[House Prints, 114th Congress]
[From the U.S. Government Publishing Office]
FEDERAL RULES
OF
EVIDENCE
___________
DECEMBER 1, 2016
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Printed for the use
of
THE COMMITTEE ON THE JUDICIARY
HOUSE OF REPRESENTATIVES
114th Congress }
COMMITTEE PRINT { No. 10
2nd Session }
__________________________________________________________________
FEDERAL RULES
OF
EVIDENCE
_____________
DECEMBER 1, 2016
[GRAPHIC NOT AVAILABLE IN TIFF FORMAT]
Printed for the use
of
THE COMMITTEE ON THE JUDICIARY
HOUSE OF REPRESENTATIVES
U.S. GOVERNMENT PUBLISHING OFFICE
WASHINGTON : 2016
____________________________________________________________________________________
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COMMITTEE ON THE JUDICIARY
One Hundred Fourteenth Congress
BOB GOODLATTE, Virginia, Chairman
F. JAMES SENSENBRENNER, Jr., Wisconsin JOHN CONYERS, Jr., Michigan
LAMAR S. SMITH, Texas JERROLD NADLER, New York
STEVE CHABOT, Ohio ZOE LOFGREN, California
DARRELL E. ISSA, California SHEILA JACKSON LEE, Texas
J. RANDY FORBES, Virginia STEVE COHEN, Tennessee
STEVE KING, Iowa HENRY C. ``HANK'' JOHNSON,
TRENT FRANKS, Arizona Jr., Georgia
LOUIE GOHMERT, Texas PEDRO R. PIERLUISI, Puerto
JIM JORDAN, Ohio Rico
TED POE, Texas JUDY CHU, California
JASON CHAFFETZ, Utah TED DEUTCH, Florida
TOM MARINO, Pennsylvania LUIS V. GUTIERREZ, Illinois
TREY GOWDY, South Carolina KAREN BASS, California
RAUL LABRADOR, Idaho CEDRIC RICHMOND, Louisiana
BLAKE FARENTHOLD, Texas SUZAN DelBENE, Washington
DOUG COLLINS, Georgia HAKEEM JEFFRIES, New York
RON DeSANTIS, Florida DAVID N. CICILLINE, Rhode
MIMI WALTERS, California Island
KEN BUCK, Colorado SCOTT PETERS, California
JOHN RATCLIFFE, Texas
DAVE TROTT, Michigan
MIKE BISHOP, Michigan
Shelley Husband, Chief of Staff & General Counsel
Perry Apelbaum, Minority Staff Director & Chief Counsel
(ii)
FOREWORD
This document contains the Federal Rules of Evidence, as amended to
December 1, 2016. The rules were enacted by Public Law 93-595 (approved
January 2, 1975) and have been amended by Acts of Congress, and further
amended by the United States Supreme Court. This document has been
prepared by the Committee in response to the need for an official up-to-
date document containing the latest amendments to the rules.
For the convenience of the user, where a rule has been amended a
reference to the date the amendment was promulgated and the date the
amendment became effective follows the text of the rule.
The Committee on Rules of Practice and Procedure and the Advisory
Committee on the Federal Rules of Evidence, Judicial Conference of the
United States, prepared notes explaining the purpose and intent of the
amendments to the rules. The Committee Notes may be found in the
Appendix to Title 28, United States Code, following the particular rule
to which they relate.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Chairman, Committee on the Judiciary.
December 1, 2016.
(iii)
AUTHORITY FOR PROMULGATION OF RULES
AUTHORITY FOR PROMULGATION OF RULES
TITLE 28, UNITED STATES CODE
Sec. 2072. Rules of procedure and evidence; power to prescribe
(a) The Supreme Court shall have the power to prescribe general
rules of practice and procedure and rules of evidence for cases in the
United States district courts (including proceedings before magistrate
judges thereof) and courts of appeals.
(b) Such rules shall not abridge, enlarge or modify any substantive
right. All laws in conflict with such rules shall be of no further force
or effect after such rules have taken effect.
(c) Such rules may define when a ruling of a district court is final
for the purposes of appeal under section 1291 of this title.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat.
4648, eff. Dec. 1, 1988; amended Pub. L. 101-650, title III,
Sec. Sec. 315, 321, Dec. 1, 1990, 104 Stat. 5115, 5117.)
Sec. 2073. Rules of procedure and evidence; method of prescribing
(a)(1) The Judicial Conference shall prescribe and publish the
procedures for the consideration of proposed rules under this section.
(2) The Judicial Conference may authorize the appointment of
committees to assist the Conference by recommending rules to be
prescribed under sections 2072 and 2075 of this title. Each such
committee shall consist of members of the bench and the professional
bar, and trial and appellate judges.
(b) The Judicial Conference shall authorize the appointment of a
standing committee on rules of practice, procedure, and evidence under
subsection (a) of this section. Such standing committee shall review
each recommendation of any other committees so appointed and recommend
to the Judicial Conference rules of practice, procedure, and evidence
and such changes in rules proposed by a committee appointed under
subsection (a)(2) of this section as may be necessary to maintain
consistency and otherwise promote the interest of justice.
(c)(1) Each meeting for the transaction of business under this
chapter by any committee appointed under this section shall be open to
the public, except when the committee so meeting, in open session and
with a majority present, determines that it is in the public interest
that all or part of the remainder of the meeting on that day shall be
closed to the public, and states the reason for so closing the meeting.
Minutes of each meeting for the transaction of business under this
chapter shall be maintained by the committee and made available to the
public, except that any portion of such minutes, relating to a closed
meeting and made available to the public, may contain such deletions as
may be necessary to avoid frustrating the purposes of closing the
meeting.
(2) Any meeting for the transaction of business under this chapter,
by a committee appointed under this section, shall be preceded by
sufficient notice to enable all interested persons to attend.
(d) In making a recommendation under this section or under section
2072 or 2075, the body making that recommendation shall provide a
proposed rule, an explanatory note on the rule, and a written report
explaining the body's action, including any minority or other separate
views.
(e) Failure to comply with this section does not invalidate a rule
prescribed under section 2072 or 2075 of this title.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat.
4649, eff. Dec. 1, 1988; amended Pub. L. 103-394, title I, Sec. 104(e),
Oct. 22, 1994, 108 Stat. 4110.)
Sec. 2074. Rules of procedure and evidence; submission to Congress;
effective date
(a) The Supreme Court shall transmit to the Congress not later than
May 1 of the year in which a rule prescribed under section 2072 is to
become effective a copy of the proposed rule. Such rule shall take
effect no earlier than December 1 of the year in which such rule is so
transmitted unless otherwise provided by law. The Supreme Court may fix
the extent such rule shall apply to proceedings then pending, except
that the Supreme Court shall not require the application of such rule to
further proceedings then pending to the extent that, in the opinion of
the court in which such proceedings are pending, the application of such
rule in such proceedings would not be feasible or would work injustice,
in which event the former rule applies.
(b) Any such rule creating, abolishing, or modifying an evidentiary
privilege shall have no force or effect unless approved by Act of
Congress.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat.
4649, eff. Dec. 1, 1988.)
Sec. 2075. Bankruptcy rules
The Supreme Court shall have the power to prescribe by general
rules, the forms of process, writs, pleadings, and motions, and the
practice and procedure in cases under title 11.
Such rules shall not abridge, enlarge, or modify any substantive
right.
The Supreme Court shall transmit to Congress not later than May 1 of
the year in which a rule prescribed under this section is to become
effective a copy of the proposed rule. The rule shall take effect no
earlier than December 1 of the year in which it is transmitted to
Congress unless otherwise provided by law.
The bankruptcy rules promulgated under this section shall prescribe
a form for the statement required under section 707(b)(2)(C) of title 11
and may provide general rules on the content of such statement.
(Added Pub. L. 88-623, Sec. 1, Oct. 3, 1964, 78 Stat. 1001; amended Pub.
L. 95-598, title II, Sec. 247, Nov. 6, 1978, 92 Stat. 2672; Pub. L. 103-
394, title I, Sec. 104(f), Oct. 22, 1994, 108 Stat. 4110; Pub. L. 109-8,
title XII, Sec. 1232, Apr. 20, 2005, 119 Stat. 202.)
HISTORICAL NOTE
HISTORICAL NOTE
The Supreme Court prescribes Federal Rules of Evidence pursuant to
section 2072 of Title 28, United States Code, as enacted by Title IV
``Rules Enabling Act'' of Pub. L. 100-702 (approved November 19, 1988,
102 Stat. 4648), effective December 1, 1988, and section 2075 of Title
28. Pursuant to section 2074 of Title 28, the Supreme Court transmits to
Congress (not later than May 1 of the year in which a rule prescribed
under section 2072 is to become effective) a copy of the proposed rule.
The rule takes effect no earlier than December 1 of the year in which
the rule is transmitted unless otherwise provided by law.
Pursuant to sections 3402, 3771, and 3772 of Title 18, United States
Code, and sections 2072 and 2075 of Title 28, United States Code, as
then in effect, the Supreme Court through the Chief Justice submitted
Federal Rules of Evidence to Congress on February 5, 1973 (409 U.S.
1132; Cong. Rec., vol. 119, pt. 3, p. 3247, Exec. Comm. 359, H. Doc. 93-
46). To allow additional time for Congress to review the proposed rules,
Public Law 93-12 (approved March 30, 1973, 87 Stat. 9) provided that the
proposed rules ``shall have no force or effect except to the extent, and
with such amendments, as they may be expressly approved by Act of
Congress''.
Public Law 93-595 \1\ (approved January 2, 1975, 88 Stat. 1926)
enacted the Federal Rules of Evidence proposed by the Supreme Court,
with amendments made by Congress, to be effective July 1, 1975.
---------------------------------------------------------------------------
\1\ LEGISLATIVE HISTORY:
HOUSE REPORTS: No. 93-650 (Comm. on the Judiciary) and No. 93-1597
(Comm. of Conference).
SENATE REPORT No. 93-1277 (Comm. on the Judiciary).
CONGRESSIONAL RECORD, Vol. 120 (1974):
Jan. 30, Feb. 6, considered and passed House.
Nov. 21, 22, considered and passed Senate, amended.
Dec. 16, Senate agreed to conference report.
Dec. 17, 18, House agreed to conference report.
WEEKLY COMPILATION OF PRESIDENTIAL DOCUMENTS, Vol. 11, No. 1:
Jan. 3, 1975, Presidential statement.
---------------------------------------------------------------------------
Section 1 of Public Law 94-113 (approved October 16, 1975, 89 Stat.
576) added clause (C) to Rule 801(d)(1), effective October 31, 1975.
Section 1 of Public Law 94-149 (approved December 12, 1975, 89 Stat.
805) enacted technical amendments which affected the Table of Contents
and Rules 410, 606(b), 803(23), 804(b)(3), and 1101(e).
Section 2 of Public Law 95-540 (approved October 28, 1978, 92 Stat.
2046) added Rule 412 and inserted item 412 in the Table of Contents. The
amendments apply to trials that begin more than thirty days after
October 28, 1978.
Section 251 of Public Law 95-598 (approved November 6, 1978, 92
Stat. 2673) amended Rule 1101(a) and (b) by striking out ``, referees in
bankruptcy,'' and by substituting ``title 11, United States Code'' for
``the Bankruptcy Act'', effective October 1, 1979, pursuant to section
402(c) of Public Law 95-598.
Section 252 of Public Law 95-598 would have amended Rule 1101(a) by
inserting ``the United States Bankruptcy Courts,'' immediately after
``the United States district courts,'', effective April 1, 1984,
pursuant to section 402(b) of Public Law 95-598. However, following a
series of amendments (extending the April 1, 1984, effective date) by
Public Laws 98-249, Sec. 1(a), 98-271, Sec. 1(a), 98-299, Sec. 1(a), 98-
325, Sec. 1(a), and 98-353, Sec. 121(a), section 402(b) of Public Law
95-598 was amended by section 113 of Public Law 98-353 to provide that
the amendment ``shall not be effective''.
An amendment to Rule 410 was proposed by the Supreme Court by order
dated April 30, 1979, transmitted to Congress by the Chief Justice on
the same day (441 U.S. 970, 1007; Cong. Rec., vol. 125, pt. 8, p. 9366,
Exec. Comm. 1456; H. Doc. 96-112), and was to be effective August 1,
1979. Public Law 96-42 (approved July 31, 1979, 93 Stat. 326) delayed
the effective date of the amendment to Rule 410 until December 1, 1980,
or until and to the extent approved by Act of Congress, whichever is
earlier. In the absence of further action by Congress, the amendment to
Rule 410 became effective December 1, 1980.
Sections 142 and 402 of Public Law 97-164 (approved April 2, 1982,
96 Stat. 45, 57) amended Rule 1101(a), effective October 1, 1982.
Section 406 of Public Law 98-473 (approved October 12, 1984, 98
Stat. 2067) amended Rule 704.
Additional amendments were adopted by the Court by order dated March
2, 1987, transmitted to Congress by the Chief Justice on the same day
(480 U.S. 1023; Cong. Rec., vol. 133, pt. 4, p. 4484, Exec. Comm. 713;
H. Doc. 100-41), and became effective October 1, 1987. The amendments
affected Rules 101, 104(c), (d), 106, 404(a)(1), (b), 405(b), 411, 602
to 604, 606, 607, 608(b), 609(a), 610, 611(c), 612, 613, 615, 701, 703,
705, 706(a), 801(a), (d), 803(5), (18), (19), (21), (24), 804(a),
(b)(2), (3), (5), 806, 902(2), (3), 1004(3), 1007, and 1101(a).
Additional amendments were adopted by the Court by order dated April
25, 1988, transmitted to Congress by the Chief Justice on the same day
(485 U.S. 1049; Cong. Rec., vol. 134, pt. 7, p. 9154, Exec. Comm. 3517;
H. Doc. 100-187), and became effective November 1, 1988. The amendments
affected Rules 101, 602, 608(b), 613(b), 615, 902(3), and 1101(a), (e).
Sections 7046 and 7075 of Public Law 100-690 (approved November 18,
1988, 102 Stat. 4400, 4405) amended the Tables of Contents and Rules
412, 615, 804(a)(5), and 1101(a). Section 7075(a) of Public Law 100-690,
which directed the amendment of Rule 615 by inserting ``a'' before
``party which is not a natural person.'', could not be executed because
``party which is not a natural person.'' did not appear. However, the
word ``a'' was inserted by the intervening amendment adopted by the
Court by order dated April 25, 1988, effective November 1, 1988. Section
7075(c)(1) of Public Law 100-690, which directed the amendment of Rule
1101(a) by striking ``Rules'' and inserting ``rules'', could not be
executed because of the intervening amendment adopted by the Court by
order dated April 25, 1988, effective November 1, 1988.
An additional amendment was adopted by the Court by order dated
January 26, 1990, transmitted to Congress by the Chief Justice on the
same day (493 U.S. 1175; Cong. Rec., vol. 136, pt. 1, p. 662, Exec.
Comm. 2370; H. Doc. 101-142), and became effective December 1, 1990. The
amendment affected Rule 609(a).
Additional amendments were adopted by the Court by order dated April
30, 1991, transmitted to Congress by the Chief Justice on the same day
(500 U.S. 1001; Cong. Rec., vol. 137, pt. 7, p. 9721, Ex. Comm. 1189; H.
Doc. 102-76), and became effective December 1, 1991. The amendments
affected Rules 404(b) and 1102.
Additional amendments were adopted by the Court by order dated April
22, 1993, transmitted to Congress by the Chief Justice on the same day
(507 U.S. 1187; Cong. Rec., vol. 139, pt. 6, p. 8127, Ex. Comm. 1104; H.
Doc. 103-76), and became effective December 1, 1993. The amendments
affected Rules 101, 705, and 1101(a), (e).
An additional amendment was adopted by the Court by order dated
April 29, 1994, and transmitted to Congress by the Chief Justice on the
same day (511 U.S. 1187; Cong. Rec., vol. 140, pt. 7, p. 8903, Ex. Comm.
3085; H. Doc. 103-250). The amendment affected Rule 412 and was to
become effective December 1, 1994. Section 40141(a) of Public Law 103-
322 (approved September 13, 1994, 108 Stat. 1918) provided that such
amendment would take effect on December 1, 1994, but with the general
amendment of Rule 412 made by section 40141(b) of Public Law 103-322.
Section 320935(a) of Public Law 103-322 (approved September 13,
1994, 108 Stat. 2135) amended the Federal Rules of Evidence by adding
Rules 413 to 415, with provisions in section 320935(b)-(e) of Public Law
103-322 relating to the effective date and application of such rules.
Pursuant to Pub. L. 103-322, Sec. 320935(c), the Judicial Conference
transmitted a report to Congress on February 9, 1995, containing
recommendations different from the amendments made by Pub. L. 103-322,
Sec. 320935(a). Congress did not adopt the recommendations submitted or
provide otherwise by law. Accordingly, Rules 413 to 415, as so added,
became effective on July 9, 1995.
Additional amendments were adopted by the Court by order dated April
11, 1997, transmitted to Congress by the Chief Justice on the same day
(520 U.S. 1323; Cong. Rec., vol. 143, pt. 4, p. 5550, Ex. Comm. 2798; H.
Doc. 105-69), and became effective December 1, 1997. The amendments
affected Rules 407, 801, 803, 804, and 806 and added Rule 807.
Additional amendments were adopted by the Court by order dated April
24, 1998, transmitted to Congress by the Chief Justice on the same day
(523 U.S. 1235; Cong. Rec., vol. 144, pt. 6, p. 8151, Ex. Comm. 8996 to
Ex. Comm. 8998; H. Doc. 105-268), and became effective December 1, 1998.
The amendments affected Rule 615.
Additional amendments were adopted by the Court by order dated April
17, 2000, transmitted to Congress by the Chief Justice on the same day
(529 U.S. 1189; Cong. Rec., vol. 146, pt. 5, p. 6328, Ex. Comm. 7333; H.
Doc. 106-225), and became effective December 1, 2000. The amendments
affected Rules 103, 404, 701, 702, 703, 803, and 902.
An additional amendment was adopted by the Court by order dated
March 27, 2003, transmitted to Congress by the Chief Justice on the same
day (538 U.S. 1097; Cong. Rec., vol. 149, pt. 6, p. 7689, Ex. Comm.
1494; H. Doc. 108-57), and became effective December 1, 2003. The
amendment affected Rule 608.
Additional amendments were adopted by the Court by order dated April
12, 2006, transmitted to Congress by the Chief Justice on the same day
(547 U.S. 1281; Cong. Rec., vol. 152, pt. 6, p. 7213, Ex. Comm. 7320; H.
Doc. 109-108), and became effective December 1, 2006. The amendments
affected Rules 404, 408, 606, and 609.
Section 1 of Public Law 110-322 (approved September 19, 2008, 122
Stat. 3537) added Rule 502 and inserted item 502 in the Table of
Contents. The amendments apply in all proceedings commenced after
September 19, 2008, and, insofar as is just and practicable, in all
proceedings pending on that date.
An additional amendment was adopted by the Court by order dated
April 28, 2010, transmitted to Congress by the Chief Justice on the same
day (559 U.S. 1157; Cong. Rec., vol. 156, pt. 6, p. 8139, Ex. Comm.
7475; H. Doc. 111-113), and became effective December 1, 2010. The
amendment affected Rule 804.
Additional amendments were adopted by the Court by order dated April
26, 2011, transmitted to Congress by the Chief Justice on the same day
(563 U.S. 1075; Cong. Rec., vol. 157, pt. 6, p. 7770, Ex. Comm. 1662; H.
Doc. 112-28), and became effective December 1, 2011. The amendments
affected Rules 101 to 1103.
An additional amendment was adopted by the Court by order dated
April 13, 2013, transmitted to Congress by the Chief Justice on April
16, 2013 (569 U.S.----; Cong. Rec., vol. 159, p. H2652, Daily Issue, Ex.
Comm. 1492; H. Doc. 113-26), and became effective December 1, 2013. The
amendment affected Rule 803.
Additional amendments were adopted by the Court by order dated April
25, 2014, transmitted to Congress by the Chief Justice on the same day
(572 U.S.----; Cong. Rec., vol. 160, p. H7933, Daily Issue, Ex. Comm.
7580; H. Doc. 113-164), and became effective December 1, 2014. The
amendments affected Rules 801 and 803.
Committee Notes
Committee Notes prepared by the Committee on Rules of Practice and
Procedure and the Advisory Committee on the Federal Rules of Evidence,
Judicial Conference of the United States, explaining the purpose and
intent of the amendments are set out in the Appendix to Title 28, United
States Code, following the particular rule to which they relate. In
addition, the notes are set out in the House documents listed above.
CONTENTS
TABLE OF CONTENTS
______________
Page
Foreword...................................................... iii
Authority for promulgation of rules........................... v
Historical note............................................... vii
RULES
Article I. General Provisions:
Rule 101. Scope; definitions...................................1
Rule 102. Purpose..............................................1
Rule 103. Rulings on evidence..................................1
Rule 104. Preliminary questions................................2
Rule 105. Limiting evidence that is not admissible against other
parties or for other purposes..................2
Rule 106. Remainder of or related writings or recorded
statements.....................................2
Article II. Judicial Notice:
Rule 201. Judicial notice of adjudicative facts................3
Article III. Presumptions in Civil Cases:
Rule 301. Presumptions in civil cases generally................3
Rule 302. Applying State law to presumptions in civil cases....3
Article IV. Relevance and Its Limits:
Rule 401. Test for relevant evidence...........................3
Rule 402. General admissibility of relevant evidence...........4
Rule 403. Excluding relevant evidence for prejudice, confusion,
waste of time, or other reasons................4
Rule 404. Character evidence; crimes or other acts.............4
Rule 405. Methods of proving character.........................5
Rule 406. Habit; routine practice..............................5
Rule 407. Subsequent remedial measures.........................5
Rule 408. Compromise offers and negotiations...................5
Rule 409. Offers to pay medical and similar expenses...........6
Rule 410. Pleas, plea discussions, and related statements......6
Rule 411. Liability insurance..................................6
Rule 412. Sex-offense cases: the victim's sexual behavior or
predisposition.................................7
Rule 413. Similar crimes in sexual-assault cases...............7
Rule 414. Similar crimes in child-molestation cases............8
Rule 415. Similar acts in civil cases involving sexual assault
or child molestation...........................9
Article V. Privileges:
Rule 501. Privilege in general.................................9
Rule 502. Attorney-client privilege and work product;
limitations on waiver..........................9
Article VI. Witnesses:
Rule 601. Competency to testify in general....................10
Rule 602. Need for personal knowledge.........................10
Rule 603. Oath or affirmation to testify truthfully...........10
Rule 604. Interpreter.........................................11
Rule 605. Judge's competency as a witness.....................11
Rule 606. Juror's competency as a witness.....................11
Rule 607. Who may impeach a witness...........................11
Rule 608. A witness's character for truthfulness or
untruthfulness................................11
Rule 609. Impeachment by evidence of a criminal conviction....12
Rule 610. Religious beliefs or opinions.......................13
Rule 611. Mode and order of examining witnesses and presenting
evidence......................................13
Article VI. Witnesses--Continued
Page
Rule 612. Writing used to refresh a witness's memory..........13
Rule 613. Witness's prior statement...........................14
Rule 614. Court's calling or examining a witness..............14
Rule 615. Excluding witnesses.................................14
Article VII. Opinions and Expert Testimony:
Rule 701. Opinion testimony by lay witnesses..................15
Rule 702. Testimony by expert witnesses.......................15
Rule 703. Bases of an expert's opinion testimony..............15
Rule 704. Opinion on an ultimate issue........................15
Rule 705. Disclosing the facts or data underlying an expert's
opinion.......................................16
Rule 706. Court-appointed expert witnesses....................16
Article VIII. Hearsay:
Rule 801. Definitions that apply to this article; exclusions
from hearsay..................................16
Rule 802. The rule against hearsay............................17
Rule 803. Exceptions to the rule against hearsay--regardless of
whether the declarant is available as a witnes18
Rule 804. Exceptions to the rule against hearsay--when the
declarant is unavailable as a witness.........21
Rule 805. Hearsay within hearsay..............................22
Rule 806. Attacking and supporting the declarant's credibility22
Rule 807. Residual exception..................................22
Article IX. Authentication and Identification:
Rule 901. Authenticating or identifying evidence..............23
Rule 902. Evidence that is self-authenticating................24
Rule 903. Subscribing witness's testimony.....................25
Article X. Contents of Writings, Recordings, and Photographs:
Rule 1001. Definitions that apply to this article.............26
Rule 1002. Requirement of the original........................26
Rule 1003. Admissibility of duplicates........................26
Rule 1004. Admissibility of other evidence of content.........26
Rule 1005. Copies of public records to prove content..........27
Rule 1006. Summaries to prove content.........................27
Rule 1007. Testimony or statement of a party to prove content.27
Rule 1008. Functions of the court and jury....................27
Article XI. Miscellaneous Rules:
Rule 1101. Applicability of the rules.........................27
Rule 1102. Amendments.........................................28
Rule 1103. Title..............................................28
FEDERAL RULES OF EVIDENCE
FEDERAL RULES OF EVIDENCE
Effective July 1, 1975, as amended to December 1, 2016
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.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1,
1988; Apr. 22, 1993, eff. Dec. 1, 1993; 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.
(As amended 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.
(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.
(As amended 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.
(As amended 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.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
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.
(As amended 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.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
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.
(As amended 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.
(As amended 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.
(As amended 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.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
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.
(As amended 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.
(As amended 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.)
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.
(As amended 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.
(As amended 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.
(As amended 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.
(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.
(As amended 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.
(As amended 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.
(As amended Pub. L. 94-149, Sec. 1(9), Dec. 12, 1975, 89 Stat. 805; Apr.
30, 1979, eff. Dec. 1, 1980; 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.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
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'' includes an
alleged victim.
(As added Pub. L. 95-540, Sec. 2(a), Oct. 28, 1978, 92 Stat. 2046, eff.
Nov. 28, 1978; amended Pub. L. 100-690, title VII, Sec. 7046(a), Nov.
18, 1988, 102 Stat. 4400; Apr. 29, 1994, eff. Dec. 1, 1994; Sept. 13,
1994, eff. Dec. 1, 1994; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 413
. Similar Crimes in Sexual-Assault Cases__________________________
(a) Permitted Uses. In a criminal case in which a defendant is
accused of a sexual assault, the court may admit evidence that the
defendant committed any other sexual assault. The evidence may be
considered on any matter to which it is relevant.
(b) Disclosure to the Defendant. If the prosecutor intends to offer
this evidence, the prosecutor must disclose it to the defendant,
including witnesses' statements or a summary of the expected testimony.
The prosecutor must do so at least 15 days before trial or at a later
time that the court allows for good cause.
(c) Effect on Other Rules. This rule does not limit the admission or
consideration of evidence under any other rule.
(d) Definition of ``Sexual Assault.'' In this rule and Rule 415,
``sexual assault'' means a crime under federal law or under state law
(as ``state'' is defined in 18 U.S.C. Sec. 513) involving:
(1) any conduct prohibited by 18 U.S.C. chapter 109A;
(2) contact, without consent, between any part of the
defendant's body--or an object--and another person's genitals or
anus;
(3) contact, without consent, between the defendant's
genitals or anus and any part of another person's body;
(4) deriving sexual pleasure or gratification from
inflicting death, bodily injury, or physical pain on another
person; or
(5) an attempt or conspiracy to engage in conduct described
in subparagraphs (1)-(4).
(As added Pub. L. 103-322, title XXXII, Sec. 320935(a), Sept. 13, 1994,
108 Stat. 2136, eff. July 9, 1995; amended Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 414
. Similar Crimes in Child-Molestation Cases_______________________
(a) Permitted Uses. In a criminal case in which a defendant is
accused of child molestation, the court may admit evidence that the
defendant committed any other child molestation. The evidence may be
considered on any matter to which it is relevant.
(b) Disclosure to the Defendant. If the prosecutor intends to offer
this evidence, the prosecutor must disclose it to the defendant,
including witnesses' statements or a summary of the expected testimony.
The prosecutor must do so at least 15 days before trial or at a later
time that the court allows for good cause.
(c) Effect on Other Rules. This rule does not limit the admission or
consideration of evidence under any other rule.
(d) Definition of ``Child'' and ``Child Molestation.'' In this rule
and Rule 415:
(1) ``child'' means a person below the age of 14; and
(2) ``child molestation'' means a crime under federal law or
under state law (as ``state'' is defined in 18 U.S.C. Sec. 513)
involving:
(A) any conduct prohibited by 18 U.S.C. chapter 109A
and committed with a child;
(B) any conduct prohibited by 18 U.S.C. chapter 110;
(C) contact between any part of the defendant's
body--or an object--and a child's genitals or anus;
(D) contact between the defendant's genitals or anus
and any part of a child's body;
(E) deriving sexual pleasure or gratification from
inflicting death, bodily injury, or physical pain on a
child; or
(F) an attempt or conspiracy to engage in conduct
described in subparagraphs (A)-(E).
(As added Pub. L. 103-322, title XXXII, Sec. 320935(a), Sept. 13, 1994,
108 Stat. 2136, eff. July 9, 1995; amended Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 415
. Similar Acts in Civil Cases Involving Sexual Assault or Child
Molestation_____________________________________________________________
(a) Permitted Uses. In a civil case involving a claim for relief
based on a party's alleged sexual assault or child molestation, the
court may admit evidence that the party committed any other sexual
assault or child molestation. The evidence may be considered as provided
in Rules 413 and 414.
(b) Disclosure to the Opponent. If a party intends to offer this
evidence, the party must disclose it to the party against whom it will
be offered, including witnesses' statements or a summary of the expected
testimony. The party must do so at least 15 days before trial or at a
later time that the court allows for good cause.
(c) Effect on Other Rules. This rule does not limit the admission or
consideration of evidence under any other rule.
(As added Pub. L. 103-322, title XXXII, Sec. 320935(a), Sept. 13, 1994,
108 Stat. 2137, eff. July 9, 1995; amended Apr. 26, 2011, eff. Dec. 1,
2011.)
ARTICLE V. PRIVILEGES
Rule 501
. Privilege in General____________________________________________
The common law--as interpreted by United States courts in the light
of reason and experience--governs a claim of privilege unless any of the
following provides otherwise:
the United States Constitution;
a federal statute; or
rules prescribed by the Supreme Court.
But in a civil case, state law governs privilege regarding a claim
or defense for which state law supplies the rule of decision.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 502
. Attorney-Client Privilege and Work Product; Limitations on
Waiver__________________________________________________________________
The following provisions apply, in the circumstances set out, to
disclosure of a communication or information covered by the attorney-
client privilege or work-product protection.
(a) Disclosure Made in a Federal Proceeding or to a Federal Office
or Agency; Scope of a Waiver. When the disclosure is made in a federal
proceeding or to a federal office or agency and waives the attorney-
client privilege or work-product protection, the waiver extends to an
undisclosed communication or information in a federal or state
proceeding only if:
(1) the waiver is intentional;
(2) the disclosed and undisclosed communications or
information concern the same subject matter; and
(3) they ought in fairness to be considered together.
(b) Inadvertent Disclosure. When made in a federal proceeding or to
a federal office or agency, the disclosure does not operate as a waiver
in a federal or state proceeding if:
(1) the disclosure is inadvertent;
(2) the holder of the privilege or protection took
reasonable steps to prevent disclosure; and
(3) the holder promptly took reasonable steps to rectify the
error, including (if applicable) following Federal Rule of Civil
Procedure 26(b)(5)(B).
(c) Disclosure Made in a State Proceeding. When the disclosure is
made in a state proceeding and is not the subject of a state-court order
concerning waiver, the disclosure does not operate as a waiver in a
federal proceeding if the disclosure:
(1) would not be a waiver under this rule if it had been
made in a federal proceeding; or
(2) is not a waiver under the law of the state where the
disclosure occurred.
(d) Controlling Effect of a Court Order. A federal court may order
that the privilege or protection is not waived by disclosure connected
with the litigation pending before the court--in which event the
disclosure is also not a waiver in any other federal or state
proceeding.
(e) Controlling Effect of a Party Agreement. An agreement on the
effect of disclosure in a federal proceeding is binding only on the
parties to the agreement, unless it is incorporated into a court order.
(f) Controlling Effect of this Rule. Notwithstanding Rules 101 and
1101, this rule applies to state proceedings and to federal court-
annexed and federal court-mandated arbitration proceedings, in the
circumstances set out in the rule. And notwithstanding Rule 501, this
rule applies even if state law provides the rule of decision.
(g) Definitions. In this rule:
(1) ``attorney-client privilege'' means the protection that
applicable law provides for confidential attorney-client
communications; and
(2) ``work-product protection'' means the protection that
applicable law provides for tangible material (or its intangible
equivalent) prepared in anticipation of litigation or for trial.
(As added Pub. L. 110-322, Sec. 1(a), Sept. 19, 2008, 122 Stat. 3537;
amended Apr. 26, 2011, eff. Dec. 1, 2011.)
ARTICLE VI. WITNESSES
Rule 601
. Competency to Testify in General________________________________
Every person is competent to be a witness unless these rules provide
otherwise. But in a civil case, state law governs the witness's
competency regarding a claim or defense for which state law supplies the
rule of decision.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 602
. Need for Personal Knowledge_____________________________________
A witness may testify to a matter only if evidence is introduced
sufficient to support a finding that the witness has personal knowledge
of the matter. Evidence to prove personal knowledge may consist of the
witness's own testimony. This rule does not apply to a witness's expert
testimony under Rule 703.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1,
1988; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 603
. Oath or Affirmation to Testify Truthfully_______________________
Before testifying, a witness must give an oath or affirmation to
testify truthfully. It must be in a form designed to impress that duty
on the witness's conscience.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 604
. Interpreter_____________________________________________________
An interpreter must be qualified and must give an oath or
affirmation to make a true translation.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 605
. Judge's Competency as a Witness_________________________________
The presiding judge may not testify as a witness at the trial. A
party need not object to preserve the issue.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 606
. Juror's Competency as a Witness_________________________________
(a) At the Trial. A juror may not testify as a witness before the
other jurors at the trial. If a juror is called to testify, the court
must give a party an opportunity to object outside the jury's presence.
(b) During an Inquiry into the Validity of a Verdict or Indictment.
(1) Prohibited Testimony or Other Evidence. During an
inquiry into the validity of a verdict or indictment, a juror
may not testify about any statement made or incident that
occurred during the jury's deliberations; the effect of anything
on that juror's or another juror's vote; or any juror's mental
processes concerning the verdict or indictment. The court may
not receive a juror's affidavit or evidence of a juror's
statement on these matters.
(2) Exceptions. A juror may testify about whether:
(A) extraneous prejudicial information was
improperly brought to the jury's attention;
(B) an outside influence was improperly brought to
bear on any juror; or
(C) a mistake was made in entering the verdict on
the verdict form.
(As amended Pub. L. 94-149, Sec. 1(10), Dec. 12, 1975, 89 Stat. 805;
Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 12, 2006, eff. Dec. 1, 2006; Apr.
26, 2011, eff. Dec. 1, 2011.)
Rule 607
. Who May Impeach a Witness_______________________________________
Any party, including the party that called the witness, may attack
the witness's credibility.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 608
. A Witness's Character for Truthfulness or Untruthfulness________
(a) Reputation or Opinion Evidence. A witness's credibility may be
attacked or supported by testimony about the witness's reputation for
having a character for truthfulness or untruthfulness, or by testimony
in the form of an opinion about that character. But evidence of truthful
character is admissible only after the witness's character for
truthfulness has been attacked.
(b) Specific Instances of Conduct. Except for a criminal conviction
under Rule 609, extrinsic evidence is not admissible to prove specific
instances of a witness's conduct in order to attack or support the
witness's character for truthfulness. But the court may, on cross-
examination, allow them to be inquired into if they are probative of the
character for truthfulness or untruthfulness of:
(1) the witness; or
(2) another witness whose character the witness being cross-
examined has testified about.
By testifying on another matter, a witness does not waive any
privilege against self-incrimination for testimony that relates only to
the witness's character for truthfulness.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1,
1988; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 609
. Impeachment by Evidence of a Criminal Conviction________________
(a) In General. The following rules apply to attacking a witness's
character for truthfulness by evidence of a criminal conviction:
(1) for a crime that, in the convicting jurisdiction, was
punishable by death or by imprisonment for more than one year,
the evidence:
(A) must be admitted, subject to Rule 403, in a
civil case or in a criminal case in which the witness is
not a defendant; and
(B) must be admitted in a criminal case in which the
witness is a defendant, if the probative value of the
evidence outweighs its prejudicial effect to that
defendant; and
(2) for any crime regardless of the punishment, the evidence
must be admitted if the court can readily determine that
establishing the elements of the crime required proving--or the
witness's admitting--a dishonest act or false statement.
(b) Limit on Using the Evidence After 10 Years. This subdivision (b)
applies if more than 10 years have passed since the witness's conviction
or release from confinement for it, whichever is later. Evidence of the
conviction is admissible only if:
(1) its probative value, supported by specific facts and
circumstances, substantially outweighs its prejudicial effect;
and
(2) the proponent gives an adverse party reasonable written
notice of the intent to use it so that the party has a fair
opportunity to contest its use.
(c) Effect of a Pardon, Annulment, or Certificate of Rehabilitation.
Evidence of a conviction is not admissible if:
(1) the conviction has been the subject of a pardon,
annulment, certificate of rehabilitation, or other equivalent
procedure based on a finding that the person has been
rehabilitated, and the person has not been convicted of a later
crime punishable by death or by imprisonment for more than one
year; or
(2) the conviction has been the subject of a pardon,
annulment, or other equivalent procedure based on a finding of
innocence.
(d) Juvenile Adjudications. Evidence of a juvenile adjudication is
admissible under this rule only if:
(1) it is offered in a criminal case;
(2) the adjudication was of a witness other than the
defendant;
(3) an adult's conviction for that offense would be
admissible to attack the adult's credibility; and
(4) admitting the evidence is necessary to fairly determine
guilt or innocence.
(e) Pendency of an Appeal. A conviction that satisfies this rule is
admissible even if an appeal is pending. Evidence of the pendency is
also admissible.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Jan. 26, 1990, eff. Dec. 1,
1990; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 610
. Religious Beliefs or Opinions___________________________________
Evidence of a witness's religious beliefs or opinions is not
admissible to attack or support the witness's credibility.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 611
. Mode and Order of Examining Witnesses and Presenting Evidence___
(a) Control by the Court; Purposes. The court should exercise
reasonable control over the mode and order of examining witnesses and
presenting evidence so as to:
(1) make those procedures effective for determining the
truth;
(2) avoid wasting time; and
(3) protect witnesses from harassment or undue
embarrassment.
(b) Scope of Cross-Examination. Cross-examination should not go
beyond the subject matter of the direct examination and matters
affecting the witness's credibility. The court may allow inquiry into
additional matters as if on direct examination.
(c) Leading Questions. Leading questions should not be used on
direct examination except as necessary to develop the witness's
testimony. Ordinarily, the court should allow leading questions:
(1) on cross-examination; and
(2) when a party calls a hostile witness, an adverse party,
or a witness identified with an adverse party.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 612
. Writing Used to Refresh a Witness's Memory______________________
(a) Scope. This rule gives an adverse party certain options when a
witness uses a writing to refresh memory:
(1) while testifying; or
(2) before testifying, if the court decides that justice
requires the party to have those options.
(b) Adverse Party's Options; Deleting Unrelated Matter. Unless 18
U.S.C. Sec. 3500 provides otherwise in a criminal case, an adverse party
is entitled to have the writing produced at the hearing, to inspect it,
to cross-examine the witness about it, and to introduce in evidence any
portion that relates to the witness's testimony. If the producing party
claims that the writing includes unrelated matter, the court must
examine the writing in camera, delete any unrelated portion, and order
that the rest be delivered to the adverse party. Any portion deleted
over objection must be preserved for the record.
(c) Failure to Produce or Deliver the Writing. If a writing is not
produced or is not delivered as ordered, the court may issue any
appropriate order. But if the prosecution does not comply in a criminal
case, the court must strike the witness's testimony or--if justice so
requires--declare a mistrial.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 613
. Witness's Prior Statement_______________________________________
(a) Showing or Disclosing the Statement During Examination. When
examining a witness about the witness's prior statement, a party need
not show it or disclose its contents to the witness. But the party must,
on request, show it or disclose its contents to an adverse party's
attorney.
(b) Extrinsic Evidence of a Prior Inconsistent Statement. Extrinsic
evidence of a witness's prior inconsistent statement is admissible only
if the witness is given an opportunity to explain or deny the statement
and an adverse party is given an opportunity to examine the witness
about it, or if justice so requires. This subdivision (b) does not apply
to an opposing party's statement under Rule 801(d)(2).
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1,
1988; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 614
. Court's Calling or Examining a Witness__________________________
(a) Calling. The court may call a witness on its own or at a party's
request. Each party is entitled to cross-examine the witness.
(b) Examining. The court may examine a witness regardless of who
calls the witness.
(c) Objections. A party may object to the court's calling or
examining a witness either at that time or at the next opportunity when
the jury is not present.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 615
. Excluding Witnesses_____________________________________________
At a party's request, the court must order witnesses excluded so
that they cannot hear other witnesses' testimony. Or the court may do so
on its own. But this rule does not authorize excluding:
(a) a party who is a natural person;
(b) an officer or employee of a party that is not a natural
person, after being designated as the party's representative by
its attorney;
(c) a person whose presence a party shows to be essential to
presenting the party's claim or defense; or
(d) a person authorized by statute to be present.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1,
1988; Pub. L. 100-690, title VII, Sec. 7075(a), Nov. 18, 1988, 102 Stat.
4405; Apr. 24, 1998, eff. Dec. 1, 1998; Apr. 26, 2011, eff. Dec. 1,
2011.)
ARTICLE VII. OPINIONS AND EXPERT TESTIMONY
Rule 701
. Opinion Testimony by Lay Witnesses______________________________
If a witness is not testifying as an expert, testimony in the form
of an opinion is limited to one that is:
(a) rationally based on the witness's perception;
(b) helpful to clearly understanding the witness's testimony
or to determining a fact in issue; and
(c) not based on scientific, technical, or other specialized
knowledge within the scope of Rule 702.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 17, 2000, eff. Dec. 1,
2000; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 702
. Testimony by Expert Witnesses___________________________________
A witness who is qualified as an expert by knowledge, skill,
experience, training, or education may testify in the form of an opinion
or otherwise if:
(a) the expert's scientific, technical, or other specialized
knowledge will help the trier of fact to understand the evidence
or to determine a fact in issue;
(b) the testimony is based on sufficient facts or data;
(c) the testimony is the product of reliable principles and
methods; and
(d) the expert has reliably applied the principles and
methods to the facts of the case.
(As amended Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 26, 2011, eff. Dec.
1, 2011.)
Rule 703
. Bases of an Expert's Opinion Testimony__________________________
An expert may base an opinion on facts or data in the case that the
expert has been made aware of or personally observed. If experts in the
particular field would reasonably rely on those kinds of facts or data
in forming an opinion on the subject, they need not be admissible for
the opinion to be admitted. But if the facts or data would otherwise be
inadmissible, the proponent of the opinion may disclose them to the jury
only if their probative value in helping the jury evaluate the opinion
substantially outweighs their prejudicial effect.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 17, 2000, eff. Dec. 1,
2000; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 704
. Opinion on an Ultimate Issue____________________________________
(a) In General--Not Automatically Objectionable. An opinion is not
objectionable just because it embraces an ultimate issue.
(b) Exception. In a criminal case, an expert witness must not state
an opinion about whether the defendant did or did not have a mental
state or condition that constitutes an element of the crime charged or
of a defense. Those matters are for the trier of fact alone.
(As amended Pub. L. 98-473, title II, Sec. 406, Oct. 12, 1984, 98 Stat.
2067; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 705
. Disclosing the Facts or Data Underlying an Expert's Opinion_____
Unless the court orders otherwise, an expert may state an opinion--
and give the reasons for it--without first testifying to the underlying
facts or data. But the expert may be required to disclose those facts or
data on cross-examination.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 22, 1993, eff. Dec. 1,
1993; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 706
. Court-Appointed Expert Witnesses________________________________
(a) Appointment Process. On a party's motion or on its own, the
court may order the parties to show cause why expert witnesses should
not be appointed and may ask the parties to submit nominations. The
court may appoint any expert that the parties agree on and any of its
own choosing. But the court may only appoint someone who consents to
act.
(b) Expert's Role. The court must inform the expert of the expert's
duties. The court may do so in writing and have a copy filed with the
clerk or may do so orally at a conference in which the parties have an
opportunity to participate. The expert:
(1) must advise the parties of any findings the expert
makes;
(2) may be deposed by any party;
(3) may be called to testify by the court or any party; and
(4) may be cross-examined by any party, including the party
that called the expert.
(c) Compensation. The expert is entitled to a reasonable
compensation, as set by the court. The compensation is payable as
follows:
(1) in a criminal case or in a civil case involving just
compensation under the Fifth Amendment, from any funds that are
provided by law; and
(2) in any other civil case, by the parties in the
proportion and at the time that the court directs--and the
compensation is then charged like other costs.
(d) Disclosing the Appointment to the Jury. The court may authorize
disclosure to the jury that the court appointed the expert.
(e) Parties' Choice of Their Own Experts. This rule does not limit a
party in calling its own experts.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
ARTICLE VIII. HEARSAY
Rule 801
. Definitions That Apply to This Article; Exclusions from Hearsay_
(a) Statement. ``Statement'' means a person's oral assertion,
written assertion, or nonverbal conduct, if the person intended it as an
assertion.
(b) Declarant. ``Declarant'' means the person who made the
statement.
(c) Hearsay. ``Hearsay'' means a statement that:
(1) the declarant does not make while testifying at the
current trial or hearing; and
(2) a party offers in evidence to prove the truth of the
matter asserted in the statement.
(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:
(A) is inconsistent with the declarant's testimony
and was given under penalty of perjury at a trial,
hearing, or other proceeding or in a deposition;
(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
(C) identifies a person as someone the declarant
perceived earlier.
(2) An Opposing Party's Statement. The statement is offered
against an opposing party and:
(A) was made by the party in an individual or
representative capacity;
(B) is one the party manifested that it adopted or
believed to be true;
(C) was made by a person whom the party authorized
to make a statement on the subject;
(D) was made by the party's agent or employee on a
matter within the scope of that relationship and while
it existed; or
(E) was made by the party's coconspirator during and
in furtherance of the conspiracy.
The statement must be considered but does not by itself
establish the declarant's authority under (C); the existence or
scope of the relationship under (D); or the existence of the
conspiracy or participation in it under (E).
(As amended Pub. L. 94-113, Sec. 1, Oct. 16, 1975, 89 Stat. 576, eff.
Oct. 31, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 11, 1997, eff. Dec.
1, 1997; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 25, 2014, eff. Dec. 1,
2014.)
Rule 802
. The Rule Against Hearsay________________________________________
Hearsay is not admissible unless any of the following provides
otherwise:
a federal statute;
these rules; or
other rules prescribed by the Supreme Court.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
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:
(1) Present Sense Impression. A statement describing or
explaining an event or condition, made while or immediately
after the declarant perceived it.
(2) Excited Utterance. A statement relating to a startling
event or condition, made while the declarant was under the
stress of excitement that it caused.
(3) Then-Existing Mental, Emotional, or Physical Condition.
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.
(4) Statement Made for Medical Diagnosis or Treatment. A
statement that:
(A) is made for--and is reasonably pertinent to--
medical diagnosis or treatment; and
(B) describes medical history; past or present
symptoms or sensations; their inception; or their
general cause.
(5) Recorded Recollection. A record that:
(A) is on a matter the witness once knew about but
now cannot recall well enough to testify fully and
accurately;
(B) was made or adopted by the witness when the
matter was fresh in the witness's memory; and
(C) 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.
(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) the opponent does not show that the source of
information or the method or circumstances of
preparation indicate a lack of trustworthiness.
(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) the opponent does not show that the possible
source of the information or other circumstances
indicate a lack of trustworthiness.
(8) Public Records. A record or statement of a public office
if:
(A) it sets out:
(i) the office's activities;
(ii) 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
(iii) in a civil case or against the
government in a criminal case, factual findings
from a legally authorized investigation; and
(B) the opponent does not show that the source of
information or other circumstances indicate a lack of
trustworthiness.
(9) Public Records of Vital Statistics. A record of a birth,
death, or marriage, if reported to a public office in accordance
with a legal duty.
(10) Absence of a Public Record. Testimony--or a
certification under Rule 902--that a diligent search failed to
disclose a public record or statement if:
(A) the testimony or certification is admitted to
prove that
(i) the record or statement does not exist;
or
(ii) a matter did not occur or exist, if a
public office regularly kept a record or
statement for a matter of that kind; and
(B) 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.
(11) Records of Religious Organizations Concerning Personal
or Family History. A statement of birth, legitimacy, ancestry,
marriage, divorce, death, relationship by blood or marriage, or
similar facts of personal or family history, contained in a
regularly kept record of a religious organization.
(12) Certificates of Marriage, Baptism, and Similar
Ceremonies. A statement of fact contained in a certificate:
(A) made by a person who is authorized by a
religious organization or by law to perform the act
certified;
(B) attesting that the person performed a marriage
or similar ceremony or administered a sacrament; and
(C) purporting to have been issued at the time of
the act or within a reasonable time after it.
(13) Family Records. A statement of fact about personal or
family history contained in a family record, such as a Bible,
genealogy, chart, engraving on a ring, inscription on a
portrait, or engraving on an urn or burial marker.
(14) Records of Documents That Affect an Interest in
Property. The record of a document that purports to establish or
affect an interest in property if:
(A) 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;
(B) the record is kept in a public office; and
(C) a statute authorizes recording documents of that
kind in that office.
(15) Statements in Documents That Affect an Interest in
Property. A statement contained in a document that purports to
establish or affect an interest in property if the matter stated
was relevant to the document's purpose--unless later dealings
with the property are inconsistent with the truth of the
statement or the purport of the document.
(16) Statements in Ancient Documents. A statement in a
document that is at least 20 years old and whose authenticity is
established.
(17) Market Reports and Similar Commercial Publications.
Market quotations, lists, directories, or other compilations
that are generally relied on by the public or by persons in
particular occupations.
(18) Statements in Learned Treatises, Periodicals, or
Pamphlets. A statement contained in a treatise, periodical, or
pamphlet if:
(A) the statement is called to the attention of an
expert witness on cross-examination or relied on by the
expert on direct examination; and
(B) 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.
(19) Reputation Concerning Personal or Family History. 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.
(20) Reputation Concerning Boundaries or General History. 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.
(21) Reputation Concerning Character. A reputation among a
person's associates or in the community concerning the person's
character.
(22) Judgment of a Previous Conviction. Evidence of a final
judgment of conviction if:
(A) the judgment was entered after a trial or guilty
plea, but not a nolo contendere plea;
(B) the conviction was for a crime punishable by
death or by imprisonment for more than a year;
(C) the evidence is admitted to prove any fact
essential to the judgment; and
(D) 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.
(23) Judgments Involving Personal, Family, or General
History, or a Boundary. A judgment that is admitted to prove a
matter of personal, family, or general history, or boundaries,
if the matter:
(A) was essential to the judgment; and
(B) could be proved by evidence of reputation.
(24) [Other Exceptions.] [Transferred to Rule 807.]
(As amended Pub. L. 94-149, Sec. 1(11), Dec. 12, 1975, 89 Stat. 805;
Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 11, 1997, eff. Dec. 1, 1997; Apr.
17, 2000, eff. Dec. 1, 2000; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 13,
2013, eff. Dec. 1, 2013; Apr. 25, 2014, eff. Dec. 1, 2014.)
Rule 804
. Exceptions to the Rule Against Hearsay--When the Declarant Is
Unavailable as a Witness________________________________________________
(a) Criteria for Being Unavailable. A declarant is considered to be
unavailable as a witness if the declarant:
(1) is exempted from testifying about the subject matter of
the declarant's statement because the court rules that a
privilege applies;
(2) refuses to testify about the subject matter despite a
court order to do so;
(3) testifies to not remembering the subject matter;
(4) cannot be present or testify at the trial or hearing
because of death or a then-existing infirmity, physical illness,
or mental illness; or
(5) is absent from the trial or hearing and the statement's
proponent has not been able, by process or other reasonable
means, to procure:
(A) the declarant's attendance, in the case of a
hearsay exception under Rule 804(b)(1) or (6); or
(B) the declarant's attendance or testimony, in the
case of a hearsay exception under Rule 804(b)(2), (3),
or (4).
But this subdivision (a) does not apply if the statement's
proponent procured or wrongfully caused the declarant's
unavailability as a witness in order to prevent the declarant
from attending or testifying.
(b) The Exceptions. The following are not excluded by the rule
against hearsay if the declarant is unavailable as a witness:
(1) Former Testimony. Testimony that:
(A) was given as a witness at a trial, hearing, or
lawful deposition, whether given during the current
proceeding or a different one; and
(B) is now offered against a party who had--or, in a
civil case, whose predecessor in interest had--an
opportunity and similar motive to develop it by direct,
cross-, or redirect examination.
(2) Statement Under the Belief of Imminent Death. In a
prosecution for homicide or in a civil case, a statement that
the declarant, while believing the declarant's death to be
imminent, made about its cause or circumstances.
(3) Statement Against Interest. A statement that:
(A) a reasonable person in the declarant's position
would have made only if the person believed it to be
true because, when made, it was so contrary to the
declarant's proprietary or pecuniary interest or had so
great a tendency to invalidate the declarant's claim
against someone else or to expose the declarant to civil
or criminal liability; and
(B) is supported by corroborating circumstances that
clearly indicate its trustworthiness, if it is offered
in a criminal case as one that tends to expose the
declarant to criminal liability.
(4) Statement of Personal or Family History. A statement
about:
(A) the declarant's own birth, adoption, legitimacy,
ancestry, marriage, divorce, relationship by blood,
adoption, or marriage, or similar facts of personal or
family history, even though the declarant had no way of
acquiring personal knowledge about that fact; or
(B) another person concerning any of these facts, as
well as death, if the declarant was related to the
person by blood, adoption, or marriage or was so
intimately associated with the person's family that the
declarant's information is likely to be accurate.
(5) [Other Exceptions.] [Transferred to Rule 807.]
(6) Statement Offered Against a Party That Wrongfully Caused
the Declarant's Unavailability. A statement offered against a
party that wrongfully caused--or acquiesced in wrongfully
causing--the declarant's unavailability as a witness, and did so
intending that result.
(As amended Dec. 12, 1975; Mar. 2, 1987, eff. Oct. 1, 1987; Nov. 18,
1988; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 28, 2010, eff. Dec. 1,
2010; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 805
. Hearsay Within Hearsay__________________________________________
Hearsay within hearsay is not excluded by the rule against hearsay
if each part of the combined statements conforms with an exception to
the rule.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 806
. Attacking and Supporting the Declarant's Credibility____________
When a hearsay statement--or a statement described in Rule
801(d)(2)(C), (D), or (E)--has been admitted in evidence, the
declarant's credibility may be attacked, and then supported, by any
evidence that would be admissible for those purposes if the declarant
had testified as a witness. The court may admit evidence of the
declarant's inconsistent statement or conduct, regardless of when it
occurred or whether the declarant had an opportunity to explain or deny
it. If the party against whom the statement was admitted calls the
declarant as a witness, the party may examine the declarant on the
statement as if on cross-examination.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 11, 1997, eff. Dec. 1,
1997; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 807
. Residual Exception______________________________________________
(a) In General. Under the following circumstances, a hearsay
statement is not excluded by the rule against hearsay even if the
statement is not specifically covered by a hearsay exception in Rule 803
or 804:
(1) the statement has equivalent circumstantial guarantees
of trustworthiness;
(2) it is offered as evidence of a material fact;
(3) it is more probative on the point for which it is
offered than any other evidence that the proponent can obtain
through reasonable efforts; and
(4) admitting it will best serve the purposes of these rules
and the interests of justice.
(b) Notice. The statement is admissible only if, before the trial or
hearing, the proponent gives an adverse party reasonable notice of the
intent to offer the statement and its particulars, including the
declarant's name and address, so that the party has a fair opportunity
to meet it.
(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 26, 2011, eff.
Dec. 1, 2011.)
ARTICLE IX. AUTHENTICATION AND IDENTIFICATION
Rule 901
. Authenticating or Identifying Evidence__________________________
(a) In General. To satisfy the requirement of authenticating or
identifying an item of evidence, the proponent must produce evidence
sufficient to support a finding that the item is what the proponent
claims it is.
(b) Examples. The following are examples only--not a complete list--
of evidence that satisfies the requirement:
(1) Testimony of a Witness with Knowledge. Testimony that an
item is what it is claimed to be.
(2) Nonexpert Opinion About Handwriting. A nonexpert's
opinion that handwriting is genuine, based on a familiarity with
it that was not acquired for the current litigation.
(3) Comparison by an Expert Witness or the Trier of Fact. A
comparison with an authenticated specimen by an expert witness
or the trier of fact.
(4) Distinctive Characteristics and the Like. The
appearance, contents, substance, internal patterns, or other
distinctive characteristics of the item, taken together with all
the circumstances.
(5) Opinion About a Voice. An opinion identifying a person's
voice--whether heard firsthand or through mechanical or
electronic transmission or recording--based on hearing the voice
at any time under circumstances that connect it with the alleged
speaker.
(6) Evidence About a Telephone Conversation. For a telephone
conversation, evidence that a call was made to the number
assigned at the time to:
(A) a particular person, if circumstances, including
self-identification, show that the person answering was
the one called; or
(B) a particular business, if the call was made to a
business and the call related to business reasonably
transacted over the telephone.
(7) Evidence About Public Records. Evidence that:
(A) a document was recorded or filed in a public
office as authorized by law; or
(B) a purported public record or statement is from
the office where items of this kind are kept.
(8) Evidence About Ancient Documents or Data Compilations.
For a document or data compilation, evidence that it:
(A) is in a condition that creates no suspicion
about its authenticity;
(B) was in a place where, if authentic, it would
likely be; and
(C) is at least 20 years old when offered.
(9) Evidence About a Process or System. Evidence describing
a process or system and showing that it produces an accurate
result.
(10) Methods Provided by a Statute or Rule. Any method of
authentication or identification allowed by a federal statute or
a rule prescribed by the Supreme Court.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 902
. Evidence That Is Self-Authenticating____________________________
The following items of evidence are self-authenticating; they
require no extrinsic evidence of authenticity in order to be admitted:
(1) Domestic Public Documents That Are Sealed and Signed. A
document that bears:
(A) a seal purporting to be that of the United
States; any state, district, commonwealth, territory, or
insular possession of the United States; the former
Panama Canal Zone; the Trust Territory of the Pacific
Islands; a political subdivision of any of these
entities; or a department, agency, or officer of any
entity named above; and
(B) a signature purporting to be an execution or
attestation.
(2) Domestic Public Documents That Are Not Sealed but Are
Signed and Certified. A document that bears no seal if:
(A) it bears the signature of an officer or employee
of an entity named in Rule 902(1)(A); and
(B) another public officer who has a seal and
official duties within that same entity certifies under
seal--or its equivalent--that the signer has the
official capacity and that the signature is genuine.
(3) Foreign Public Documents. A document that purports to be
signed or attested by a person who is authorized by a foreign
country's law to do so. The document must be accompanied by a
final certification that certifies the genuineness of the
signature and official position of the signer or attester--or of
any foreign official whose certificate of genuineness relates to
the signature or attestation or is in a chain of certificates of
genuineness relating to the signature or attestation. The
certification may be made by a secretary of a United States
embassy or legation; by a consul general, vice consul, or
consular agent of the United States; or by a diplomatic or
consular official of the foreign country assigned or accredited
to the United States. If all parties have been given a
reasonable opportunity to investigate the document's
authenticity and accuracy, the court may, for good cause,
either:
(A) order that it be treated as presumptively
authentic without final certification; or
(B) allow it to be evidenced by an attested summary
with or without final certification.
(4) Certified Copies of Public Records. A copy of an
official record--or a copy of a document that was recorded or
filed in a public office as authorized by law--if the copy is
certified as correct by:
(A) the custodian or another person authorized to
make the certification; or
(B) a certificate that complies with Rule 902(1),
(2), or (3), a federal statute, or a rule prescribed by
the Supreme Court.
(5) Official Publications. A book, pamphlet, or other
publication purporting to be issued by a public authority.
(6) Newspapers and Periodicals. Printed material purporting
to be a newspaper or periodical.
(7) Trade Inscriptions and the Like. An inscription, sign,
tag, or label purporting to have been affixed in the course of
business and indicating origin, ownership, or control.
(8) Acknowledged Documents. A document accompanied by a
certificate of acknowledgment that is lawfully executed by a
notary public or another officer who is authorized to take
acknowledgments.
(9) Commercial Paper and Related Documents. Commercial
paper, a signature on it, and related documents, to the extent
allowed by general commercial law.
(10) Presumptions Under a Federal Statute. A signature,
document, or anything else that a federal statute declares to be
presumptively or prima facie genuine or authentic.
(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.
(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).
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 25, 1988, eff. Nov. 1,
1988; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 903
. Subscribing Witness's Testimony_________________________________
A subscribing witness's testimony is necessary to authenticate a
writing only if required by the law of the jurisdiction that governs its
validity.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
ARTICLE X. CONTENTS OF WRITINGS, RECORDINGS, AND PHOTOGRAPHS
Rule 1001
. Definitions That Apply to This Article__________________________
In this article:
(a) A ``writing'' consists of letters, words, numbers, or
their equivalent set down in any form.
(b) A ``recording'' consists of letters, words, numbers, or
their equivalent recorded in any manner.
(c) A ``photograph'' means a photographic image or its
equivalent stored in any form.
(d) An ``original'' of a writing or recording means the
writing or recording itself or any counterpart intended to have
the same effect by the person who executed or issued it. For
electronically stored information, ``original'' means any
printout--or other output readable by sight--if it accurately
reflects the information. An ``original'' of a photograph
includes the negative or a print from it.
(e) A ``duplicate'' means a counterpart produced by a
mechanical, photographic, chemical, electronic, or other
equivalent process or technique that accurately reproduces the
original.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 1002
. Requirement of the Original_____________________________________
An original writing, recording, or photograph is required in order
to prove its content unless these rules or a federal statute provides
otherwise.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 1003
. Admissibility of Duplicates_____________________________________
A duplicate is admissible to the same extent as the original unless
a genuine question is raised about the original's authenticity or the
circumstances make it unfair to admit the duplicate.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 1004
. Admissibility of Other Evidence of Content______________________
An original is not required and other evidence of the content of a
writing, recording, or photograph is admissible if:
(a) all the originals are lost or destroyed, and not by the
proponent acting in bad faith;
(b) an original cannot be obtained by any available judicial
process;
(c) the party against whom the original would be offered had
control of the original; was at that time put on notice, by
pleadings or otherwise, that the original would be a subject of
proof at the trial or hearing; and fails to produce it at the
trial or hearing; or
(d) the writing, recording, or photograph is not closely
related to a controlling issue.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 1005
. Copies of Public Records to Prove Content_______________________
The proponent may use a copy to prove the content of an official
record--or of a document that was recorded or filed in a public office
as authorized by law--if these conditions are met: the record or
document is otherwise admissible; and the copy is certified as correct
in accordance with Rule 902(4) or is testified to be correct by a
witness who has compared it with the original. If no such copy can be
obtained by reasonable diligence, then the proponent may use other
evidence to prove the content.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 1006
. Summaries to Prove Content______________________________________
The proponent may use a summary, chart, or calculation to prove the
content of voluminous writings, recordings, or photographs that cannot
be conveniently examined in court. The proponent must make the originals
or duplicates available for examination or copying, or both, by other
parties at a reasonable time and place. And the court may order the
proponent to produce them in court.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 1007
. Testimony or Statement of a Party to Prove Content______________
The proponent may prove the content of a writing, recording, or
photograph by the testimony, deposition, or written statement of the
party against whom the evidence is offered. The proponent need not
account for the original.
(As amended Mar. 2, 1987, eff. Oct. 1, 1987; Apr. 26, 2011, eff. Dec. 1,
2011.)
Rule 1008
. Functions of the Court and Jury_________________________________
Ordinarily, the court determines whether the proponent has fulfilled
the factual conditions for admitting other evidence of the content of a
writing, recording, or photograph under Rule 1004 or 1005. But in a jury
trial, the jury determines--in accordance with Rule 104(b)--any issue
about whether:
(a) an asserted writing, recording, or photograph ever
existed;
(b) another one produced at the trial or hearing is the
original; or
(c) other evidence of content accurately reflects the
content.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
ARTICLE XI. MISCELLANEOUS RULES
Rule 1101
. Applicability of the Rules______________________________________
(a) To Courts and Judges. These rules apply to proceedings before:
United States district courts;
United States bankruptcy and magistrate judges;
United States courts of appeals;
the United States Court of Federal Claims; and
the district courts of Guam, the Virgin Islands,
and the Northern Mariana Islands.
(b) To Cases and Proceedings. These rules apply in:
civil cases and proceedings, including bankruptcy,
admiralty, and maritime cases;
criminal cases and proceedings; and
contempt proceedings, except those in which the
court may act summarily.
(c) Rules on Privilege. The rules on privilege apply to all stages
of a case or proceeding.
(d) Exceptions. These rules--except for those on privilege--do not
apply to the following:
(1) the court's determination, under Rule 104(a), on a
preliminary question of fact governing admissibility;
(2) grand-jury proceedings; and
(3) miscellaneous proceedings such as:
extradition or rendition;
issuing an arrest warrant, criminal summons, or
search warrant;
a preliminary examination in a criminal
case;
sentencing;
granting or revoking probation or
supervised release; and
considering whether to release on bail or
otherwise.
(e) Other Statutes and Rules. A federal statute or a rule prescribed
by the Supreme Court may provide for admitting or excluding evidence
independently from these rules.
(As amended Pub. L. 94-149, Sec. 1(14), Dec. 12, 1975, 89 Stat. 806;
Pub. L. 95-598, title II, Sec. Sec. 251, 252, Nov. 6, 1978, 92 Stat.
2673, eff. Oct. 1, 1979; Pub. L. 97-164, title I, Sec. 142, Apr. 2,
1982, 96 Stat. 45, eff. Oct. 1, 1982; Mar. 2, 1987, eff. Oct. 1, 1987;
Apr. 25, 1988, eff. Nov. 1, 1988; Pub. L. 100-690, title VII,
Sec. 7075(c), Nov. 18, 1988, 102 Stat. 4405; Apr. 22, 1993, eff. Dec. 1,
1993; Apr. 26, 2011, eff. Dec. 1, 2011.)
Rule 1102
. Amendments______________________________________________________
These rules may be amended as provided in 28 U.S.C. Sec. 2072.
(As amended Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 26, 2011, eff. Dec.
1, 2011.)
Rule 1103
. Title___________________________________________________________
These rules may be cited as the Federal Rules of Evidence.
(As amended Apr. 26, 2011, eff. Dec. 1, 2011.)
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