Fact Pattern

• You are the HR Director for Large Software Manufacturer. You are located at the main office in Dallas, Texas.
• The main office consists of Sales/Marketing, the CEO, CFO, HR-Recruiting, Engineering, and a small team of in-house counsel.
• There are 9 other offices located throughout the US.
• Large Software Manufacturer creates and augments software that is used by consumers in the insurance industry (health, automobile, home, and life).
• There are federal and state regulations that guide that industry along with requirements for reporting certain data.
• Stakeholders are regulators, investors, and consumers.
• Large Software Manufacturer is governed by a Board of Directors.
• You have received complaints from two employees through the on-line human resource portal.
• Both employees have provided their names and contact information.
• Key scenario individuals include:
  • Simone Turner, a university student completing an internship with Large Software Manufacturer
  • Kay Parsons, Regional Manager of Large Software Manufacturer in the Iowa Regional Office; supervisor ("field instructor") for Simone Turner's internship
  • Ben Highline, Compliance Manager, and licensed attorney, in the Iowa regional office
  • Michael Macoliver, Regional Director, to whom Kay Parsons reports

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Please draft a memorandum detailing the pros and cons of opening an investigation given the information provided. The memorandum will become part of your files and the information you include will be useful for informing management, attorneys, and others about the matter. In drafting your memorandum, please consider all you have learned in the modules thus far. At a minimum, you should address the points listed below.

1. Explain what you see as legal and non-legal reasons to open an investigation.
2. How do you treat the allegations associated with Ben?
3. How do you treat the allegations associated with Michael?
4. Is there a duty to investigate?
   1. Why or why not?
5. What are the litigation risks associated with investigating Ben?
6. What are the litigation risks associated with investigating Michael?
7. Do you weigh these risks together or separately?
8. What would be the goals of investigating Ben's actions?
9. What would be the goals of investigating Michael's actions?

Employee Complaint Statement #1 - Simone Turner re: Ben Highline March 15, 2022 To: Human Resources From: Simone Turner, Intern Subject: Employee Statement (1 of 2) To whom this may concern in HR at the main office, my name is Simone Turner. I am currently an intern in the Iowa regional office. I was asked by Kay Parsons, my internship eld instructor to write the following statement regarding a situation that I experienced with my colleague, Ben Highline. I joined Large Software Manufacturer as an uncompensated intern in July 2021. This is the first time Large Software opened the internship opportunity with my university. I work in one of the 9 regional offices, in Iowa. My "field instructor\Within the first month of my internship, I felt like I was getting the cold shoulder from one group of people. I was ignored by this group during team meetings and not included on all group emails concerning progress, key decision making, and data analysis. One member, Ben Highline, who is an attorney, specifically made me uncomfortable. I was told that Ben's job as a team member was to evaluate and interpret policies and regulations and ensure the team's adherence to them throughout the project and that sometimes he could come across as gruff. During meetings, I felt like Ben seemed to squash my participation by constantly verbally undermining my effort, interrupting me while giving feedback and degrading my education and background. He doesn't seem shy about his disapproval of me because he does this in front of other team members. There are instances where the team leader, Denise, laughs at Ben's comments and also dismisses anything I have to offer. Additionally, I started noticing that Ben was visually scanning my body when I entered and exited meeting rooms, not just team meetings but also staff meetings, or even when we crossed paths, whether it be entering and exiting the office building, or walking in and out of the office suite. This internship means the world to me because I have worked very hard my whole life to get my degree. I am on two other teams that make me feel welcome and accept my interaction and feedback. I meet with Kay as we scheduled, not all the time but pretty much. Sometime in September, I told her what was happening during the team meetings. She suggested that I reflect and take notes, like a journal. She explained that I needed to strategically problem solve as would be the case \"in life\" and in line with accomplishing my goals for the internship and ultimately graduation. I was ready to pitch my project proposal to Kay and Michael by November. As Regional director of our regional office, Michael is responsible for all decision making. Kay and Michael approved my proposal, so we then met to discuss next steps, including my tea m's assembly for my project. However, Michael told me that before my new team could officially meet or the project move forward, he wanted Ben to meet with me 1 on 1 to ensure that all the relevant polices and regulations were identified and interpreted. It was not until this meeting occurred and Michael followed-up with Ben that he would give approval. I scheduled a meeting with Ben for mid-November. In preparing to meet with Ben, I decided that I would remain completely professional and take notes. I have been impressed with Ben's knowledge and expertise. I met with him in our main team meeting room with the door open and ultimately our meeting wasn't as bad as I thought it could be. Near the end of November, Management approved the project to move forward, and I chose my team members. My team did not include Ben. However, then Michael told me that Ben would be assigned as a primary member of my team and fully participate in all activities of development and execution of my project. I wasn't bothered that Ben was on the project, but I did worry that he would be a distraction and behave as he had on my other team. I was afraid that Ben could diminish my efforts, potentially compromising the project's completion and therefore jeopardizing my graduation. Time passed and I was pleased with the progress on my project and with my participation on other teams. I guess I learned to deal with Ben's "attitude\" since he wasn't behaving as badly as when we worked with the other team. All the projects that l was working on [total of 4 including mine) were in different phases of development. Some of my teams were traveling while others were working on finalizing steps for software development and working with developers to incorporate what we had learned. Ultimately, my project was underway, and I was accomplishing my goals towards graduation. As I worked and traveled with some of my teams, I learned a lot about my colleagues, even establishing friendships of sorts. Some people were open to \"party" during travel while others kept to themselves. Eventually as I got to know certain people, I compared my observations about Ben and experiences with him to theirs. For example, Maria, our administrative assistant, accompanied one of my teams during a trip to help with administrative matters. She was a lot of fun and super outgoing compared to when she was in the office. During this trip, Maria told me during a late+night outing that Ben made her feel creepy, but she had never said anything since Ben and Michael seemed to be friends. She couldn't put her finger on it but couldn't create any waves since she needed her job as she was the only person to care for an elderly parent. Other colleagues also affirmed my perceptions and experiences with Ben and even Michael, while others provided additional information. One time while I was at another regional office, someone shared with me that Ben had a revolving computer screen saver of Victoria's Secret models. About two years ago, Ben was told to remove the screen saver after another employee complained. A colleague in another regional office, told me that they received derogatory emails from Ben but just deleted them. They said that some ofthe emails even included Michael as a recipient, on the cc line. Another person shared with me that about four years ago, an employee tried to officially make a complaint against Ben but the complaint never "went anywhere". This happened about 4 years ago. I really don't want to create any problems, l have basically at this point learned to accept everyone in the office and their characteristics. I feel like accepting people for how they are is strategic problem solving and by doing so, lam guarding against any potential confrontation and problems with my graduation. l was told early on that there were no opportunities for employment with Large Software Manufacturer once the internship was over because there had been cutbacks. However, sometime in October, I heard rumors that a position could become available. To be honest, lam hoping that I can display what is needed to be a valid employee with Large Software Manufacturer. On the morning of February 8'\was about 2 weeks prior to Ben's giving me the same document. I told my husband later this same day, but he cautioned me not to say anything. He thought that speaking up might jeopardize my chances for getting a job at Large Software. Ididn't say anything for about 2 weeks but as I thought about the incident, I couldn't keep it in and decided I wanted to talk to Kay. I sent Kay a text message and asked if we could meet for coffee prior to starting the next workday. Kay agreed to meet at a local coffee shop near the office the next morning. During this meeting, I showed Kay the document that I found online and explained what had happened with Ben on February 8. Kay discussed the incident at great length with me. She also brought up the exchange between Michael and me in the team meeting, regarding my project's outcomes and next step towards software development. She said she was approached by some of my project team members about that meeting. She had not asked me earlier about the exchange because I but because i hadn't mentioned it to her, and she thought everything must be okay. She encouraged me to explain my side of the story about what transpired with Michael in the team meeting. I told her everything from my perspective. After this meeting, Kay gave me the option to contact Human Resources and file a complaint. She told me she would be willing to assist me in any way possible. This is my statement regarding Ben Highline. I will provide a copy of the document that was given to me, on request. Employee Complaint Statement #2 Simone Turner re Michael Macoliver March 15, 2022 To: Human Resources From: Simone Turner, Intern Subject: Employee Statement [2 of 2) To whom this may concern in HR, I was asked by Kay Parsons, my internship field instructor, to write the following statement regarding a situation that I experienced with my colleague, Michael Macoliver. I really don't want to create any problems. I have basically at this point learned to accept everyone in the office and their characteristics. | feel like accepting people for how they are is strategic problem solving, and by doing so I am dissuading any potential confrontation and problems with my graduation. I joined Large Software Manufacturer as an uncompensated intern in July 2021. This is the first time Large Software has opened the internship opportunity with my university. I work in one of the 9 regional offices, in Iowa. My \"field instructor", Kay, is my direct supervisor and a university alumna. l have to work (intern) 4 days or 30 hours per week for 11 months while attending classes. I have to create a project for my internship that demonstrates my understanding of how changes in regulatory policy (state and federal) impact Large Software Manufacturer and how such changes may flow to stakeholders, including regulators, investors, and consumers. Kay and I meet pretty much every week for 30 minutes. Sometime in September, I told her that l was experiencing intimidation in one of my teams and she offered me suggestions on how to deal with it, including to reflect and take notes, like a journal. She explained that I needed to strategically problem solve as would be the case \"in life". I do not know how much of what I shared with Kay was shared with Michael who is the regional office director and responsible for all decision making. One requirement of my internship was to pitch a project to Kay and Michael by November with the idea that my project would be completed by graduation. (The project is required to meet graduation requirements.) My pitch was successful, and I met with Kay and Michael to discuss next steps, including my team's assembly. However, Michael told me that before my new team could officially meet or the project move forward, he wanted Ben Highline to meet with me 1 on 1 to ensure that all the relevant polices and regulations were identified and interpreted. Michael advised that he not approve the project until Ben and I met, and Michael followed up with Ben. My discussion with Michael occurred in midNovember. I was nervous about meeting with Ben because he was one of the ones associated with the intimidation I had experienced. I felt that if Michael knew that I had problems with Ben he would not have made me meet with him 1 on 1. I met with Ben as required and, in late November, Michael approved my project and told me that Ben would be assigned as a primary member of my team. Ben would fully participate in all activities of development and execution of my project. I wasn't bothered that Ben was on the project, but I did worry that he would be a distraction and behave as he had on my other team. I was afraid that Ben could diminish my efforts, potentially compromising the project's completion and therefore jeopardizing my graduation. As I worked and traveled with some of my teams, I learned a lot about my colleagues, even establishing friendships of sorts. Some people were open to \"party" during travel while others kept to themselves. Eventually as I got to know certain people, I compared my observations ab0ut Ben and experiences with him to theirs. For example, Maria, our administrative assistant, accompanied one of my teams during a trip to help with administrative matters. She was a lot of fun and super outgoing compared to when she was in the office. During this trip, Maria told me during a late-night outing that Ben made her feel creepy, but she had never said anything since Ben and Michael seemed to befriends. She couldn't put her finger on it but couldn't create any waves since she needed her job as she was the only person to care for an elderly parent. Other colleagues also affirmed my perceptions and experiences with Ben and even Michael, while others provided additional information. One time while i was at another regional office, someone shared with me that Ben had a revolving computer screen saver of Victoria's Secret models. About two years ago, Ben was told to remove the screen saver after another employee complained. A colleague in another regional office, told me that they received derogatory emails from Ben but just deleted them. They said that some of the emails even included Michael as a recipient, on the cc line. Another person shared with me that about four years ago, an employee tried to officially make a complaint against Ben but the complaint never "went anywhere". This happened about 4 years ago. l was told early on that there were no opportunities for employment with Large Software Manufacturer once the internship was over because there had been cutbacks. However, sometime in October, I heard rumors that a position could become available. To be honest, I am hoping that I can display what is needed to be a valid employee with Large Software Manufacturer. One day about halfway through my project (approximately mid-January), Michael participated in one of my project's team meetings and announced that he wasjoining the team and would fully participate as a member in all activities. Up until this point, Michael had only met with my team briefly and it was with Kay to get updates on accomplishing milestones on any data gathered. My team was finally in the data analysis phase with finalizing reports and validating the information used to compile the reports. 1 don't know why Michael was joining our team. Michael didn't have membership on any other project to my knowledge. Everyone on the team seemed to be on the same page until out of the blue during a meeting, Michael announced that he would be taking the collective data from all the reports for his own analysis. All the team members, including Ben, appeared visibly shocked because the team agreed early on in the project (before Michael joined) that we would conduct all phases ofthe project together. Further, I was the designated project team leader as part of my internship and graduation requirements. Now Michael seemed to be taking over. Stunned and speechless, I felt like I had to \"deal with the decision" since I really had no official recourse and Michael was "going to do what he wanted to do" given his role in the nf'Fir'o Regardless, the next time I met with Kay I told her of my discomfort with the situation and concern for meeting graduation requirements, as my internship would be up in about 3 months. Kay suggested that the team and | conduct our own analysis without Michael and that l delegate pieces of the analysis to individual team members. She suggested that the team then meet without Michael to discuss each other's findings. She assured me that this step would be appropriate from a quality assurance perspective anyway. So, I proceeded accordingly. In late February, the team met again, with Michael in attendance. l was prepared with the team's analysis for comparison with Michael's. Our findings differed from Michael's. Michael disagreed with what we found. He wanted to approach the main office and software developers with a part of his analysis. However, his analysis was fundamentally incorrect because it did not incorporate all of the available information the team actually collected. Ultimately, leaving out the missing data would affect the totality of what would be gathered by the software. Further, according to regulations, the information if available, must be included for reporting. The team's work found that the information was in fact available because it was being collected by consumers. Thus, a method to collect the data should be written into the software. However, the way Michael portrayed his analysis made it seem as ifthe information wasn't being collected at all. I immediately objected with the support of all the team members. Michael became red faced, breathing hard and slammed his fists on the conference table, stating that he had just found a different way to report the numbers and this way was not "wrong\"! I firmly objected to the way in which Michael was reporting his numbers and refused to move forward on the project until the matter was settled. Michael stood up from the table and immediately left the conference room, slamming the door behind him. While Michael was known to be stern and direct, no one had ever witnessed this type of outburst by him. I did not talk to Kay immediately because I was trying to strategically problem solve as I had done with Ben and other colleagues in the beginning of my internship. l was also hoping that Michael and I could meet as professionals independent of the team to talk through the disagreement. Michael was scheduled to be on vacation the following 2 weeks after our meeting. As such, the project was at a standstill until he returned. Around this same time, I had an awful exchange with Ben. I previously wrote a statement about this experience. As I thought about the incident with Ben, I couldn't keep it in and decided that I wanted to talk to Kay. I sent Kay 3 text message and asked if we could meet for coffee prior to starting the workday. Kay agreed and we met at a local coffee shop near the office. Kay discussed the incident at great length with me. Kay also brought up the exchange between Michael and me regarding my project's outcomes and next step toward software development. Kay encouraged me to explain my side of the story about what transpired with Michael. This statement reflects what I told Kay. After the meeting, Kay gave me the option to contact Human Resources and file a complaint. Kay also explained that she would be willing to assist me in any way possible. Employee Complaint Statement #3 Kay Parsons on behalf of Simone Turner March 14, 2022 To: Human Resources From: Kay Parsons, Regional Manager, Iowa Regional Ofce Subject: Employee Statement To HR, my name is Kay Parsons. lam the Regional Manager of Large Software Manufacturer in the Iowa Regional Office. I am currently the university field instructor for Simone Turner, an intern working in our office. Ms. Turner approached me early on in her internship with concerns about her treatment by colleagues on one of the project teams in which she is participating. I told her to keep me updated and to reflect and keep a journal. I meet with Ms. Turner almost every week for 30 minutes. In our meetings, Simone sometimes expressed her continued discomfort with the team. She did not provide any details, noting only how annoying the team's treatment of her was. Ms. Turner is required to complete a project as part of her internship and graduation requirements. Michael Macoliyer, the iowa Regional Director, and I accepted Simone's project in early November. We met with Ms. Turner and her team periodically to discuss the project's performance. Sometime in late February, I was informed by some of Ms. Turner's team members that they were concerned for her project's completion following an uncomfortable exchange they witnessed between Ms. Turner and Mr. Macoliver. During a team meeting, Mr. Macoliver became red faced, slammed his fists onto the table and abruptly left the meeting room, slamming the door behind him. It was something to do with Mr. Macoliver wanting to falsify information that the team had collected. Ms. Turner's team members each expressed how positive they felt working with her. They noted that she exhibited great understanding for what our office does and demonstrated great leadership in identifying goals, developing project plans, and managing execution towards revising and developing current and new software. They also explained that they were worried for Mr. Macoliver because they had never seen him so angry. The team members were Alex Johnson, Marjorie Wagner, and Ben Highline. Separately, not long after my discussion with the team members, Ms. Turner requested me to meet with her individually for coffee out of the office prior to the workday. During this meeting she told me that Mr. Highline had given her a sexually inappropriate document (she found the document on a website and showed it to me). She described the interaction with Mr. Highline the morning he gave a copy of this document to her. She told me she gave him back the document and that the incident had occurred sometime the first week of February. During this same meeting with Ms. Turner, | asked her if there were anything else she wanted to tell me. She then explained the exchange between Mr. Macoliver and her during a meeting of her project team. She related how Mr. Macoliver and she disagreed about information learned on the project. She was upset because she felt as if he were lying, and that Large Software could get in trouble. She also was worried because she needs to complete her project by the end of May in order to meet graduation requirements. If she does not complete the project then she will not graduate until the following December. Furthermore, postponing completion would be possible only if Large Software agreed to extend her internship. Ms. Turner had met with me sometime in February regarding Mr. Macoliver's demanding to conduct his own analysis. I told her that the team needed to conduct their own analysis, without Mr. Macoliver, then meet with Mr. Macoliver and the rest of the team to discuss each other's findings. I presume that it was during this team meeting that the exchange with Mr. Macoliver happened. Mr. Macoliver is out of the office until the first week of April. As such, Ms. Turner's project might be at a standstill until he returns