Also known as:preliminary questions · preliminary issue
Written by attorneys — see sources below.
A procedural determination by the court on whether a witness is qualified, a privilege exists, or evidence is admissible. The court makes this determination without being bound by the evidence rules except those concerning privilege.
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How its tested
Common Examples
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Expert Qualification Ruling
Paula Pierce offers an expert whose opinions rest on draft ledgers. The court reviews those materials to decide whether the expert is qualified even though the ledgers would be inadmissible at trial. The ruling allows the expert to testify once the court finds sufficient qualifications.
Attorney-Client Privilege Determination
Paula Pierce seeks to withhold an email chain. The court reviews the communications in camera to decide whether the privilege exists even though the emails contain otherwise relevant facts. The ruling sustains the privilege once the court finds the elements satisfied.
Pamela Phillips objects to a co-conspirator statement. The court determines whether a conspiracy existed and whether the statement was made in furtherance of it before admitting the evidence. The finding rests on evidence the court may consider without applying ordinary hearsay rules.
Bourjaily v. United States483 U.S. 171, 107 S.Ct. 2775, 97 L.Ed.2d 144 (1987)
In May 1984, Clarence Greathouse, working as an informant for the Federal Bureau of Investigation, arranged to sell a kilogram of cocaine to Angelo Lonardo.
Lonardo agreed that he would find individuals to distribute the drug. When the sale became imminent, Lonardo stated in a tape-recorded telephone conversation that he had a "gentleman friend" who had some questions to ask about the cocaine. In a subsequent telephone call, Greathouse spoke to the "friend" about the quality of the drug and the price. Greathouse then spoke again with Lonardo, and the two arranged the details of the purchase. They agreed that the sale would take place in a designated hotel parking lot, and Lonardo would transfer the drug from Greathouse's car to the "friend," who would be waiting in the parking lot in his own car.
Greathouse proceeded with the transaction as planned. FBI agents arrested Lonardo and petitioner immediately after Lonardo placed a kilogram of cocaine into petitioner's car in the hotel parking lot. In petitioner's car, the agents found over $20,000 in cash. Petitioner was charged with conspiring to distribute cocaine, in violation of 21 U.S.C. § 846. Petitioner was also charged with possession of cocaine with intent to distribute, a violation of 21 U.S.C. § 841(a)(1). The Government introduced, over petitioner's objection, Angelo Lonardo's telephone statements regarding the participation of the "friend" in the transaction.
The United States District Court for the Southern District of Ohio found that, considering the events in the parking lot and Lonardo's statements over the telephone, the Government had established by a preponderance of the evidence that a conspiracy involving Lonardo and petitioner existed. The court also found that Lonardo's statements over the telephone had been made in the course of and in furtherance of the conspiracy. Accordingly, the trial court held that Lonardo's out-of-court statements satisfied Rule 801(d)(2)(E) and were not hearsay. Petitioner was convicted on both counts and sentenced to 15 years.
The United States Court of Appeals for the Sixth Circuit affirmed the conviction. The Supreme Court granted certiorari to review the admission of the recorded statements and related evidentiary and constitutional questions.
Preston Pratt seeks to introduce a copy of a lost document. The court first decides whether the original was lost or destroyed in good faith. That preliminary finding determines whether the copy may be received.
Reynolds v. United States98 U.S. (8 Otto) 145 (1878)
George Reynolds, a longtime member of the Church of Jesus Christ of Latter-Day Saints, was indicted in the District Court of the third judicial district of the Territory of Utah for bigamy after entering a second marriage to Amelia Jane Schofield while his first wife remained alive.
Reynolds had obtained permission from recognized church authorities to contract the polygamous marriage. He and other male church members believed the practice was a religious duty enjoined by divine revelation to Joseph Smith. Refusal would bring damnation when circumstances permitted.
The grand jury that returned the indictment consisted of fifteen persons under a territorial statute. This differed from the sixteen to twenty-three persons required by federal statute for United States circuit and district courts. During voir dire, the trial court overruled Reynolds's challenges for cause to prospective jurors including Charles Read who stated they had formed opinions about the case. The court sustained government challenges to other prospective jurors who were or had been living in polygamy.
At trial the prosecution offered the transcript of testimony given by Amelia Jane Schofield at an earlier prosecution of Reynolds for the same offense under a different indictment. The government showed that subpoenas were served at Reynolds's house. An officer was told the witness was not at home. Reynolds declined to disclose her location. A later subpoena with the correct name also failed to locate her. Reynolds had been present and able to cross-examine at the prior trial but offered no explanation for her absence.
Reynolds requested a jury instruction that he must be acquitted if the jury found he acted in the sincere belief that the second marriage fulfilled a religious duty. The court refused and instead instructed that religious belief could not excuse a knowing violation of the criminal law. The court further instructed the jury to consider the consequences of polygamy for innocent women and children. Reynolds was convicted and the case reached the Supreme Court of the United States on writ of error.
Pablo Perez objects to a physician's testimony on causation. The court decides whether the opinion meets the reasonable medical probability standard before allowing the jury to hear it. The ruling turns on the physician's explanation of the basis for the opinion.
State v. Smith621 A.2d 493 (N.J. Super. Ct. App. Div. 1993)
Gregory Smith was committed to the Camden County jail on April 14, 1989, for trial on robbery charges. In September 1988 he had tested positive for HIV and knew of his infection. Jailers placed him in a special blood alert area. Before June 11, 1989, Smith repeatedly threatened corrections officers that he would bite or spit on them to kill them or give them AIDS. He had discussed his HIV status with guards and a local reporter while seeking transfer to a state prison for better medical care.
On May 5, 1989, Smith kicked his cell door. After officers restrained him, he threatened to bite and spit while showing his teeth. On May 17 he again resisted officers. He threatened to take one of us the fuck out. He promised to have an officer killed by his brothers. He later spat at another officer while trying to bite him. On June 11 officers escorted Smith to Cooper Hospital after he claimed a fall. At the hospital he became disruptive. He grabbed a metal cylinder. During the struggle he bit Officer Waddington's hand, causing puncture wounds visible in photographs taken days later. Throughout the incident Smith repeatedly threatened to bite and give the officers AIDS so they would die.
Waddington was treated by Dr. Zimmerman who prescribed an oral antibiotic and administered hepatitis B immunoglobulin. Since the incident, Waddington has undergone continued testing for HIV. As of the time of trial in April 1990, the tests had been negative. Additional incidents occurred on June 12 and October 17, 1989, in which Smith again threatened officers with his HIV status while resisting restraint. At the April 1990 trial the State presented Dr. Porwancher, who testified that transmission of HIV by bite was possible on rare occasions based on case reports in Lancet and a Soviet study. Defendant's expert Dr. Condoluci testified that the chance was extremely remote and cited studies showing no transmissions in documented bite cases.
Smith testified that he knew HIV could be transmitted only sexually, by transfusion, or by needles. He believed transmission by bite was impossible. Mental health worker Eugene Niblack confirmed he had told Smith biting was extremely difficult if not impossible. Smith denied biting or threatening the officers and claimed the officers lied. The jury convicted Smith on April 11, 1990, of attempted murder of Waddington, aggravated assault on both officers, and terroristic threats. Judge Mariano imposed an aggregate twenty-five-year term with twelve-and-one-half years of parole ineligibility. Smith appealed to the Superior Court, Appellate Division.
Perry Pratt moves to suppress a confession. The court conducts a hearing outside the jury's presence to decide whether the statement was voluntary. The determination rests on evidence the court may consider without applying ordinary evidence rules.
Colorado v. Connelly479 U.S. 157, 169-70, 107 S.Ct. 515, 523, 93 L.Ed.2d 473, 486 (1986)
Respondent Francis Connelly approached Officer Patrick Anderson of the Denver Police Department on August 18, 1983, at approximately 2:40 p.m. and stated that he had killed someone and wanted to talk about it. Anderson immediately advised respondent of his Miranda rights. Respondent stated that he understood those rights but wanted to talk about the murder anyway.
At this point, respondent stated that he had come all the way from Boston to confess to the murder of Mary Ann Junta, a young girl whom he had killed in Denver sometime during the month of November 1982. Respondent was then taken to police headquarters. A detective again advised him of his rights. After respondent answered that he understood them, he was asked to describe the murder in detail.
Respondent gave a lengthy account including the location of the body, the date of the murder, the fact that he had used a blunt instrument in the killing, and that after killing the victim he had washed his knife in a nearby stream. After hearing this account, the detective arrested respondent for the murder of Mary Ann Junta. A search of the area where respondent said the body was located revealed the body of a young girl. The cause of death was determined to be a skull fracture.
At a preliminary hearing, the psychiatrist who had examined respondent testified that at the time of the confession, respondent was clearly suffering from chronic schizophrenia and was in a psychotic state at least as of the time of his arrest. The psychiatrist testified that respondent's psychosis motivated his confession, that respondent was not capable of making a free and intelligent decision to confess, and that the confession was not voluntary. The trial court found that respondent's initial statement to Officer Anderson was involuntary and ordered that it be suppressed. The trial court also ruled that the subsequent statements made at the police station were tainted by the prior involuntary statement and ordered that they too be suppressed. The Colorado Supreme Court affirmed the suppression order.
The United States Supreme Court granted certiorari to decide whether respondent's confession was obtained in a manner that violated the Due Process Clause.
Who decides preliminary questions about witness qualifications or evidence admissibility?
The court decides these questions. The court is not bound by the evidence rules except those on privilege when making the determination.
Supporting sources
When must the court conduct a hearing on a preliminary question outside the jury's presence?
The court must hold the hearing outside the jury's presence when the hearing concerns a matter that would otherwise suggest inadmissible evidence to the jury.
Supporting sources
Does a criminal defendant who testifies on a preliminary question become subject to cross-examination on other issues?
No. Testimony on a preliminary question does not subject the defendant to cross-examination on other issues in the case.
Supporting sources
preliminary
to the admission of secondary evidence. In this respect it is like the
preliminary question
of the proof of loss of a written instrument, before secondary evidence of the contents of the instrument can be admitted. In Lord Morley’s Case (supra) , it would seem to have been…