InvestiPro HR Platform Overview

1. InvestiPro HR Platform Overview

2. Introduction Congratulations! Your company is partnering with InvestiPro to simplify and automate workplace investigations. InvestiPro is a cloud-based online platform that intuitively guides users through the investigation process. Your transition to InvestiPro will not only significantly save time in the investigation process, it will also instill confidence that all investigations are consistent throughout the company and compliant with legal requirements.

3. Introduction to: • InvestiPro Permissions & Roles • Investigation Workflow and Functions • InvestiPro Accounts

4. When you are setup as a user on your company account, you will be assigned access to the platform based upon one of three levels of permission; Administrator, Advisor or Manager. The company Administrator is the person in charge of your company account, and the one who determines if you will need access to the platform as an Advisor or Manager, as defined below. InvestiPro user Permissions Manager Managers have access only to investigations that they are assigned to take part in, in each location to which they are assigned. For example, they may be assigned to conduct interviews for investigations that include employees from their department. Advisor Advisors have complete access to every investigation in all locations to which they are assigned. They can view and edit information as needed. Generally Advisors are those who are regularly working on and often in charge of the investigation process.

5. Investigation Roles Each investigation has several roles. Each roles has a different function as you will learn in the next few slides. All roles can be completed by one person (the Investigator), or they can be assigned to different parties. Choosing the right person for the right role is key to effective investigations. We’ll start with the Investigator role. The role: Oversees the entire investigation, ensuring each step is completed in a compliant and timely manner. After the interviews, the Investigator conducts the final assessment, makes the final determination and proposes corrective and preventative actions for review by the Decision Maker. Most workplace investigations can be completed by an HR representative, a senior level manager, or the business owner. Qualifications: Unbiased, Respected, Prepared, Available Investigator

6. InvestigatorWorkflow • Investigator Keys to Success: • Focused - Ensure that time scheduled for investigations is uninterrupted time to ensure proper mindset and focus. • Confidential - Provide each investigation team member with confidentiality instructions and role training. • Timely - Schedule investigations to begin and conclude within a reasonable and compliant time frame. • Appreciative - Let your investigation team and all participants know that their efforts were appreciated.

7. Interviewer The role: Conducts one or all of the interviews, asking questions, assessing credibility, and listening for clues and inconsistencies. The Interviewer’s role is to establish a calm and respectful rapport with each interviewee, in order to encourage open discussion and obtain all information relevant to the incident(s) being investigated. Qualifications: Responsible, Calm, Fair, Inquisitive

8. Interviewer Workflow • Interviewer Keys to Success: • Focused – Ensure that time scheduled for investigations is uninterrupted time to ensure proper mindset and focus. • Prepared - Review pertinent policies and confidentiality instructions prior to each interview • Unbiased - Make sure that any preconceived opinions or agitation is left at the door before the interview begins. • Respectful - Remember that respect is a two-way street. What you provide is what (most often) will be returned.

9. Note Taker The role: In an interview, the Note Taker sits with the other parties and writes or types each word as it is being said. This leaves no room or misinterpretation. But the Note Taker can be of help in other ways as well. For example, if the interaction begins to get loud or hostile, they can interject and suggest that everyone be quiet for a moment while they catch up. The Note Taker can be an interpreter in the case of a language barrier. Also, they are a witness to everything that happens in the meeting and can provide input as to the credibility of the interviewee based on what was observed. During the interview, the Note Taker may ask clarifying questions to ensure the information is clearly understood. Qualifications: Quick, Approachable, Observant

10. Note Taker Workflow • Note Taker Keys to Success: • Welcoming - Help provide a safe and comfortable atmosphere for conducting difficult conversations. • Precise - Accurately transcribe the conversation, word for word, for defensibility in case of litigation. • Clear - Assist the Interviewer in assuring that any vague communications are clarified. • Neutral - Avoid discussing details for opinions with anyone other than Interviewer or Investigator.

11. The role: The Decision Maker is responsible for the final step in the investigation process and should be of sufficient level to represent the organization in matters of potential liability exposure. Most often, this is a CEO, VP, Director, Sr. Manager, or legal counsel, and there are no laws that preclude the Investigator from also taking on the role of the Decision Maker. However, allowing a separate party to make the disciplinary decisions based on the findings in the investigation provides as second layer or protection against a claim that the investigation was biased. Qualifications: Informed, Fair, Knowledgeable, Representative Decision Maker

12. Decision Maker Workflow • Decision Maker Keys to Success: • Accountable - Review the provided information and determine corrective and preventative action in a timely manner (usually within 48-72 hours). • Consistent - Understand the implications of inconsistent corrective actions. • Involved - Participate in the delivery of the outcome to involved parties if safety is a concern or an executive level employee is involved • Assured -Provide testimony on behalf of the organization in case of litigation.

13. How they Work together In any investigation, one investigator must take the responsibility of overseeing the entire investigative process. This, however, does not make the other roles any less important. The Investigator relies upon the Interviewer and the Note Taker to perform one of the most critical functions in the investigation. These two roles must work together to obtain and be witness to what can be highly emotional and private information, documenting every word without opinion or conjecture. The Investigator must trust the information provided in order to make an accurate final determination. The Decision Maker relies on the Investigator’s determination to assign appropriate corrective and preventative actions, ensuring consistent application according to company policy and past practice. Yay, teamwork!

14. Planning Phase The Planning Phase includes the Incident Report, Investigation Plan and Investigation Notices. This is where the Investigator is selected, and all of the incident information and parties to the investigation are entered. The Plan allows you to schedule interviews and assign the interviewers and notetakers for each interview. The Notices are auto-populated and can be provide by email at the click of a key, or printed and hand delivered to participants.

15. Incident Report • Assign an Investigator and Decision Maker. The platform will email the parties about the assignments. • List complainant, victim(s), accused, and witnesses with the contact information. • Include all information initially obtained defining the incident. If taking the information in person or by phone, include any clarifying questions asked. • All fields that are marked with an orange (*) must be filled in order to move to next step. “Save & Complete” must be selected in order to move to the next step. Once “Save & Complete” is selected the information saved cannot be edited.

16. Investigation Plan • Assign the interviewers and note takers, and who they will interview. • Choose the final Decision Maker. • Schedule interview dates, times and locations. • All fields that are marked with an orange (*) must be filled in order to move to next step.

17. Notice to Interviewees • Your company’s custom interview notices are created automatically by the platform. • Send via email at the click of a key, or print and mail or hand deliver notices. • Legal and government entities of the United States developed message • Notices may require signature if required by company Administrator. • Signed paper documents can be uploaded and attached to investigation file.

18. Interviews • Interviewer(s) only have access to the interviews they are assigned to conduct. • Ask listed core questions and add clarifying questions to obtain details. • Complete credibility assessment noting observations during the interview. • Add any new witnesses identified during the in interview, schedule the interview and provide investigation notices.

19. Determination Phase The Determination Phase includes assessing the information obtained from the Incident Report through the interviews. The platform provide a series of questions and statements provided to guide the Investigator to a consistent and compliant determination. The Investigator and the Decision Maker work together to decide on corrective and preventative actions appropriate to the findings and consistent with similar investigations for defensibility. The notices are provide to the complainant, victim(s) and accused only.

20. Assessment • Review information from incident report. • Review all interviews individually to decide if credible and if the individual interview substantiates the claim on it’s own. • Read assessment statements and choose response based on entire investigation. Add notes for clarification. • Conclude if the claim has been substantiated, not substantiated, or partially substantiated.

21. Determination • Review investigators summarized conclusion of each interview. • Review assessment statements, notes and conclusion. • Determine corrective and preventative actions for all interviewees. InvestiPro Corrective Action Plan

22. Final Notices • Send notices of final findings to the complainant, victim(s) and accused. • Send via email or print and mail or hand deliver. • Notification ensures defensibility by providing note of investigation to participants. • Legally CRITICAL to send in order to properly close the investigation

23. Prior to generating the “Final Report”, upload files that you wish to include as evidence such as emails, policies, audio or video files, etc. • The final report is available for Investigators & Decision Makers to review and print. • Personal Confidential, Medical or ADA Files should NOT be attached unless approved by the Company Administrator.

24. Workflow Overview Interview Phase Determination Phase Planning Phase Decision Maker Investigator Investigator Note Taker Interviewer Final Report Complaint Intake Interviewees Victim(s) Witnesses Accused

25. Contact us with your questions 800-779-8062 or 541-410-8840 CustomerService@goinvestipro.com TechSupport@goinvestipro.com Created By: Kelsie Kingston Last Update: 12/6/2017