1. The Constangy Management Training Center © 2008 Handling EEOC Investigations David Steffen, Esq. Constangy, Brooks & Smith, LLC 813.222.1353Dsteffen@Constangy.com

2. The Constangy Management Training Center © 2008 The Notorious Nine The Most Common MistakesThe Most Common Mistakes –Failure to communicate –Underestimating the EEOC –Being dismissive of the EEOC –Retaliating against employees –Failure to mediate

3. The Constangy Management Training Center © 2008 The Notorious Nine The Most Common Mistakes ContinuedThe Most Common Mistakes Continued –A delay strategy –Appearing dishonest –Taking inappropriate action –Failing to monitor EEO compliance

4. The Constangy Management Training Center © 2008 The Initial Meeting Thank the employeeThank the employee Reiterate the policiesReiterate the policies Employee comfortable with interviewerEmployee comfortable with interviewer No retaliationNo retaliation Do NOT promise confidentialityDo NOT promise confidentiality Urge the employee to write down all incidentsUrge the employee to write down all incidents

5. The Constangy Management Training Center © 2008 The Initial Meeting The devil is in the details!The devil is in the details! Any notes or documents?Any notes or documents? Any additional witnesses?Any additional witnesses? Any additional informationAny additional information Demonstrate that complaint is taken seriouslyDemonstrate that complaint is taken seriously Ask what they would like to be doneAsk what they would like to be done

6. The Constangy Management Training Center © 2008 KEY QUESTIONS Do I need more information to reach a conclusion?Do I need more information to reach a conclusion? Am I stopping to early; can I show due diligence?Am I stopping to early; can I show due diligence? YES? = INVESTIGATE FURTHER!

7. The Constangy Management Training Center © 2008 Where do I begin?

8. The Constangy Management Training Center © 2008 The Investigator should be.. A Fact Finder A Fact Finder Unbiased Unbiased The Employer’s Eyes and Ears The Employer’s Eyes and Ears Not be affiliated with either party Not be affiliated with either party

9. The Constangy Management Training Center © 2008 PLANNING Create an Outline: Known facts Known facts Facts that must be gathered Facts that must be gathered All potential witnesses All potential witnesses All potential documents All potential documents Order of witnesses Order of witnesses

10. The Constangy Management Training Center © 2008 The Interviews Do not lead Do not lead Do not provide answers Do not provide answers Do not agree/disagree Do not agree/disagree General to Specific General to Specific Ask open ended questions Ask open ended questions

11. The Constangy Management Training Center © 2008 The Interviews Ask the tough questions! Ask the tough questions! Get details Get details Request supporting documentation Request supporting documentation Any more witnesses? Any more witnesses? Is there anything else? Is there anything else?

12. The Constangy Management Training Center © 2008 Interviewing the “Accused” Know the accused’s history Know the accused’s history Permit response to the accusations Permit response to the accusations Any additional witnesses? Any additional witnesses? Any documents? Any documents? NO retaliatory conduct!!! NO retaliatory conduct!!!

13. The Constangy Management Training Center © 2008 The Interview Notes Fact not opinionsFact not opinions Review for accuracy with intervieweeReview for accuracy with interviewee Write with a third-party in mindWrite with a third-party in mind

14. The Constangy Management Training Center © 2008 Concluding the Investigation Evaluate the evidenceEvaluate the evidence What action should be taken?What action should be taken?

15. The Constangy Management Training Center © 2008 What Action Should Be Taken? How severe was the conduct?How severe was the conduct? How frequent were the incidents?How frequent were the incidents? Relationship between the accused and the accuser?Relationship between the accused and the accuser?

16. The Constangy Management Training Center © 2008 What Action Should Be Taken? If no wrongdoing: If no wrongdoing: –Notify both parties –Thank both parties for cooperating in investigation –Reinforce company policy

17. The Constangy Management Training Center © 2008 The Position Statement Tell your story Tell your story address all facts - good and bad address all facts - good and bad Obtain sworn statements from all witnesses Obtain sworn statements from all witnesses Include relevant documents – not all documents Include relevant documents – not all documents CLOSE ALL HOLES!!!!! CLOSE ALL HOLES!!!!!

18. The Constangy Management Training Center © 2008 Questions?