Legal StandardsUS Federal Rules of Evidence

Daubert

Access & Search Warrants

Goals of the US Rules of Evidence:

Allow the courts to make rulings that are respected.

• Assure that the evidence that’s used is fair.

Federal Rules of Evidence:

Article I. General Provisions

Article II. Judicial Notice

Article III. Presumptions In Civil Actions And Proceedings

Article IV. Relevancy And Its Limits

Article V. Privileges

Article VI. Witnesses

Article VII. Opinions and Expert Testimony

Article VIII. Hearsay

Article IX. Authentication and Identification

Article X. Contents of Writings, Records and Photographs

Article XI. Miscellaneous Rules

Article I: General Provisions

Rule 101. Scope

These rules govern proceedings in the courts of the United States and before United States bankruptcy judges and United States magistrate judges, to the extent and with the exceptions stated in rule 1101.

Notes

Rule 102. Purpose and Construction

These rules shall be construed to secure fairness in administration, elimination of unjustifiable expense and delay, and promotion of growth and development of the law of evidence to the end that the truth may be ascertained and proceedings justly determined.

Notes

Article I: General Provisions

Rule 103. Rulings on Evidence

(a) Effect of erroneous ruling.

Error may not be predicated upon a ruling which admits or excludes evidence unless a substantial right of the party is affected, and

(1) Objection. - In case the ruling is one admitting evidence, a timely objection or motion to strike appears of record, stating the specific ground of objection, if the specific ground was not apparent from the context; or

(2) Offer of proof. - In case the ruling is one excluding evidence, the substance of the evidence was made known to the court by offer or was apparent from the context within which questions were asked.

Once the court makes a definitive ruling on the record admitting or excluding evidence, either at or before trial, a party need not renew an objection or offer of proof to preserve a claim of error for appeal.

…

(c) Hearing of jury

In jury cases, proceedings shall be conducted, to the extent practicable, so as to prevent inadmissible evidence from being suggested to the jury by any means, such as making statements or offers of proof or asking questions in the hearing of the jury.

The goal of the rules is to protect the jury

Article I

Rule 106. Remainder of or Related Writings or Recorded Statements

When a writing or recorded statement or part thereof is

introduced by a party, an adverse party may require the

introduction at that time of any other part or any other

writing or recorded statement which ought in fairness to

be considered contemporaneously with it.

We’re going to skip articles II & III

ARTICLE II. JUDICIAL NOTICE

Rule 201. Judicial Notice of Adjudicative Facts

ARTICLE III. PRESUMPTIONS IN CIVIL ACTIONS AND PROCEEDINGS

Rule 301. Presumptions in General Civil Actions and Proceedings

Rule 302. Applicability of State Law in Civil Actions and Proceedings

Article IV: Relevancy and its Limits

Rule 401. Definition of "Relevant Evidence"

Rule 402. Relevant Evidence Generally Admissible; Irrelevant Evidence Inadmissible

Rule 403. Exclusion of Relevant Evidence on Grounds of Prejudice, Confusion, or Waste of Time

Rule 404. Character Evidence Not Admissible To Prove Conduct; Exceptions; Other Crimes

Rule 405. Methods of Proving Character

Rule 406. Habit; Routine Practice

Rule 407. Subsequent Remedial Measures

Rule 408. Compromise and Offers to Compromise

Rule 409. Payment of Medical and Similar Expenses

Rule 410. Inadmissibility of Pleas, Plea Discussions, and Related Statements

Rule 411. Liability Insurance

Rule 412. Sex Offense Cases; Relevance of Alleged Victim's Past Sexual Behavior or Alleged

Sexual Predisposition

Rule 413. Evidence of Similar Crimes in Sexual Assault Cases

Rule 414. Evidence of Similar Crimes in Child Molestation Cases

Rule 415. Evidence of Similar Acts in Civil Cases Concerning Sexual Assault or Child Molestation

Specific points from Article IV

Rule 406. Habit; Routine Practice

Evidence of the habit of a person or of the routine practice of an organization, whether corroborated or not and regardless of the presence of eyewitnesses, is relevant to prove that the conduct of the person or organization on a particular occasion was in conformity with the habit or routine practice.

Notes

Rule 407. Subsequent Remedial Measures

When, after an injury or harm allegedly caused by an event, measures are taken that, if taken previously, would have made the 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, a defect in a product's design, or a need for a warning or instruction. This rule does not require the exclusion of evidence of subsequent measures when offered for another purpose, such as proving ownership, control, or feasibility of precautionary measures, if controverted, or impeachment.

Notes

Article V: Privileges

Rule 501. General Rule

Except as otherwise required by the Constitution of the United States

or provided by Act of Congress or in rules prescribed by the Supreme

Court pursuant to statutory authority, the privilege of a witness,

person, government, State, or political subdivision thereof shall be

governed by the principles of the common law as they may be

interpreted by the courts of the United States in the light of reason

and experience. However, in civil actions and proceedings, with

respect to an element of a claim or defense as to which State law

supplies the rule of decision, the privilege of a witness, person,

government, State, or political subdivision thereof shall be determined

in accordance with State law.

Notes

Article IV: Witnesses

Rule 601. General Rule of Competency

Rule 602. Lack of Personal Knowledge

Rule 603. Oath or Affirmation

Rule 604. Interpreters

Rule 605. Competency of Judge as Witness

Rule 606. Competency of Juror as Witness

(a) At the trial.

(b) Inquiry into validity of verdict or indictment.

Rule 607. Who May Impeach

Rule 608. Evidence of Character and Conduct of Witness

Rule 609. Impeachment by Evidence of Conviction of Crime

Rule 610. Religious Beliefs or Opinions

Rule 611. Mode and Order of Interrogation and Presentation

Rule 612. Writing Used to Refresh Memory

Rule 613. Prior Statements of Witnesses

Rule 614. Calling and Interrogation of Witnesses by Court

Rule 615. Exclusion of Witnesses

US Federal Rules of Evidence

Article VII regulates the testimony of “experts”

Rule 702. Testimony by Experts

Rule 703. Bases of Opinion Testimony by Experts

Rule 704. Opinion on Ultimate Issue

Rule 705. Disclosure of Facts or Data Underlying Expert Opinion

Rule 706. Court Appointed Experts

These rules apply in the Federal Court; many states follow the rules as well

• http://www.law.cornell.edu/rules/fre/

Rule 702. Testimony by Experts

“If scientific, technical, or other specialized knowledge will assist the trier of fact

to understand the evidence or to determine a fact in issue, a witness qualified

as an expert by knowledge, skill, experience, training, or education, may testify

thereto in the form of an opinion or otherwise, if

(1) the testimony is based upon sufficient facts or data,

(2) the testimony is the product of reliable principles and methods, and

(3) the witness has applied the principles and methods reliably to the facts

of the case.”

Note: specify your expert domain explicitly.

If it’s too general, your expert status may be challenged.

Rule 703. Bases of Opinion Testimony by Experts

“The facts or data in the particular case upon which an expert bases an opinion

or inference may be those perceived by or made known to the expert at or

before the hearing.

If of a type reasonably relied upon by experts in the particular field in forming

opinions or inferences upon the subject, the facts or data need not be

admissible in evidence in order for the opinion or inference to be admitted.

Facts or data that are otherwise inadmissible shall not be disclosed to the jury

by the proponent of the opinion or inference unless the court determines that

their probative value in assisting the jury to evaluate the expert's opinion

substantially outweighs their!prejudicial effect.”

This means that experts can rely on hearsay data, provided that it is

supported by technical information.

Rule 704. Opinion on Ultimate Issue

“(a) Except as provided in subdivision (b), testimony in the form of an opinion or

inference otherwise admissible is not objectionable because it embraces an

ultimate issue to be decided by the trier of fact.

“(b) No expert witness testifying with respect to the mental state or condition of

a defendant in a criminal case may state an opinion or inference as to whether

the defendant did or did not have the mental state or condition constituting an

element of the crime charged or of a defense thereto. Such ultimate issues are

matters for the trier of fact alone.”

Article VIII: Hearsay

Rule 801. Definitions

The following definitions apply under this article:

(a) Statement.

A "statement" is (1) an oral or written assertion or (2) nonverbal

conduct of a person, if it is intended by the person as an assertion.

(b) Declarant.

A "declarant" is a person who makes a statement.

(c) Hearsay.

"Hearsay" is a statement, other than one made by the declarant while

testifying at the trial or hearing, offered in evidence to prove the truth

of the matter asserted.

(d) Statements which are not hearsay.

Rule 802. Hearsay Rule

Hearsay is not admissible except as provided by these rules or by other rules prescribed by the Supreme Court pursuant to statutory authority or by Act of Congress.

Notes

Rule 803. Hearsay Exceptions; Availability of Declarant Immaterial

The following are not excluded by the hearsay rule, even though the declarant is available as a witness:

(1) Present sense impression. A statement describing or explaining an event or condition made while the declarant was perceiving the event or condition, or immediately thereafter.

(2) Excited utterance. A statement relating to a startling event or condition made while the declarant was under the stress of excitement caused by the event or condition.

(3) Then existing mental, emotional, or physical condition. A statement of the declarant's then existing state of mind, emotion, sensation, or physical condition (such as intent, plan, motive, design, mental feeling, pain, and bodily health), but not including a statement of memory or belief to prove the fact remembered or believed unless it relates to the execution, revocation, identification, or terms of declarant's will.

(4) Statements for purposes of medical diagnosis or treatment. Statements made for purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment.

(5) Recorded recollection. A memorandum or record concerning a matter about which a witness once had knowledge but now has insufficient recollection to enable the witness to testify fully and accurately, shown to have been made or adopted by the witness when the matter was fresh in the witness' memory and to reflect that knowledge correctly. If admitted, the memorandum or record may be read into evidence but may not itself be received as an exhibit unless offered by an adverse party.

(6) Records of regularly conducted activity. A memorandum, report, record, or data compilation, in any form, of acts, events, conditions, opinions, or diagnoses, made at or near the time by, or from information transmitted by, a person with knowledge, if kept in the course of a regularly conducted business activity, and if it was the regular practice of that business activity to make the memorandum, report, record or data compilation, all as shown by the testimony of the custodian or other qualified witness, or by certification that complies with Rule 902(11), Rule 902(12), or a statute permitting certification, unless the source of information or the method or circumstances of preparation indicate lack of trustworthiness. The term "business" as used in this paragraph includes business, institution, association, profession, occupation, and calling of every kind, whether or not conducted for profit.

Rule 803 Cont...

(7) Absence of entry in records kept in accordance with the provisions of paragraph (6). Evidence that a matter is not included in the memoranda reports, records, or data compilations, in any form, kept in accordance with the provisions of paragraph (6), to prove the nonoccurrence or nonexistence of the matter, if the matter was of a kind of which a memorandum, report, record, or data compilation was regularly made and preserved, unless the sources of information or other circumstances indicate lack of trustworthiness.

(8) Public records and reports. Records, reports, statements, or data compilations, in any form, of public offices or agencies, setting forth (A) the activities of the office or agency, or (B) matters observed pursuant to duty imposed by law as to which matters there was a duty to report, excluding, however, in criminal cases matters observed by police officers and other law enforcement personnel, or (C) in civil actions and proceedings and against the Government in criminal cases, factual findings resulting from an investigation made pursuant to authority granted by law, unless the sources of information or other circumstances indicate lack of trustworthiness.

(9) Records of vital statistics. Records or data compilations, in any form, of births, fetal deaths, deaths, or marriages, if the report thereof was made to a public office pursuant to requirements of law.

(10) Absence of public record or entry. To prove the absence of a record, report, statement, or data compilation, in any form, or the nonoccurrence or nonexistence of a matter of which a record, report, statement, or data compilation, in any form, was regularly made and preserved by a public office or agency, evidence in the form of a certification in accordance with rule 902, or testimony, that diligent search failed to disclose the record, report, statement, or data compilation, or entry.

(11) Records of religious organizations. Statements of births, marriages, divorces, deaths, legitimacy, ancestry, relationship by blood or marriage, or other similar facts of personal or family history, contained in a regularly kept record of a religious organization.

(12) Marriage, baptismal, and similar certificates. Statements of fact contained in a certificate that the maker performed a marriage or other ceremony or administered a sacrament, made by a clergyman, public official, or other person authorized by the rules or practices of a religious organization or by law to perform the

More Rule 803...

(13) Family records. Statements of fact concerning personal or family history contained in family Bibles,

genealogies, charts, engravings on rings, inscriptions on family portraits, engravings on urns, crypts, or

tombstones, or the like.

(14) Records of documents affecting an interest in property. The record of a document purporting to establish or

affect an interest in property, as proof of the content of the original recorded document and its execution and delivery

by each person by whom it purports to have been executed, if the record is a record of a public office and an applicable

statute authorizes the recording of documents of that kind in that office.

(15) Statements in documents affecting an interest in property. A statement contained in a document purporting

to establish or affect an interest in property if the matter stated was relevant to the purpose of the document, unless

dealings with the property since the document was made have been inconsistent with the truth of the statement or the

purport of the document.

(16) Statements in ancient documents. Statements in a document in existence twenty years or more the

authenticity of which is established.

(17) Market reports, commercial publications. Market quotations, tabulations, lists, directories, or other published

compilations, generally used and relied upon by the public or by persons in particular occupations.

(18) Learned treatises. To the extent called to the attention of an expert witness upon cross-examination or relied

upon by the expert witness in direct examination, statements contained in published treatises, periodicals, or

pamphlets on a subject of history, medicine, or other science or art, established as a reliable authority by the testimony

or admission of the witness or by other expert testimony or by judicial notice. If admitted, the statements may be read

into evidence but may not be received as exhibits.

(19) Reputation concerning personal or family history. Reputation among members of a person's family by blood,

adoption, or marriage, or among a person's associates, or in the community, concerning a person's birth, adoption,

marriage, divorce, death, legitimacy, relationship by blood, adoption, or marriage, ancestry, or other similar fact of

personal or family history.

(20) Reputation concerning boundaries or general history. Reputation in a community, arising before the

controversy, as to boundaries of or customs affecting lands in the community, and reputation as to events of general

Even more Rule 803

(21) Reputation as to character. Reputation of a person's character among associates or in the community.

(22) Judgment of previous conviction. Evidence of a final judgment, entered after a trial or upon a plea of guilty

(but not upon a plea of nolo contendere), adjudging a person guilty of a crime punishable by death or imprisonment in

excess of one year, to prove any fact essential to sustain the judgment, but not including, when offered by the

Government in a criminal prosecution for purposes other than impeachment, judgments against persons other than the

accused. The pendency of an appeal may be shown but does not affect admissibility.

(23) Judgment as to personal, family or general history, or boundaries. Judgments as proof of matters of

personal, family or general history, or boundaries, essential to the judgment, if the same would be provable by

evidence of reputation.

(24) [Other exceptions.][Transferred to Rule 807]

Notes

More about Hearsay

Rule 804. Hearsay Exceptions; Declarant Unavailable

(a) Definition of unavailability.

(b) Hearsay exceptions.

Rule 805. Hearsay Within Hearsay

Rule 806. Attacking and Supporting Credibility of Declarant

Rule 807. Residual Exception

Article 9: Authentication and Identification

Rule 901. Requirement of Authentication or Identification

Rule 902. Self-authentication

(1) Domestic public documents under seal.

(2) Domestic public documents not under seal

(3) Foreign public documents

(4) Certified copies of public records

(5) Official publications

(6) Newspapers and periodicals

(7) Trade inscriptions and the like

(8) Acknowledged documents

(9) Commercial paper and related documents

(10)Presumptions under Acts of Congress

(11)Certified domestic records of regularly conducted activity

(12)Certified foreign records of regularly conducted activity

Article X: Contents of Writings, Recordings and

Photographs

Rule 1001 - Definitions

Rule 1002 - Requirement of Original

Rule 1003 - Admissibility of Duplicates

Rule 1004 - Admissibility of Other Evidence of Contents

Rule 1005 - Public Records

Rule 1006 - Summaries

Rule 1007 - Testimony or Written Admission of Party

Rule 1008 - Functions of Court and Jury

The “Daubert Standard” is designed to keep

“junk science” out of the courts.

Daubert turns federal judges “gatekeepers.”

Daubert v. Merrell Dow Pharmaceuticals, 509 US 579 (1993)

Evidence must be “relevant”

(so as not to waste the court’s time or confuse matters)

Evidence must be “reliable” (ie, scientific)

• Subject to peer review (has been published)

• Generally accepted by the relevant professional community

• Standards for the technique’s operation

• Known error rate

Surprisingly, most digital evidence may not meet this standard.

[Carrier 2006, pp. 1-4]

Investigators need access to the digital evidence.

Consent Searches — The owner gives consent.

• No warrant or probable cause required; officers not required to warn people

of their right to withhold consent (Schneckloth v. Bustamonte).

• Employers can give consent for an employee.

• Spouse may give consent to marital property.

• Parents can give consent for children under 18, and sometimes over 18.

• System Administrators can give consent, but are regulated under the

Electronic Communications Privacy Act.

Warrant Searches

• Police swears an oath that proves probable cause or hearsay information.

• Warrant defines the terms of what may be searched and seized.

Warrantless Searches

• Everything else.

US Law allows searching evidence in “plain view”

without a warrant.

According to Searching and Seizing Computers (US DoJ 2002):

• Agent must be in lawful position to observe and access the evidence

• Incriminating character must be immediately apparent.

• Plain view cannot justify violation of a person’s

“reasonable expectation of privacy.”

• Government cannot “justify opening a closed computer file it is not

otherwise authorized to view”

Be careful with “plain view.”

US v. Carey, 172 f.3d 1268 (10th Cir. 1999)

• Investigator executing warrant on narcotics case finds two computers.

• Investigators seize computers looking for narcotics information. Obtain

warrant to search for drug information.

• Investigators discover “JPG” files with child pornography;

• Focuses on child porn.

• Court throws out conviction; search beyond original consent and warrant.

US v. Gray, 78 F.Supp. 2d 524 (E.D. Virginia, 1999)

• FBI examining a computer system for evidence of “hacking”

• Child pornography found in a subdirectory.

• Discovery was “inadvertent;” investigation continued original search

• Files may be mislabeled; investigators may view every file on computer

Summary: The Forensic Process

Purpose of Computer Forensics is to get

evidence from the computer to the court room.

Training, Preparation & Process

Federal Rules of Evidence governs use of

technology & testimony