Malcolm Rivera
The process of fact-finding is an essential aspect of judicial decision-making, as it forms the basis for the court's judgment. In civil cases, the tribunal of fact is typically a judge or a panel of judges, while in criminal cases, it is usually a jury. During pretrial and post-trial proceedings, judges play a crucial role in fact-finding, especially in sentencing hearings, where they must resolve disputed factual issues. The accuracy of fact-finding is vital to ensure a just outcome, as it can significantly impact the lives of those involved. For instance, in a divorce case with children, the court's findings of fact will determine crucial aspects such as child custody, child support, and spousal maintenance. To promote stability and judicial economy, the trial court is generally recognised as the finder of facts, and its findings are given due deference. However, in rare cases, an appellate court may review and overturn a lower court's findings if they are deemed clearly erroneous.
| Characteristics | Values |
|---|---|
| Tribunal of fact | Judge or panel of judges, jury, laypeople or professional magistrates |
| Fact-finding stage | Usually the first-instance stage, when the case first comes to court |
| Fact-finding process | Working out from the evidence where the truth lies |
| Types of evidence | Real, documentary, witness testimony |
| Fact-finding hearings | Suppression, Markman, sentencing, Fatico |
| Fact-finding in appeals | Appeal court relies on facts found by the first-instance fact-finder |
| Fact-finding in civil procedure | Court must find facts and state conclusions of law separately |
| Fact-finding in partial findings | Court hears all evidence bearing on crucial issue of fact |
| Fact-finding in motions | Court not required to state findings or conclusions when ruling on a motion |
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What You'll Learn
Fact-finding hearings in private children cases
In the UK, the President of the Family Division provides clear and practical guidance for judges and magistrates presiding over fact-finding hearings in private children cases. These hearings are an essential aspect of the legal process, ensuring that judges can make informed decisions regarding the welfare and best interests of the children involved.
During fact-finding hearings in private children cases, the court assesses the overarching issues and relevant allegations, particularly those pertaining to safeguarding and the potential risk of harm to the child. Allegations of abuse may range from specific incidents to patterns of behaviour, such as coercive and controlling conduct. The court must determine if the child can be safeguarded and protected from further domestic abuse. In certain situations, the court may decide that the risk of harm is significant enough to warrant no contact or even the removal of parental responsibility.
The court has the authority to control the evidence presented in the case, including witness testimonies and third-party disclosures. It is crucial to ensure that any orders for evidence are targeted and precise, such as requesting a GP summary instead of full medical records. The relevance, purpose, and proportionality of specific allegations must be considered when determining the evidence required for the hearing.
Fact-finding hearings can be standalone or combined with other hearings to make long-term decisions regarding the child's welfare. The standard of proof in these hearings is lower than in criminal courts, requiring a determination based on the balance of probabilities. Judges must exercise robust case management from the outset, ensuring that all relevant information is considered and that the hearing remains focused on the facts at hand.
While fact-finding hearings are crucial, they are not always necessary. If the allegations, even if proven, would not significantly impact the decision, a fact-finding hearing may be deemed unnecessary. Additionally, it is important to avoid allowing a specific schedule or structure to distort the fact-finding process and become the sole focus of the hearing.
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Pretrial and post-trial proceedings
Judges find facts in pretrial proceedings and some post-trial proceedings. The most common pretrial proceedings are suppression hearings. Suppression hearings are used to argue whether certain evidence should be allowed at trial. For example, if evidence was obtained through an illegal search, it may be suppressed and not allowed to be used at trial. Another type of pretrial proceeding is the Markman hearing, which is used to interpret claims in patent cases.
Sentencing hearings in criminal cases also require extensive fact-finding. For example, in a fraud case, judges must calculate the loss amount, which can be very fact-intensive. Sometimes sentencing hearings last for days. Defendants may also request a Fatico hearing to resolve a disputed issue of fact. Fact-finding also occurs when a party seeks equitable relief, such as an injunction, or an equitable remedy, such as disgorgement, or when there is an equitable defense, such as laches.
In civil cases, the tribunal of fact is usually a judge or a panel of judges, but sometimes it can be a jury. In more serious criminal cases, the tribunal of fact is generally a jury, and in less serious cases, it is laypeople or professional magistrates. The fact-finding process is generally known as the first-instance stage, when the case first comes to court before any appeal. If a case is appealed, the appeal court rarely hears evidence and relies on the facts found by the first-instance fact-finder.
The Federal Rules of Civil Procedure, which governs the scope of discovery, was revised in 2000 to define what is discoverable as that which is relevant and proportional. This created a new definition of the scope to be defined by a detailed five-factor test. The burden of showing that the discovery sought is both relevant and proportional falls on the requesting party, usually the plaintiff. This raises the bar for plaintiffs to obtain evidence, which becomes the record on which judges do fact-finding.
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Civil cases and criminal cases
In civil cases, judges make findings of fact in pretrial, trial, and post-trial proceedings. For example, in pretrial proceedings, judges may need to make findings of fact during suppression hearings, Markman hearings for patent cases, or sentencing hearings in criminal cases. In trials, judges make findings of fact in non-jury trials, where parties waive their right to a jury trial, or in cases that are too complex for a jury. In post-trial proceedings, judges may make additional findings of fact when a party files a motion within 28 days after the entry of judgment.
The Federal Rules of Civil Procedure provide guidelines for findings and conclusions by the court in civil cases. Rule 52 states that in non-jury trials or advisory jury trials, the court must find the facts and state its conclusions of law separately. The findings and conclusions can be stated on the record, in an opinion, or a memorandum of decision. For interlocutory injunctions, the court must also state its findings and conclusions. However, the court is not required to state findings or conclusions when ruling on specific types of motions, such as those under Rule 12 or 56.
Additionally, Rule 52 addresses judgments on partial findings, which are made after the court has heard all the evidence on a crucial issue of fact. These findings can only be reversed if an appellate court finds them to be "clearly erroneous." On the other hand, summary judgments are based on established facts due to the absence of contrary evidence and are considered rulings on questions of law.
In criminal cases, judges also play a crucial role in finding facts. During sentencing hearings, judges may need to engage in extensive fact-finding, such as calculating the loss amount in a fraud case. Defendants may request a Fatico hearing to resolve disputed issues of fact. Judges also consider equitable claims and defences, such as injunctive relief or disgorgement, separately from legal claims decided by a jury.
The rules and procedures governing criminal cases may vary depending on the jurisdiction, but the principle of finding facts by a judge remains consistent. Judges are responsible for analysing and evaluating the evidence presented to determine the facts of the case and make informed decisions accordingly.
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Evidence and witness credibility
Witness credibility is influenced by various factors, including the witness's ability to perceive, recollect, and communicate. Factors such as location during an event, duration of observation, and any circumstances affecting perception can impact credibility. Mental condition, emotional stability, traumatic experiences, brain injuries, and memory abilities are also relevant considerations.
The demeanor of a witness, including their ease, anxiety, calmness, evasiveness, or forthrightness, can affect how their testimony is perceived. The substance of the testimony itself, in terms of plausibility, consistency, and reliability, is crucial. Additionally, jurors may consider potential biases, interests, or motives that could influence a witness's testimony.
In certain situations, character evidence may be presented to support or attack a witness's credibility. However, character evidence can be problematic as it may distract from the main issue, evoke emotional responses, or lead to time-consuming "mini-trials." Nonetheless, it is allowed in specific cases, as outlined in the Evidence Code and decisional law.
Ultimately, the assessment of witness credibility is a complex and nuanced process that involves evaluating multiple factors. Judges provide guidance, but it is the jurors who make the final determination of whether a witness is credible based on the evidence presented and their assessment of the witness's testimony.
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Appellate review
In the US, findings of fact and conclusions of law are essential for appellate review. They provide the rationale behind the court's judgment and help appellate courts determine if a trial court abused its discretion or made an error. Parties involved in a case often request findings of fact and conclusions of law before the trial to facilitate the appeals process if necessary.
In civil cases, the tribunal of fact is typically a judge or a panel of judges, but it can sometimes be a jury. In more serious criminal cases, the tribunal of fact is generally a jury, while in less serious cases, it may be laypeople or professional magistrates. Judges also find facts in pre-trial and some post-trial proceedings, such as suppression hearings and sentencing hearings.
Rule 52 of the Federal Rules of Civil Procedure outlines the guidelines for findings and conclusions by the court. It states that the court must find the facts and state its conclusions of law separately. These findings and conclusions may be stated on the record after the evidence is presented or in an opinion or memorandum of decision filed by the court. The rule also addresses judgment on partial findings, interlocutory injunctions, and motions, each requiring varying levels of specificity in stating the findings and conclusions.
Additionally, Rule 52 highlights the circumstances under which findings of fact may be set aside. It states that findings of fact, whether based on oral or other evidence, must not be set aside unless clearly erroneous. The reviewing court must give due regard to the trial court's opportunity to judge the witnesses' credibility.
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Frequently asked questions
A finding of fact is the process of determining the truth from the evidence presented. This is done by a judge or a panel of judges, or sometimes a jury.
Judges make findings of fact during pretrial, trial, and some post-trial proceedings. For example, in sentencing hearings, judges must make extensive findings of fact, such as calculating the loss amount in a fraud case.
Evidence used in findings of fact can include witness testimony, real evidence (e.g., a weapon), documentary evidence, and other forms of proof.
Findings of fact are crucial as they provide the rationale behind the court's decision. They give the "why" behind the judgment, allowing the parties involved to understand the court's reasoning. Findings of fact are also essential for appellate review if one or both parties wish to appeal the decision.
Yes, findings of fact can be challenged through the appellate review process. They can also be set aside by the reviewing court, but only if they are found to be ""clearly erroneous."
