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Principles of Evidence. National Certified Investigator & Inspector Training Basic Program. Instructor Name Agency. Session Introduction. Learning Objectives. Upon completion of the session, you will be able to: Identify the classifications, types and forms of evidence.
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Principles of Evidence National Certified Investigator & Inspector Training Basic Program Instructor Name Agency
Learning Objectives • Upon completion of the session, you will be able to: • Identify the classifications, types and forms of evidence. • Identify the uses of each type of evidence. • Understand the rules of evidence and uses in administrative proceedings.
I<Clicker Question • Do you collect/handle evidence as a part of your investigations? • Yes • No • Unsure
General • The Law of Evidence • Why have Rules of Evidence? • Consistency • Reliability • Fairness
Principles of Evidence Terms • Evidence • The means by which any contested factual matter may be established or disproved in a legal proceeding • Probative • That which furnishes, establishes, or contributes toward proof of an issue to be decided. • Admissibility • Evidence that is proper to be considered in reaching a decision.
Classifications of Evidence • Two main classifications of evidence • Direct • Circumstantial
Direct Evidence • Eyewitness • Other Forms – i.e. photos, records • Photographs • Records • Signed Statements
Circumstantial Evidence • Cases around circumstantial evidence • Difficulties • Circumstantial evidence requires inferences to be drawn from the evidence in order to prove the case • Requires proof that interpretation of evidence is only reasonable conclusion • Must rule out other reasonable possibilities
Circumstantial Evidence Example • Drugs are missing • Only when one nurse was on duty • Only at the end of his/her shift • Only this nurse had access to the medicine cabinet during times in question • Patients complained: • Did not receive medications or, • Medications didn’t work • The nurse had slurred speech during his/her shift
Forms of Evidence • Real Evidence • Testimonial Evidence • Demonstrative Evidence • Judicial Notice/Stipulations
Real Evidence • Documentary Evidence • Example: Email communications • Physical Evidence • Example: A gun • Scientific Evidence • Example: Lab test results
Testimonial Evidence • Personal knowledge is generally required • Must testify under oath or affirmation • Two main types of witnesses • Lay Witnesses • Expert Witnesses
Testimonial Evidence • Lay Witnesses • Generally, only allowed to testify to facts they observed • No opinions, unless they apply to observable facts like appearance, handwriting, or behavior
Testimonial Evidence • Expert Witnesses • Often used when case involves technical issues or issues of professional standards • Court/hearing officer determines if the witness qualifies as an expert • Competence of experts is never presumed
Demonstrative Evidence • Used to support testimonial evidence • Makes evidence more understandable to the trier of fact • Examples include: • Maps • Photos • Diagrams
Judicial Notice and Stipulations • Judicial Notice: • Commonly known facts • Information that is accepted as true without the need to present other forms of evidence • Example: Time of sunrise or day of the week • Stipulations: • Information and evidence agreed upon in advance by both parties • Once in place, accepted as true and requires no additional proof
General Admissibility Concerns • Materiality • Having some logical connection with the consequential facts • Relevancy • Logical Relevance • Legal Relevance Admissible What is allowed into the record Inadmissible What’s not allowed into the record
General Admissibility Concerns • Competency • Generally competent to testify if able to: • Observe • Recollect • Communicate and understand the oath to tell the truth • Adult vs. child requirements • Adults are competent unless they are of unsound mind • Child age requirements usually determined by statute
Privileges • Rationale • Admissible evidence not admitted due to negative affect on legally protected relationship • Established by legislation or through case law • Not created simply to keep information private or confidential
Examples of Privileges • Physician-Patient privilege • Clergyman-Penitent privilege • Marital • Attorney-Client privilege • Other Relationships • Trade Secrets
Hearsay • An out of court statement that is presented at a hearing for the truth of the matter asserted • Generally permitted in administrative hearings but given limited weight • Only if of sufficient reliability • Make sure your evidence is first-hand information
Hearsay Example • James tells you that Angie is stealing medication • Name three ways how James knows this • First-hand, direct knowledge • James saw Angie take the pills • Circumstantial • James saw Angie near where medications are kept. Later, medication was found missing. • Hearsay • A nurse told James that she saw Angie take medication
Hearsay Exercise • Exercise: Telephone • Purpose: to demonstrate the unreliable nature of hearsay
Authentication of Evidence • Establishes that the evidence is what you claim it to be • Requires a process of thorough documentation on collection and maintenance of evidence • Source of evidence • Chain of custody • Must permit authentication of evidence for months to years after collection
Best Evidence Rule • The most original document is best • Secondary evidence acceptable when: • Original document unavailable • Presenting party did not make original document unavailable or if original document is unavailable, done so with no bad intent • Doesn’t apply to fact to be proven; has existence independent of any writing • Example: births, marriages, or deaths
Impeachment Evidence • Used to question the credibility of a witness • Demonstrating Bias • Self-Contradiction • Poor Character • Poor Perception • Prior Conviction/Bad Acts • Contradictory Evidence
Burdens of Proof • Defines who must present sufficient evidence to prevail • Generally rests upon the administrative agency or regulatory authority
Standards of Proof • Defines amount of credible and persuasive evidence required to meet burden of proof • Preponderance of the Evidence • Most commonly used in administrative hearings • Clear and Convincing Evidence • Highly probable that elements of the violation occurred • Different than standard in criminal proceedings • Beyond a reasonable doubt
Knowledge Check The Best Evidence rule means: • The most original document is best • The trier of fact will weigh the different types of evidence • Circumstantial evidence will not be allowed if there is direct evidence available • The original owner of the evidence must be present
Knowledge Check Which of the following sources of evidence is not considered privileged? • Attorney/Client • Employer • Marital
Knowledge Check Which standard of proof is used most often for deciding administrative law issues? • Proof beyond a reasonable doubt • Preponderance of evidence • Clear and convincing evidence
Learning Objectives Review • You should now be able to: • Identify the classifications, types and forms of evidence. • Identify the uses of each type of evidence. • Understand the rules of evidence and uses in administrative proceedings.
In general, this instructor: • Is Unacceptable • Needs Improvement • Is Good • Is Very Good • Is Excellent
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