Effective Fact Finding Techniques for
Questionable Claims
Stephanie
p
A. Lombardo
Training Officer
National Cemetery Administration, DVA
Catherine J. Baranek
Lead Employee Relations Specialist
A Decade of Discovery, A Formula for the Future
Office of Human Resources Management, DVA
1
Session Objectives
„
Understand the key components of
effective factfact-finding
„
Identify techniques for conducting
effective witness interviews
„
Develop an approach for
presenting sound,
supportable,
t bl and
d
convincing conclusions
2
Triggers for Fact Finding
„ Fact
of Injury ?
„ Performance
„ Causal
of Duty ?
Relationship ?
„ Statutory
y
Exclusion ?
3
Basic Fact Finding Steps
„ Step
One – Gather Evidence
„ Step
p Two – Analyze
y Evidence
„ Step Three – Establish Facts and Draw
Sound Conclusions
„ Step
p
Four – Communicate Findings
g
(Effectively!!)
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Step One - Gather Evidence
„
Identify all possible Witnesses
Collect names from documents or other
sources
„ Identify who or what types of employees were
likely to be present or witness the event
„
„
Collect additional names as y
you listen to
testimony
Who else was present?
„ Who else should we talk to?
„
5
Step One - Gather Evidence
„
Identify and gather all documentary
evidence
Documents relevant to the event or incident
„ Documents identified by witnesses
„ Follow the clues
„ Documents lead to other documents
„
„
You may need to “authenticate”
documents
6
Step One - Gather Evidence
„
„
Is there physical evidence?
evidence?
„
Take photos of physical evidence
„
Secure evidence
„
Protect chain of custody
Is there demonstrative evidence?
evidence?
7
Order of Witnesses
„
Claimant (?)
„
Those present
present;; witnesses with firstfirst-hand
knowledge
g of the event
„
Those probably present or who have first
first-hand knowledge
„
Those that may be able to corroborate
other witnesses
„
Those with knowledge of required
practices, safety rules and/or policies
8
Sequence of Interview Questions
„
First, ask open
open--ended questions
Let the witness tell their story
„ Their words,
words their version
„
„
Examples:
Please tell me what you saw…
„ What
Wh t do
d you know
k
about….?
b t ?
„ What is the common practice?
„
9
Sequence of Interview Questions
„
Second,, ask p
probing
g questions
q
Verify specific facts..
„ Take them through
g their story
y again
g
to clarify
y
events, timeline, inconsistencies
„ Ask about conflicting events or evidence
„ May include definitive yes/no questions
„
„
E
Examples:
l
So why didn’t you call the supervisor?
„ What did you notice about…?
„
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Sequence of Interview Questions
„
Third, followfollow-up with open
open--ended questions
again
Ask them again to describe in their own words
„ Tests the consistency of the witnesses version of
events
e
e ts
„
„
Examples:
So, tell me again what you saw when…
„ Tell me again what exactly you heard him say
say…
„
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Sequence of Interview Questions
„
Wrap--up questions for all witnesses…
Wrap
„
Is there anything else that you can tell me
about the events?
„
Do you have other information about this
issue?
?
„
Is there anyone
y
else who has information
about these events that I should talk to?
12
Follow the Clues..
„
Don’tt be preDon
pre-disposed to a theory
„
Don’t make assumptions
„
Witnesses will lead to other witnesses and
documents
„
Documents will lead to other documents
and witnesses
13
Tips for interviewing…
…the
the rambling witness
„ …the probablyprobably-notnot-objective witness
„ …the witness that just wants to vent
„ …the
the I’m
I mm-not
not--getting
getting--involved witness
„ …the suspected coco-conspirator
„
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Step Two: Analyze Evidence
„
The Fact Finder should ask…
„ What
Wh t
d
does th
the evidence
id
ttellll me?
?
„ What
does it NOT tell me?
„ Are
„ Is
there g
gaps?
p
there conflicting evidence?
15
Fact?
(tentative at
this point)
1. There
were no
boxes
processed
Friday am in
mailroom.
2. Tommy
left at 11:30
and never
returned.
List the
Gaps?
evidence
Contradictions
relevant to fact: ?
Witness stmts
Other than
from Sue, Marlee Tommy’s
Tommy s stmt,
and Albert;
no evidence
delivery
contradicts this
processing
fact.
record
Witness stmts
No evidence
from Sue and
contradicts this
Marlee
fact
fact.
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Step Three: Establish Facts and
Draw Conclusions
CONCLUSIONS
FACTS
EVIDENCE
C
17
Conclusions (these
Facts (supporting
fformulate
l t the
th basis
b i for
f
your dispute):
these
h
conclusions):
l i
)
1 Tommy did not
1.
perform any work duties
on Fridayy that involved
the lifting of boxes.
This conclusion is
supported by facts # 1, 2,
5,, and 7 discussed
above. There are no
facts other than Tommy’s
statement that contracontradicts this conclusions.
Thi conclusion
This
l i iis
supported by facts # …
2 Th
2.
There was nott
handling or processing
of deliveries until after
lunch.
18
Step Four: Writing the Dispute
L
Letter
etter
„
„
„
Allegation – state the specific allegation
or portion of the claim which is being
disputed.
disputed
Dispute – for each allegation, state
specifically
ifi ll what
h t th
the agency iis di
disputing.
ti
Supporting Evidence: List the facts that
are relevant to this dispute
Cite your FACTS to the EVIDENCE.
„ Fully discuss credibility determinations
„ Show your work !
„
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„
Connect the dots for
the reader.
„
Address each
dispute individually.
„
Help the reader get
to the same
conclusion as you
you.
E idence
Evidence
„
Avoid general
statements
t t
t nott
directly tied to facts
or evidence.
evidence
Facts
Statement
of Dispute
Conclusions
20
„
Do the work for the CE
„
Connects the Dots for the CE
„
Write an objective,
j
, factfact-based
dispute letter.
„
Show your work!!
„
Build y
your own credibility
y with the
CE for solid, wellwell-founded disputes.
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[email protected]
Stephanie
Lombardo@va gov
((202)) 461461-6222
[email protected]
(336) 631
631--5019
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