Avoiding Retaliation

1. Avoiding Retaliation

2. Welcome • This training course was developed by WeComply, a leading provider of ethics and compliance training since 1999. The course is also available online from any Internet-connected computer. • WeComply offers 60+ courses on a wide range of business ethics and compliance topics. Each course helps employees spot key compliance issues and respond appropriately. • This course is designed and licensed for classroom use in parallel with WeComply's online course on the same topic. This course may not be hosted on a learning management system or distributed to employees individually by electronic or other means without WeComply's prior authorization. • For more information about this course or others, whether for classroom use or online access, please e-mail info@wecomply.com or call 1-866-WeComply.

3. Introduction • Thank you for participating in our Avoiding Retaliation training course. This course will help you to understand what retaliation is and how to avoid it while carrying out your day-to-day managerial responsibilities. • At the end of this material, you'll take a quiz that presents hypothetical situations for you to analyze. Respond correctly to move through the quiz and earn a Certificate of Completion. • Please keep in mind that this material is provided for informational purposes only and is not intended as legal advice. If you have questions or need legal advice about how any of this material applies to your job responsibilities, please direct them to your supervisor or the Legal Department. 1 of 15

4. Retaliation Rates on the Rise • Surpassed Race as Category with Most EEOC Filings in 2010 • The U.S. Equal Employment Opportunity Commission (EEOC) reported that retaliation charges have skyrocketed during the last decade. With more than 36% of the charges filed under all civil-rights statutes in 2010, retaliation surpassed race as the type of claim filed most often. One employment litigator commented, "Practitioners have awoken in the last decade to the need to include retaliation in their cases. Fundamentally, juries may or may not agree with you about sex or race discrimination, but every one of them who has ever worked understands retaliation." 2 of 15

5. Overview • When an employee accuses a supervisor of misconduct, it may be difficult to treat the employee impartially • Supervisor may take a defensive position • Supervisor may want to treat the employee with disdain or bias • A supervisor who takes adverse action against a complaining employee may face a claim of retaliation • Every supervisor must understand retaliation and how to avoid it 3 of 15

6. What Is Retaliation? • Retaliation claim is a three-step process • Employee engages in a protected activity such as making a complaint or participating in an investigation • Supervisor takes adverse action against the employee, such as termination, discipline, transfer or other unwelcome treatment • 3. Employee shows supervisor took adverse action because of protected activity • Consider subjective factors when determining whether an action is "adverse" 4 of 15

7. What Is Retaliation? (Cont’d) • Retaliation claim is a three-step process • Employee engages in a protected activity such as making a complaint or participating in an investigation • Supervisor takes adverse action against the employee, such as termination, discipline, transfer or other unwelcome treatment • 3. Employee shows supervisor took adverse action because of protected activity • Consider subjective factors when determining whether an action is "adverse" 5 of 15

8. What Is Retaliation? (Cont’d) • Retaliation claim is a three-step process • Employee engages in a protected activity such as making a complaint or participating in an investigation • Supervisor takes adverse action against the employee, such as termination, discipline, transfer or other unwelcome treatment • 3. Employee shows supervisor took adverse action because of protected activity • Consider subjective factors when determining whether an action is "adverse" 6 of 15

9. Pop Quiz! • Ed filed a complaint against his supervisor, Maria. Maria's other employees have taken her side and have stopped inviting Ed to weekly training lunches. What should Maria do? • Nothing — this is just between co-workers. • Intervene if it goes beyond lunch invitations. • Tell the employees to stop singling Ed out for mistreatment. 7 of 15

10. Why Retaliation Matters • All supervisors and managers must take retaliation seriously • Penalties for retaliation are severe and supervisors may be held personally liable in some cases • Retaliation claims are hard to defend • Retaliation claims can exist independently of an underlying wrong • Internal complaints are better than external ones (e.g., to the EEOC) 8 of 15

11. Retaliation Considerations • Before making decisions that affect an employee who may have engaged in protected activity, consider — • Whether the decision appears connected to the protected activity • Why you are taking the action • Whether you would take the same action against other employees • How the employee or an objective observer would view this action • Treat a complaining employee with respect and ensure others do the same 9 of 15

12. Pop Quiz! • Roger, an XYZ Inc. manager, supervises Jan, who recently filed a complaint against XYZ. Roger needs to make a lot of scheduling changes, including one that will affect Jan. Should Roger make the changes he has in mind? • Yes, as long as he isn't doing so to retaliate against Jan. • Maybe, but not without taking into account how it will affect Jan. • No, because Jan has complaint pending. 10 of 15

13. Sound Management Practices • To avoid retaliation issues, adhere to sound management practices • Make all employment decisions for sound reasons and in a timely fashion • Don't label employees as “troublemakers,” “complainers,” etc. • When documenting employment action, don't mention an employee's protected activity unless that activity is directly relevant • Avoid disparate treatment among employees, especially as to discipline 11 of 15

14. Sound Management Practices (Cont’d) • To avoid retaliation issues, adhere to sound management practices • Make all employment decisions for sound reasons and in a timely fashion • Don't label employees as “troublemakers,” “complainers,” etc. • When documenting employment action, don't mention an employee's protected activity unless that activity is directly relevant • Avoid disparate treatment among employees, especially as to discipline 12 of 15

15. Alert! • Documentation Tips • Prompt documentation of all your employment actions is your best defense against a retaliation claim. You can protect yourself from the penetrating gaze of 20-20 hindsight by following these tips when preparing documentation: • Be accurate and truthful: Deliberate deceit or exaggeration may well come back to haunt you. • Be thorough: At a minimum, in the case of discipline for example, your documentation should describe the employee's misconduct, recount the employee's explanation of his or her behavior (if any), and explain the action you took and your reasons for doing so. • Review your documentation: Re-read what you've written from the perspective of someone unfamiliar with the employee and the incident. Does it communicate valid reasons for your action and explain why you acted fairly under the circumstances? • Have someone else review it: In particularly difficult situations, ask someone from HR or the Legal Department to review your documentation. 13 of 15

16. Responding to Complaints • When receiving complaints — • Listen carefully and take all complaints seriously • Assure the employee there will be no retaliation for coming forward • Know our policies and procedures for responding to complaints • Do not promise the employee absolute confidentiality • Report complaints to Human Resources and/or the Legal Department • Make clear your willingness to receive any complaint and take appropriate action in all cases 14 of 15

17. Final Quiz 15 of 15

18. About WeComply • WeComply is a leading provider of customized ethics and compliance training solutions. We are committed to providing the best-of-breed training content, technology and customer service. • Specializing in ethics and compliance training since 1999 • 60+ ethics and compliance training courses in 42 languages • Content partners include the Association of Corporate Counsel (ACC), Proskauer Rose and White & Case • 500+ clients of all sizes and in all industries 1-866-WeComply

19. Course-Delivery Options • WeComply offers training courses in multiple delivery formats to reach all employees -- not just those with computers: 1-866-WeComply • Online – available 24/7 from any computer • Mobile – tablets and smartphones • Offline optionswhen Internet access is unavailable: • PowerPointwith presenter notes for classroom training • PDF booklets with tear-off certifications • CD-ROM/intranetwith tracking via e-mail • Phone-based training and certification

20. Online Training Benefits • While classroom training has certain advantages, it can be challenging to implement in large and/or geographically dispersed companies. Consider these advantages of online training: • Better Attendance • Higher Completion Rates • Less Impact on Productivity • Perfect for New Hires • Convenient for Remote Locations • Available in 42 Foreign Languages • Easy Access to Courses • Periodic Refreshers Blended Benefits Get the best of both worlds by providing classroom training where feasible and online training elsewhere – all centrally tracked and organized for easy monitoring and reporting.