1. PREVENTIVE LAW WORKSHOP Investigating Employee Misconduct Mary Elizabeth Kurz, Vice Chancellor and General Counsel Dianne Sortini, Director, Employee Relations &Training N.C. State University 14 November 2001

2. Importance of Developing Investigative Skills n Defend supervisory judgments n Comply with contractual obligations/policy n Comply with legal requirements n Avoid potential legal liability n Treat employees fairly

3. Potential Legal Claims n Negligence n Invasion of Privacy n Intentional Infliction of Emotional Distress n Defamation n Wrongful Discharge n Violation of Civil Rights Laws n Violation of Constitution Rights n Breach of Contract

4. When Faced With An Allegation What Questions First Arise in Your Mind? n What responsibility do I have? n What type of liability am I faced with if I act or don’t act? n How do I handle this correctly? n How do I investigate this matter? n Who can I go to for assistance?

5. Objectives of Today’s Workshop n Acquaint you with the basics of good investigation techniques n Provide basic information on who to contact for assistance

6. Is an Internal Investigation Necessary?

7. Is an investigation necessary? n Anonymous complaints n He said/She said n Observed behavior/No complaining party

8. Who Investigates? n Determine the nature of an issue before initiating an informal investigation. n Determine what the university’s objective is with respect to resolving the issue. n Decide who should be a part of the investigative team.

9. Investigative Plan n Determine what policies, regulations, rules, procedures, or practices apply to the matter. n Obtain all relevant documents. n Determine who should be interviewed and in what order.

10. Investigative Plan (cont’d) n Determine what questions you will ask. n Anticipate questions you may be asked. n Develop introductory and closing statement for your interviews.

11. Conducting an Effective Interview n Initial meeting with complaining party n Perception of your fairness and objectivity n Gathering the evidence n Who,What, When, Where, Why, How n Chronological Account n Names of persons to interview n Copies of relevant documents n Concluding the interview

12. Closing Statement n What are next steps n Non-retaliation n Confidentiality n Witness statement n Additional information (documents, witnesses, other information remembered after interview) n Suggestions for resolution/Univ. decision

13. Introductory Statement n Nature of Investigation/University’s responsibility to investigate n Neutrality n Confidentiality n Non-retaliation, importance of truthful responses n Request for lawyer/other person to be present

14. Meeting with the Accused Party n Explain the issue n Get a detailed account of the events (chronological) n Gathering the evidence n Denial of accusations/or won’t participate n Concluding the interview n Note taking

15. Interviewing Witnesses n Introductory statement(what you are investigating, etc. n Neutrality/ no conclusions reached n Witness co-operation (truthful information) n Non-retaliation, confidentiality n Questioning the witness n Closing the interview

16. Before Closing the Interview n Review the witnesses answers to confirm accuracy. n Invite the witness to provide any additional information if it comes to mind. n Relate the seriousness of the investigation. n Remind the witness of the confidentiality of the investigation. n Your follow-up memo.

17. Reaching a Decision n Examine objective facts in chronological order n Timeliness in raising the issue n Pattern and Practice n Motivation n Truthfulness

18. Assessing Credibility n Demeanor n Logic/consistency of story n Conflicting statements n Corroborating evidence n Circumstantial evidence

19. Documentation of Investigation n Create separate investigative file. n Make log of investigator’s actions, calls by date. n Keep contemporaneous and final interview notes for each witness. (succinct and objective facts; not feelings, beliefs or assumptions) n Keep all communications to and from witnesses, including complainant(s). n Keep all draft and final witness statements. n Keep all relevant business records.

20. Writing the Investigative Report n Investigative background n University policies, practices, etc. at issue n Key factual findings on each issue n Analysis of key factual findings n Conclusion

21. Hypothetical Case

22. Questions