regular practice of that activity;
- 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
- The opponent does not show that the source of information or the method or circumstances of preparation indicate a lack of trustworthiness.
* Rule 902(11): Certified Domestic Records of a Regularly Conducted Activity. The original or a copy of a domestic record that meets the requirements of Rule 803(6)(A)-(C), as shown by a certification of the custodian or another qualified person that complies with a federal statute or a rule prescribed by the Supreme Court. Before the trial or hearing, the proponent must give an adverse party reasonable written notice of the intent to offer the record — and must make the record and certification available for inspection — so that the party has a fair opportunity to challenge them.
** Rule 902(12): Certified Foreign Records of a Regularly Conducted Activity. In a civil case, the original or a copy of a foreign record that meets the requirements of Rule 902(11), modified as follows: the certification, rather than complying with a federal statute or Supreme Court rule, must be signed in a manner that, if falsely made, would subject the maker to a criminal penalty in the country where the certification is signed. The proponent must also meet the notice requirements of Rule 902(11).[/accordion_item][accordion_item parent_id=”” title=”(7) Absence of a Record of a Regularly Conducted Activity” id=”” class=”” style=””]
Evidence that a matter is not included in a record described in paragraph (6) if:
- The evidence is admitted to prove that the matter did not occur or exist;
- A record was regularly kept for a matter of that kind; and
- The opponent does not show that the possible source of the information or other circumstances indicate a lack of trustworthiness.
A record or statement of a public office if:
- It sets out:
- The office’s activities;
- A matter observed while under a legal duty to report, but not including, in a criminal case, a matter observed by law-enforcement personnel; or
- In a civil case or against the government in a criminal case, factual findings from a legally authorized investigation; and
- The opponent does not show that the source of information or other circumstances indicate a lack of trustworthiness.
Testimony — or a certification under Rule 902 — that a diligent search failed to disclose a public record or statement if:
- The testimony or certification is admitted to prove that:
- The record or statement does not exist; or
- A matter did not occur or exist, if a public office regularly kept a record or statement for a matter of that kind; and
- In a criminal case, a prosecutor who intends to offer a certification provides written notice of that intent at least 14 days before trial, and the defendant does not object in writing within 7 days of receiving the notice — unless the court sets a different time for the notice or the objection.
A statement of fact contained in a certificate:
- Made by a person who is authorized by a religious organization or by law to perform the act certified;
- Attesting that the person performed a marriage or similar ceremony or administered a sacrament; and
- Purporting to have been issued at the time of the act or within a reasonable time after it.
The record of a document that purports to establish or affect an interest in property if:
- The record is admitted to prove the content of the original recorded document, along with its signing and its delivery by each person who purports to have signed it;
- The record is kept in a public office; and
- A statute authorizes recording documents of that kind in that office.
A statement contained in a treatise, periodical, or pamphlet if:
- The statement is called to the attention of an expert witness on cross-examination or relied on by the expert on direct examination; and
- The publication is established as a reliable authority by the expert’s admission or testimony, by another expert’s testimony, or by judicial notice.
If admitted, the statement may be read into evidence but not received as an exhibit.
[/accordion_item][accordion_item parent_id=”” title=”(19) Reputation Concerning Personal or Family History” id=”” class=”” style=””]A reputation among a person’s family by blood, adoption, or marriage — or among a person’s associates or in the community — concerning the person’s birth, adoption, legitimacy, ancestry, marriage, divorce, death, relationship by blood, adoption, or marriage, or similar facts of personal or family history.[/accordion_item][accordion_item parent_id=”” title=”(20) Reputation Concerning Boundaries or General History” id=”” class=”” style=””]A reputation in a community — arising before the controversy — concerning boundaries of land in the community or customs that affect the land, or concerning general historical events important to that community, state, or nation.[/accordion_item][accordion_item parent_id=”” title=”(21) Reputation Concerning Character” id=”” class=”” style=””]A reputation among a person’s associates or in the community concerning the person’s character.[/accordion_item][accordion_item parent_id=”” title=”(22) Judgment of a Previous Conviction” id=”” class=”” style=””]Evidence of a final judgment of conviction if:
- The judgment was entered after a trial or guilty plea, but not a nolo contendere plea;
- The conviction was for a crime punishable by death or by imprisonment for more than a year;
- The evidence is admitted to prove any fact essential to the judgment; and
- When offered by the prosecutor in a criminal case for a purpose other than impeachment, the judgment was against the defendant.
The pendency of an appeal may be shown but does not affect admissibility.
[/accordion_item][accordion_item parent_id=”” title=”(23) Judgments Involving Personal, Family, or General History, or a Boundary” id=”” class=”” style=””]A judgment that is admitted to prove a matter of personal, family, or general history, or boundaries, if the matter:
- Was essential to the judgment; and
- Could be proved by evidence of reputation.
Under the following conditions, a hearsay statement is not excluded by the Rule against hearsay even if the statement is not admissible under any of the other hearsay exception rules:
- The statement is supported by sufficient guarantees of trustworthiness—after considering the totality of circumstances under which it was made and evidence, if any, corroborating the statement; and
- It is more probative on the point for which it is offered than any other evidence that the proponent can obtain through reasonable efforts.
Additionally, the statement is admissible only if the proponent gives an adverse party reasonable notice of the intent to offer the statement—including its substance and the declarant’s name— so that the party has a fair opportunity to meet it. The notice must be provided in writing before the trial or hearing—or in any form during the trial or hearing if the court, for good cause, excuses a lack of earlier notice.
[/accordion_item][/accordion][vc_custom_heading text=”9. AUTHENTICATION AND IDENTIFICATION” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]Only items that can be identified by witnesses or whose authenticity can be vouched for by an expert are admissible in court.
[/vc_column_text][vc_custom_heading text=”10. CONTENTS OF WRITINGS, RECORDINGS, AND PHOTOGRAPHS” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]Photographs, recordings, writings, or any other documentary evidence must be authenticated by an expert or a witness before admission. These also have to be original unless the rules allow for the use of a copy if the original was destroyed.
[/vc_column_text][vc_custom_heading text=”11. MISCELLANEOUS RULES” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]The provisions of this section state that the rules of evidence apply in all federal civil and criminal cases. Additionally, it states that the privilege rule is not applicable in grand jury and other miscellaneous legal proceedings. It allows federal judges to exercise their discretion in the admission or exclusion of evidence outside the rules if they deem it necessary.
[/vc_column_text][vc_custom_heading text=”Do Rules of Evidence apply in arbitration?” font_container=”tag:h2|font_size:28|text_align:left|color:%23ff5d00″ use_theme_fonts=”yes”][vc_column_text]The short answer is – no, unless the parties to the arbitration process expressly require it, which is rare.
The provisions of Rule 34(b) of the Commercial Rules of the American Arbitration Association and Rule 30 of the Employment Arbitration Rules state that the materiality and relevance of the evidence presented in arbitration proceedings are at the sole discretion of the arbitrator. They further state that conforming to the legal rules of evidence is not necessary to the process.
[/vc_column_text][vc_custom_heading text=”GET THE BEST ATTORNEY ON YOUR CASE” font_container=”tag:h3|font_size:24|text_align:left|color:%23000000″ use_theme_fonts=”yes”][vc_column_text]A court case is won or lost based on the evidence admitted or excluded in the trial process. If you’re currently facing criminal charges, having proof that helps your case means nothing if you don’t follow the Federal Rules of Evidence to a T. Ensure you get an experienced criminal defense attorney to represent you for the best possible trial outcome.
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