Diane Olsen, Employee Relations April 2014 Effective Workplace
Investigations for HR Business Partners JDSU Confidential - Do Not
Forward Outside Company
Slide 2
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 2 Agenda Overview 10 Steps to a Successful
Investigation Resources Q&A
Slide 3
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 3 Determine what happened Stop problems
quickly Reinforce company policies, including our commitment to
maintain a respectful, harassment-free environment Encourage
reporting of complaints Restore productive and healthy work
environment Protect the company from legal exposure Desired
Outcomes of a Effective Investigation
Slide 4
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 4 Discovering Workplace Problems Workplace
problems may surface as: Formal complaints Anonymous complaints
Reports by managers and supervisors Indirect complaints Information
from departing workers Workplace observations Third party reports
Complaints raised directly can appear: In person, via email, exit
meetings, Ethics Hotline, etc. Complaints raised indirectly can
appear: Anonymous letters, survey feedback, rumors, attorneys*,
government agencies*, co-worker observations, Ethics Hotline, etc.
* Please notify ER and/or your regional Senior HRBP immediately if
you are notified of a complaint (by mail or phone) by an attorney
or government agency
Slide 5
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 5 Discovering Workplace Problems, continued
Potential sources of complaints include: Current and former
employees Non-JDSU workers (temps, independent contractors) Vendors
Customers Job candidates Visitors Anonymous parties Family
members
Slide 6
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 6 Obligations of Employees Although the
situation triggering an investigation can surface in various ways,
our obligation to investigate doesnt depend upon on how the problem
is raised We generally have a practical and legal obligation to
take appropriate action regarding complaints, and A duty to
investigate before taking action, if necessary Global policies that
reinforce our duty to investigate include: Code of Business Conduct
(CoBC) Equal Employment Opportunity Unlawful Harassment Including
Sexual Harassment Communications and Resolution of Differences
(Open Door)
Slide 7
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 7 Code of Business Conduct (CoBC):
Maintaining the highest ethical standards is the responsibility of
every member of the JDSU community Anyone with a concern regarding
a possible ethics or legal violation should contact a manager or
supervisor, HR representative, or any member of the internal audit
(IA) or legal teams In addition, all employees are required to
cooperate fully with any authorized internal or external
investigations Managers/supervisors, HR, IA, & Legal are held
to a higher standard Required to report potential ethics or
compliance related complaints, whether or not the complaint is
within the organization or reporting chain Never ignore a complaint
brought to your attention, and Never discourage anyone from
reporting a complaint or concern Obligations of Employees,
continued
Slide 8
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 8 Confidentiality We must protect the
confidentiality of employee complaints to the best of our ability.
At the same time, we need to conduct a prompt and effective
investigation. Therefore, it may not be possible to keep all
information gathered (evidence, research and notes) completely
confidential. Explain to the complaining party and all individuals
involved in the investigation that information gathered will remain
confidential to the extent possible, and as required by country
laws, to conduct a thorough investigation In order to conduct a
prompt and effective investigation, some information may need to be
revealed to the alleged wrongdoer and potential witnesses, but that
information will be shared on a strict need to know basis Inform
investigation participants that the investigation is to be kept
confidential and not discussed with other employees* Important note
regarding U.S. complaints, we cannot require participants to keep
an investigation confidential as discussing an investigation could
be considered protected concerted activity under the NLRA (National
Labor Relations Act). However, we can request they maintain
confidentiality to enable a thorough and efficient investigation,
reduce distractions, etc. *
Slide 9
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 9 Confidentiality, continued What if a
complainant asks you not to share their serious concerns and/or not
to investigate (keep it between us, do nothing, or keep it off the
record)? Never promise/guarantee; honoring this request could place
other employees at risk Doing nothing places the company at risk
for liability due to failure to investigate and/or failure to take
prompt remedial action Once we are on notice of an alleged serious
incident (for example, harassment) the employer is obligated to
investigate despite the complainant's request not to take action
Advise the complainant that you must act on the complaint but will
proceed as confidentially as possible Ask the complainant to share
their concerns about an investigation Is it necessary to advise
others about the complaint? Typically, the accused party will be
advised that a complaint has been made against him/her; however,
the timing and content of these conversations should be planned and
vetted in advance It may not be necessary or prudent to immediately
notify the alleged wrongdoer that a complaint has been raised; the
same applies to the complainant's manager
Slide 10
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 10 Employees are protected against
retaliation for submitting a good faith complaint and for
participating in a workplace investigation Retaliation can create
independent legal liability for the company even if no wrongful
conduct regarding the original complaint is found Recognize every
complaint has the potential to turn into a retaliation claim Take
steps to protect all investigation participants from potential
retaliation Advise the complainant that if the accused party or
anyone else takes any action that s/he believes is retaliation,
s/he should report it immediately Stress to the accused party that
no negative action (or appearance of negative action) may be taken
against the complainant, or anyone participating in the
investigation Advise all witnesses that participation in the
investigation will not have negative repercussions --- and make
sure that it doesnt. Advise them to report to you immediately
anything that appears to be retaliation The HRBP investigator and
manager need to monitor the situation to ensure no retaliation
occurs Retaliation
Slide 11
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 11 Agenda Overview 10 Steps to a Successful
Investigation Resources Q&A
Slide 12
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 12 10 Steps to a Successful Investigation
Get Started 1.Determine if an investigation is needed 2.Provide
interim relief, as necessary 3.Select an investigator Gather
Information 4.Plan the investigation 5.Conduct interviews 6.Gather
documents and other evidence Make and Document your Decision
7.Evaluate the evidence 8.Take action 9.Document the investigation
10.Follow up
Slide 13
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 13 10 Steps to a Successful Investigation
Get Started 1.Determine if an investigation is needed 2.Provide
interim relief, as necessary 3.Select an investigator Gather
Information 4.Plan the investigation 5.Conduct interviews 6.Gather
documents and other evidence Make and Document your Decision
7.Evaluate the evidence 8.Take action 9.Document the investigation
10.Follow up
Slide 14
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 14 All complaints require a response;
however, not all complaints require an investigation. To decide
whether you should investigate, consider: Is there is a dispute
over what happened? If those involved agree on the essential facts,
you may be able to focus on problem resolution; if there are
disagreements, an investigation will help clarify what happened How
serious is the alleged misconduct? What is the nature of the
complaint? With serious complaints (for example, CoBC violation,
harassment, discrimination, retaliation), the company is on notice.
We have a duty to conduct a good faith investigation, and failing
to investigate can lead to legal exposure and costly ramifications.
Are we legally required to investigate? Certain laws specify that
employers are legally obligated to investigate complaints Whats the
potential scope of the complaint? Large scale complaints (multiple
employees, departments, and/or geographies, long period of time)
can have a highly negative impact on the workplace (loss of
productivity, impact on morale, loss of talent, damage to company
reputation). Step 1: Determine if an Investigation is Needed
Slide 15
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 15 How have similar complaints been
handled? If company practice shows we generally investigate the
same or similar problems, act consistently and investigate If legal
issues arise later, youll want to show that you were fair and
consistent, and that you treated complaints with equal concern When
in doubt, err on the side of investigating If the decision is made
to investigate, start promptly after the problem is discovered or
reported. This demonstrates the Company is serious about addressing
complaints The longer we wait to address an issue, the worse it may
become and opportunities for learning and correction may be lost If
you have a good reason for waiting, put it in writing Step 1:
Determine if an Investigation is Needed, continued Dont prejudge
the authenticity of a complaint due to any persons previous or
related complaints, complainant or alleged wrongdoer behavior or
history, complaint patterns at certain sites or departments,
etc.
Slide 16
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 16 If a situation is disruptive or
emotionally charged, or potentially impacts the health and safety
of employees or the business (for example, assault, bringing
weapons to work) you may need to take interim action before the
investigation starts, or before the investigation is complete.
Interim relief can help maintain the integrity and timeliness of
the investigation by reducing distractions/interference Examples of
interim relief include temporary transfer (change in shift,
manager, building, etc.), reassignment, working from home, paid*
leave/suspension, however Complainants should not be involuntarily
transferred or burdened in a way that could appear to be
retaliatory (and may result in a retaliation complaint). The
employer and the complainant should work together to arrive at a
reasonable solution Consider interim relief for the complainant,
alleged wrongdoer, and/or witnesses; separating the alleged victim
from the accused may be necessary to guard against actual /
perceived retaliation Anticipate potential retaliation claims from
any impacted parties and be able to justify interim actions
accordingly Contact ER with issues regarding actual/potential
workplace violence so appropriate assessments can begin immediately
*Avoid unpaid leave/suspensions during the investigation for
practical and legal reasons Step 2: Provide Interim Relief, as
necessary
Slide 17
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 17 Step 3: Select an Investigator The role
of investigator is crucial in conducting an effective workplace
investigation Requirements of an HR investigator Experienced and/or
well trained in investigations Knowledge of company policies,
practices, and employment laws Credible and approachable; objective
and without personal bias; perceived as neutral and fair by
complainant Respected within the organization, as conclusions will
be used to make a determination Ability to serve as a key
professional witness in case of escalation or litigation The
investigator is typically the organization HRBP; however,
alternative approaches may be appropriate Engage HRBP from
different organization as investigator if complainant or the
accused perceives HRBP as having a bias or a role in the complaint
Coordinate use of multiple interviewers if time or scope requires
this, or if you want to include a witness to confirm statements or
events, take notes, etc. ER will sometimes assume ownership of an
investigation, due to sensitivity or nature of complaint Contact ER
before proceeding if you have any questions or concerns
Slide 18
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 18 10 Steps to a Successful Investigation
Get Started 1.Determine if an investigation is needed 2.Provide
interim relief, as necessary 3.Select an investigator Gather
Information 4.Plan the investigation 5.Conduct interviews 6.Gather
documents and other evidence Make and Document your Decision
7.Evaluate the evidence 8.Take action 9.Document the investigation
10.Follow up
Slide 19
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 19 Staying well organized is critical as
investigations can be complex (conflicting allegations and
supporting facts, numerous witnesses with different accounts of
what happened, identifying and sorting through multiple documents,
establishing clear timeline, etc.) Utilize the investigation
processes, tools and templates that the Company has established (HR
Investigation Toolkit: Investigation Considerations, and if
applicable, Fact Finding Checklist for Harassment Investigations).
Not using these tools increases the risk that your approach will
not be thorough and/or consistent with established practices Review
the investigation plan periodically; amend as needed Always feel
free to discuss your plan with ER Step 4: Plan the
Investigation
Slide 20
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 20 Elements of your investigation plan
should include: Goals and purpose for the investigation Applicable
JDSU policies, guidelines and/or applicable laws Decision makers
and stakeholders Approach to interviewing Who will be interviewed,
and in what order Where, how and when interviews will take place
(on-site, by phone, off-site) Select locations that are secure,
private, and comfortable; ensure seats are arranged so that
interviewee may leave without being blocked (avoid false
imprisonment allegations); anticipate safety concerns and engage
Security as appropriate Prepare an outline of questions for each
interview Anticipate length of interview, including breaks and time
to summarize notes / observations Be prepared to explain the nature
of the investigation (in general for witnesses; in more detail for
the subject(s) of the investigation) Anticipate questions that may
be asked of you Determine what documents need to be reviewed
(personnel file, email*, memos, etc.) Establish a method to secure
your files, notes and/or records Step 4: Plan the Investigation,
continued *Contact ER if email evidence is required; keep in mind
email maximum retention periods
Slide 21
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 21 General interviewing techniques Be
mindful of what you say in every interview (for example, withhold
speculation and personal opinions, do not make negative comments
about current or former employees) Obtain the facts (who, what,
when, where, why, how ) using open-ended questions, then ask
specific questions as required Avoid leading and compound questions
Be considerate; ask interviewees to let you know if they need a
break, water, etc. If participant avoids answering a question, go
back to that question again, or ask why they do not or cannot
answer the question Start with the easy questions; ask embarrassing
or unfriendly questions at the end Interview one person at a time,
even if witnesses ask to meet with you as a group Do not allow
interviewee to bring an attorney, or (in general) another party to
the interview; contact ER for specific guidance Do not use strong
arm or intimidating interview tactics (for example, if an employee
wants to end the interview, let them leave) Complete your notes
after each interview Objectively observe and record the
interviewees demeanor/behavior (eye contact, fidgeting) Note any
inconsistent or conflicting statements, or admissions/denials
Capture relevant statements in quotes, when possible Assess the
plausibility of any explanations provided Step 5: Conduct
Interviews
Slide 22
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 22 Content of investigative interviews
Inform each interviewee of the process and roles Your role as
investigator is to gather information; explain that you will be
taking notes Interviewees role is to provide investigator with
knowledge and documentation regarding the incident, and suggestions
regarding other potential witnesses Stress that no conclusions have
been reached Ask interviewee to clarify their responses, as needed
(for example, vague or general answers, unsure of a participants
meaning, names, timeframes, etc.) Before ending the interview, ask,
Is there anything else that is important for me to know? and Is
there anyone else who witnessed or experienced this
incident/behavior? Ask each person to provide you with any relevant
documentation (email, etc.) Set expectations regarding
confidentiality; stress that retaliation is not tolerated Close
with an open-ended invitation for the interviewee to contact you if
they remember anything later, or to provide you with additional
information that they believe is relevant (documents, statements,
witnesses, etc.) If needed, re-interview later (for example,
conflicting or unclear information, or if additional information is
brought forward that should be investigated) Step 5: Conduct
Interviews, continued
Slide 23
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 23 Some statements and questions will apply
only to the complainant and the accused Interview with the
complainant Ask if the complainant believes you can conduct a fair
and impartial investigation Ask the complainant what they would
like to see happen as an outcome Interview with the accused party
State that they are the subject of an investigation, and share the
nature of the complaint Explain that no decision has been made at
this time If there is resistance to answering questions, explain:
Your obligation to investigate Your conclusion will be based upon
information obtained Unwillingness to cooperate will be a factor in
your determination If alleged misconduct is denied, explore
possible motives for the accusations. Ask: Do you have any idea why
s/he would make these allegations? Are there any past conflicts or
problems with the complainant? Why do you think the complainant
would make the accusations? Is there any documentation that would
support the alleged wrongdoers position? Are there any witnesses
that the accused believes should be interviewed? Step 5: Conduct
Interviews, continued
Slide 24
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 24 Documentation can play a huge or a
supporting role in the investigation Gather documentation from
involved parties, plus all additional evidence found during the
investigation: Interview notes and observations Documents provided
by complainant, interviewees, alleged wrongdoer Company policies
and procedures Emails, documented instant messages, correspondence
Performance reviews Disciplinary records; documentation of verbal
warnings, written warnings, CAPs Calendar entries and notes,
diaries Attendance records, work schedules, badge (building access)
reports Payroll and timecard records Applications, resumes, work
samples Customer or co-worker complaints Expense reports Postings
to company bulletin boards Step 6: Gather Documents and other
Evidence
Slide 25
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 25 10 Steps to a Successful Investigation
Get Started 1.Determine if an investigation is needed 2.Provide
interim relief, as necessary 3.Select an investigator Gather
Information 4.Plan the investigation 5.Conduct interviews 6.Gather
documents and other evidence Make and Document your Decision
7.Evaluate the evidence 8.Take action 9.Document the investigation
10.Follow up
Slide 26
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 26 Review all evidence and interview notes
Are there facts to which everyone agrees? Consider grouping
evidence into two categories: disputed and undisputed facts What
are the major disputes/points of contention? Regarding each
dispute, what did witnesses state? Does documentation support
allegations, witness statements, denials? Assessing credibility
(complainant, accused, witnesses) Plausibility: what makes the most
sense? Are there prior incidents or a history of misconduct? How
general or specific was each persons statements? Corroboration and
conflicting testimony: do witnesses or documents support one side
of the story? Does the evidence contradict statements from
interviews? Demeanor: how did the witnesses act during interviews?
Omissions: did anyone leave out important information? Is there a
sensible reason for any omissions? Consider the source of the
information (firsthand or secondhand knowledge?) Motive: does any
person have a motive to lie about, exaggerate, or deny the
incident? Are there loyalties that may impact witness statements?
Step 7: Evaluate the Evidence
Slide 27
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 27 Dont rush towards a conclusion; re-check
as necessary Consider getting a 2nd opinion; have an objective
party (ER, senior HR manager or senior line manager) review your
investigation and conclusions reached Make a determination 1.No
misconduct occurred 2.Results are inconclusive 3.Misconduct
occurred Before recommending an action plan, consider severity,
consistency, company policy, employee history, knowledge that
behavior was misconduct, and strength of evidence Provide your
recommendation to management and/or stakeholders Demonstrate
conclusion was reached in good faith, based on facts (not
opinions), and that you followed established investigation
processes Work with decision makers to plan remedial actions Step
7: Evaluate the Evidence, continued
Slide 28
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 28 Follow up with the complainant, accused
party, and witnesses (where applicable) to close the investigation;
prepare and deliver conclusion notification documents in a timely
manner, even if there was no finding of misconduct Share actions
taken on a business need-to-know basis; some outcomes will be
obvious (termination or reassignment), others are more subtle
(coaching, training) so reassure complainant that appropriate
action was taken Corrective actions may include verbal coaching,
training, communication, written warning, transfer, corrective
action plan (CAP), termination, revising or creating new policies
or processes Any corrective action needs to be tailored to the
specific situation; however, contact your senior HR manager and/or
ER for past practice Document actions as appropriate; use
Corrective Action templates If applicable, establish a change
management plan. As with any unplanned termination, transfer,
reassignment determine what's appropriate to communicate without
divulging personal/private information. Conduct 1:1s, group
meetings, etc., per your plan Contain speculation; enable people to
get back to work Step 8: Take Action
Slide 29
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 29 Summarizing the investigation and
keeping supporting documents intact are critical steps to protect
the company if the investigation is challenged in the future Lost
notes or undocumented investigations make it difficult to prove we
took the complaint seriously, and conducted a timely and thorough
investigation Undocumented statements can become fuzzy or disappear
from memory; participants may not be available later due to
attrition, etc. Prepare all documentation in anticipation of
litigation. Be factual, accurate and clear; do not overstate or
include your opinion Do not dispose of any documents without
speaking to ER or an attorney Use JDSU investigation templates
Comprehensive and legally approved Ensures consistent treatment of
complaints Creates risk if investigative processes NOT used when
established by the Company Increases confidence in the process,
enables you to focus your energy on the investigation, saves
countless hours Step 9: Document the Investigation
Slide 30
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 30 Your investigation documentation and
file should include: The written complaint or your notes from
meeting with the complainant All interview notes and interview
process, including who was interviewed, who conducted interviews,
date/location of interviews, etc. Copies of all relevant documents,
policies, or other evidence Investigation summary - even if results
are inconclusive; send copy to ER Any follow up actions (corrective
action plans, training, changes in process/policy, etc.) Conclusion
documents for all involved parties, as appropriate If corrective
action was taken against an employee, the employees file should
include a notice of the discipline imposed or termination reason,
as applicable. The HRBP must ensure that signed corrective action
documents are sent to HRD and added to employees personnel file.
Keep your investigation file in a secured location, and transfer
the file to ER or new HRBP if you change jobs Remember that all
documents are discoverable; write as if your documentation will
become exhibits at trial Include investigation info and results in
the quarterly ethics report to ER Step 9: Document the
Investigation, continued
Slide 31
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 31 Check back periodically with involved
parties, as appropriate, after the investigation is closed
Determine if additional action is needed (for example, training,
communication, process reviews) Follow through on action
commitments as outlined in the investigation results summary. Check
in with manager and other responsible parties to ensure they are
following up on actions assigned to them Continue to respect
confidentiality; do not share investigation information with anyone
without a business need-to-know Remind employees to report
additional workplace concerns to HR or management; ensure employees
know that retaliation is not tolerated Monitor future Employee
Engagement results for trends or comments that may indicate if
issues were fully addressed, and/or if issues resurface, as well as
comments regarding retribution Step 10: Follow up
Slide 32
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 32 Agenda Overview 10 Steps to a Successful
Investigation Resources Q&A
Slide 33
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 33 Resources: the Investigations
Toolkit
Slide 34
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 34 Resources: the Investigations Toolkit,
continued
Slide 35
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 35 Investigation Considerations provides
detailed guidance, including: Planning the investigation The
initial conversation with complainant Being prepared for the
unexpected Interviews Complainant Alleged wrongdoer Witnesses
Investigation notes Analysis of findings Implementation Follow-up
Resources: the Investigations Toolkit, continued
Slide 36
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 36 Use the Fact Finding Checklist for
Harassment Investigations in conjunction with Investigation
Considerations. Note: also applicable for non-sexual harassment
claims, including harassment due to age, race, disability, national
origin, sexual orientation, etc. Identifying types of misconduct
Physical Verbal Visual Dates and times Frequency of occurrences
Establishing context Effect on the complainant Relationship of the
parties Employer knowledge of harassment Corroborating evidence
Resources: the Investigations Toolkit, continued
Slide 37
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 37 Resources: the Investigations Toolkit,
continued
Slide 38
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 38 Excerpt from JDSU to Complainant Issue
Confirmation Letter Note statements re: Expectations,
Confidentiality, and Retaliation
Slide 39
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 39 Resources: the Investigations Toolkit,
continued
Slide 40
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 40 Your Employee Relations / HR4HR Team:
Contact us regarding the following case types: Harassment
Discrimination Retaliation Substance abuse Other unlawful conduct
Workplace violence including TROs (temporary restraining orders)
that include the workplace Or if youd like a sounding board during
any investigation Resources Diane OlsenMaureen Higgins
Slide 41
2013 JDS Uniphase Corporation | JDSU CONFIDENTIAL AND
PROPRIETARY INFORMATION 41 Agenda Overview 10 Steps to a Successful
Investigation Resources Q&A