Also known as:findings of fact · investigative findings
Written by attorneys — see sources below.
A category of statement contained in a public record that sets out the results of an official inquiry conducted under legal authority. The statement qualifies for admission under the public records hearsay exception when offered in a civil case or against the government in a criminal case, provided the opponent does not demonstrate a lack of trustworthiness.
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Common Examples
6
Review of Credibility Findings
Francisco Frost sued Fusion Power after a workplace accident. The district court credited the testimony of three eyewitnesses and entered judgment for the defendant. On appeal Frost argued the findings were clearly erroneous. The appellate court declined to disturb the findings because the trial judge had observed the witnesses and the record contained no contradictory documentary proof.
Admitting Health Department Report
Farah Fox sued Flagship Logistics after slipping on algae at a hotel pool. Fox offered the county health department's official investigation report that contained factual findings about pool maintenance failures following a prior drowning. The court admitted the report over a hearsay objection because it set out factual findings from a legally authorized investigation and the opponent failed to show untrustworthiness.
New Trial Motion to Amend Findings
Floyd Franklin sued Foster Forge for breach after a bench trial. The court entered judgment for the defendant based on findings that the product defect was not proven. Franklin moved for a new trial under Rule 59 and asked the court to take additional testimony and amend its findings. The court granted the motion, reopened the record, and issued new findings that altered the judgment.
Summary Judgment Dispute
Faith Fitzgerald sued Franklin Foundry alleging defective manufacturing. The company moved for summary judgment and submitted an agency report containing factual findings from a product-safety investigation. The court treated the report as evidence of the absence of a genuine factual dispute and granted the motion.
Anderson v. Liberty Lobby, Inc.477 U.S. 242, 250 (1986)
In October 1981, The Investigator magazine published two articles entitled "The Private World of Willis Carto" and "Yockey: Profile of an American Hitler," along with a shorter introductory article. These articles portrayed respondent Liberty Lobby, Inc., a not-for-profit corporation and self-described citizens' lobby, and its founder Willis A. Carto as neo-Nazi, anti-Semitic, racist, and Fascist.
Respondents filed a diversity libel action in the United States District Court for the District of Columbia against petitioners Jack Anderson, the publisher, Bill Adkins, and the Investigator Publishing Co., alleging that 28 statements and 2 illustrations in the articles were false and derogatory. Following discovery, petitioners moved for summary judgment under Federal Rule of Civil Procedure 56. In support, they submitted an affidavit from Charles Bermant, the author of the articles, stating that he had spent substantial time researching from a wide variety of sources and believed the facts to be truthful, along with an appendix detailing sources for each allegedly libelous statement.
Respondents opposed the motion, asserting inaccuracies and that Bermant had relied on patently unreliable sources, and presented evidence that editor William McGaw had told Adkins before publication that the articles were terrible and ridiculous.
The District Court held that respondents were limited-purpose public figures to whom the New York Times standards applied. After reviewing the evidence, the District Court granted summary judgment to petitioners.
The Court of Appeals for the District of Columbia Circuit affirmed as to 21 statements and reversed as to 9. It held that the requirement that actual malice be proved by clear and convincing evidence need not be considered at the summary judgment stage.
The Supreme Court granted certiorari because the holding conflicted with decisions of several other Courts of Appeals.
Statutory Challenge to Regulation
Francois Fortier challenged a federal internet regulation as exceeding congressional power. The government introduced a congressional committee report that included factual findings from a legally authorized investigation into online harms. The court relied on those findings to evaluate the statute's scope and upheld the regulation.
Reno v. American Civil Liberties Union521 U.S. 844 (1997)
In 1996 Congress enacted the Communications Decency Act as Title V of the Telecommunications Act of 1996. Immediately after the President signed the bill, twenty plaintiffs including the American Civil Liberties Union filed suit in the Eastern District of Pennsylvania against the Attorney General challenging the constitutionality of 47 U.S.C. §§ 223(a)(1)(B) and 223(d). A week later a second suit was filed by twenty-seven additional plaintiffs; the cases were consolidated and a three-judge district court was convened.
The district court conducted an evidentiary hearing based on a detailed stipulation of 356 paragraphs plus live testimony and made 410 findings of fact. Those findings described the Internet as an international network of interconnected computers that had grown from roughly 300 host computers in 1981 to approximately 9,400,000 by the time of trial, with about 40 million users expected to reach 200 million by 1999. The findings detailed communication methods including e-mail, mail exploders, newsgroups, chat rooms, and the World Wide Web, noting that any person or organization with Internet access could publish information and that the content available was as diverse as human thought.
The district court further found that sexually explicit material on the Internet included text, pictures, and chat extending from the modestly titillating to the hardest-core, that such material was widely available but users seldom encountered it accidentally because a series of affirmative steps was required to access specific content, and that almost all sexually explicit images were preceded by warnings. The court determined there was no effective way to determine the identity or age of a user accessing material through e-mail, mail exploders, newsgroups, or chat rooms and that credit-card or adult-password verification systems were not economically feasible for most noncommercial providers and would impose significant burdens including the exclusion of adults without credit cards.
The district court entered a preliminary injunction against enforcement of the two challenged provisions. The Government appealed directly to the Supreme Court under the CDA's special review provisions, and the Court noted probable jurisdiction.
Commerce Clause Litigation
Faye Fuller challenged a federal gun-control statute. The government offered an agency report containing factual findings from a legally authorized investigation into the interstate movement of firearms. The court used the findings to assess the statute's connection to interstate commerce and sustained the law.
United States v. Lopez514 U.S. 549 (1995)
In March 1992, Alfonso Lopez, Jr., a twelfth-grade student at Edison High School in San Antonio, Texas, arrived at school carrying a concealed .38-caliber handgun and five bullets. Acting on an anonymous tip, school authorities confronted Lopez, who admitted possessing the weapon. Local police arrested him and charged him under Texas law with firearm possession on school premises.
The following day, state charges were dismissed after federal agents charged Lopez with violating the Gun-Free School Zones Act of 1990. A federal grand jury indicted him on one count of knowing possession of a firearm at a school zone. Lopez moved to dismiss the indictment, arguing that the statute exceeded Congress's power to legislate control over public schools.
The district court denied the motion, concluding that the statute was a constitutional exercise of Congress's power to regulate activities affecting commerce because the business of schools affects interstate commerce. After a bench trial, the court found Lopez guilty and sentenced him to six months' imprisonment and two years of supervised release.
Lopez appealed to the Court of Appeals for the Fifth Circuit, which reversed the conviction, holding that the statute was beyond Congress's power under the Commerce Clause. The Supreme Court granted certiorari to review the case.
4 common questions
Students Frequently Ask...
When is a public record containing factual findings from a legally authorized investigation admissible over a hearsay objection?
The record is admissible in a civil case or against the government in a criminal case if it sets out factual findings from a legally authorized investigation and the opponent does not show that the source of information or other circumstances indicate a lack of trustworthiness.
Supporting sources
Does delay in conducting an investigation or reliance on staff interviews automatically render an official report untrustworthy?
No. The presence of independent corroboration such as lab tests and photographs can mitigate concerns arising from delay or interviews. A court may still exclude the report if the combination of delay and reliance on interested parties indicates a lack of trustworthiness.
Supporting sources
What must a court do after a nonjury trial when a party moves to amend findings of fact?
The court may amend its findings or make additional findings and amend the judgment accordingly. The motion must be filed no later than twenty-eight days after entry of judgment.
Supporting sources
May a party challenge the sufficiency of findings of fact on appeal even if it never requested findings or objected to their sparsity at trial?
Yes. A party may later question the sufficiency of the evidence supporting the findings whether or not the party requested findings, objected to them, moved to amend them, or moved for partial findings.
Supporting sources
. The inquiry performed is the threshold inquiry of determining whether there is the need for a trial—whether, in other words, there are any genuine
factual
issues that properly can…
findings
of the District Court. That court is far more familiar with…
Civil ProcedureAppealability and review · Scope of review for judge and juryUBEIntermediate