- Key People:
- John Henry Wigmore
According to Anglo-American law, the classic means of proof are witnesses, documents, and real evidence (derived from the actual inspection of objects). As a result of historical development, the status of witness was accorded to experts and to the parties in a civil lawsuit, and even to the accused in criminal proceedings. The development of continental European law has taken a different course. Parties cannot be witnesses, and evidence by experts is subject to special procedural rules. Consequently, there are essentially five separate sources of evidence: witnesses, parties, experts, documents, and real evidence.
Witnesses
The oral testimony of witnesses competes in a sense with documentary evidence to the extent that one may exclude or supplement the other. Under Anglo-American law, almost anyone can be a witness, including the parties and experts; even insane persons, children, and convicted felons may testify. Grounds once used for excluding such persons as witnesses are now used only to impeach their credibility. Continental European countries, as has been said, do not treat either the parties or experts as competent witnesses, and they are still suspicious of interested witnesses. Some of them, influenced by the Roman-based school, deny, on the whole, the capacity of those persons having a certain degree of relationship to the parties. Some consider insane persons incompetent to testify, others grant them the competency but exclude their testimony on the grounds of credibility. The capacity to be a witness does not depend on whether or not the person can testify about questions relevant to the specific case. In general, the tendency has been to utilize all persons who can testify about facts that will help to establish the truth. Competency as a witness has therefore been extended to as many persons as possible. On the other hand, many persons are protected by law from being forced to testify. This type of protection derives either from privilege, or from the right to refuse to give evidence, either case distinguishable from incapacity to testify. Whereas privilege or the right to refuse to give evidence may be either requested or waived, incapacity to testify takes effect automatically; i.e., it must always be officially considered by the court.
Privileges
Privileges under Anglo-American law must be distinguished from the right to refuse to give evidence under particular circumstances as it exists in continental European practice. The latter is granted to witnesses for either personal or objective reasons. The personal reasons are the same as those that result in incapacity to testify—i.e., relationship, affinity, and marriage. The objective reasons concern persons who, as a result of their profession (for example, clergymen, physicians, attorneys, journalists), have been put in possession of confidential facts. Such confidants have a limited right to refuse to give evidence so long as the person protected does not give his consent (the German solution). In some cases they are not admitted as witnesses without the consent of the protected person (the Swedish solution). Thus, the Swedish judge officially decides whether the protected person has given his consent, whereas the German judge leaves the decision whether to testify up to the confidant. In addition, witnesses might refuse to testify if their testimony were to cause direct financial damage to themselves or to their families, or if it were to publicly disgrace them or expose them to criminal prosecution. All persons may make their own decision to testify, but judges are obliged to inform them about their specific rights in the matter. These procedural regulations have developed in order to avoid the situation in which the person protected becomes caught in a conflict between the truth and his personal interests. The interests of the protected person—perhaps partly out of realism—are thus given a higher value than the search for the facts.
The Anglo-American privileges differ from the continental European right to refuse to testify insofar as privileged persons cannot decide whether or not they wish to testify. They may only cite their privileges, and the judge decides if they must testify. Under a system that stresses the free evaluation of evidence, the obligation to testify is subject to only a very few exceptions.
The privilege against incriminating oneself has a twofold nature in Anglo-American law because, in civil proceedings, parties may appear as witnesses and, in criminal proceedings, the accused may appear as a witness. The privilege of an ordinary witness is considerably limited. He must submit to being designated and sworn in as a witness in all instances and must answer all questions except those that are self-incriminating. Consequently, either he or his attorney must sift out the incriminating questions that will evoke the privilege. This is not always easy, particularly since it is only the witness, and not the party or the party’s attorney, who may cite the protecting privilege. Critics have called this privilege a sentimental institution, but it is worth noting, in this regard, that the privilege against self-incrimination is included in the U.S. Bill of Rights.
It has already been pointed out that in the common-law system, the accused in a criminal trial no longer lacks competence as a witness but may exercise the privilege of refusing to be called or sworn as a witness. Unlike ordinary witnesses, he may invoke this privilege with considerable latitude, but once he does decide to step into the witness box, he renounces his privilege and may be interrogated as if he were an ordinary witness. The question then arises whether the waiving of the privilege against self-incrimination is limited to testimony concerning crimes of which he presently stands accused, or whether he must answer all questions regarding criminal acts. It appears to have become fairly well established that the prosecutor can, in fact, interrogate the defendant about previous criminal offenses. In civil cases the parties have the same privilege for protection from self-incrimination as other witnesses; i.e., they need not answer incriminating questions.
Privileges deriving from personal and professional relationships are generally not granted on principle, though historically a privilege for the protection of marital communications has developed. In England an 1853 law decreed that a husband could not be forced to testify concerning information that his wife may have given him during the course of the marriage. This, naturally, also applies to the wife. In the United States the courts contended that laws concerning testimony on matrimonial communications contained only a statement of the common law. Only the beneficiary of the privilege may cite it, and it is not applicable where criminal offenses by one spouse against the other or against the children are concerned or in the case of a divorce proceeding.
Attorneys are considered to be under an obligation to refuse to testify about confidential communications with their clients. The privilege, however, protects the client, not the attorney, and, therefore, the client may waive it. This privilege applies principally to the adversary system, in which, so to speak, the attorney is the client’s champion.
Clergymen are likewise under obligation to refuse to answer questions concerning information given them in the secrecy of the confessional by believers. Again, the privilege protects the believer. This custom has been sanctioned by legislation in many U.S. states. In England, however, there is no common-law rule for this privilege.
Physicians, as a rule, must answer all questions since there is no common-law privilege regarding confidential information furnished by the patient. In some U.S. states an appropriate privilege has been created by legislation; again, it is the patient who is protected, and only he may waive the privilege.
Journalists, like physicians, occupy a position that is not entirely clear. In some jurisdictions they may refuse to testify about their sources of information, and in a number of U.S. states such a privilege has been specifically created by statute. In other U.S. states and in England the question does not yet seem to have been settled.