Terms And Definitions For Workplace And Internal Investigations

A Workplace Investigation is a formal process used by an employer to gather facts and determine whether workplace policies or laws have been violated.

Below is a list of common terms and phrases for internal or workplace investigations, as well as a list of recommended training courses to help understanding the complexities and legal requirements for handling an investigation properly.

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• Allegation

  
  A claim of wrongdoing that has not yet been proven.

• Chain of Custody

  
  Documents the collection, custody, control, transfer, analysis, and disposition of evidence

• Complaint

  
  A report alleging misconduct, policy violations, or inappropriate behavior in the workplace.

• Complainant

  
  The individual who raises or reports a concern or complaint.
  

• Confidentiality

  
  The obligation to limit information sharing to those with a legitimate business need, while recognizing that absolute confidentiality cannot be guaranteed.

• Corroboration

  
  Evidence that supports or confirms statements made by a party or witness.

• Corrective Action

  
  Steps taken by the employer to address misconduct, which may include discipline, training, or policy changes.

• Credibility

  
  An assessment of the reliability and truthfulness of statements provided during the investigation.

• Disciplinary Action

  
  Consequences imposed for policy violations, up to and including termination of employment.

• Documentary Evidence

  
  Information that is relevant to the complaint and that is recorded in some way in physical form. Some examples of documentary evidence are employee time and attendance records, travel receipts, expense reports, supervisory or employee notes, performance appraisals, disciplinary warnings, email messages, sales reports, bills of lading, repair orders, and a variety of other records that are developed during the course of daily business operations

• Documentation

  
  Written records created during the investigation, including notes, reports, and evidence logs.

• Duty to Investigate

  
  An employer's legal and policy-based obligation to promptly and thoroughly investigate complaints.

• Evidence

  
  Information used to determine what occurred, including documents, emails, text messages, videos, and testimony.

• Findings

  
  The investigator's conclusions based on the evidence collected.

• Generational Differences

  
  The effects of the political, social, and economic forces that were in place when a person formed their views of what it means to work

• Impartiality

  
  The requirement that the investigator be neutral and free from conflicts of interest.

• Interim Measures

  
  Temporary actions taken during an investigation to protect individuals or the workplace (e.g., schedule changes, temporary reassignment).

• Investigator

  
  An impartial person responsible for conducting the investigation, which may be internal or external.

• Intake

  
  The initial step in the investigation process where the complaint is received, documented, and assessed.

• Intermittent Use of Family & Medical Leave

  
  Not taking all of the allotted FMLA Leave time at once, but instead breaking it up into smaller time periods

• Interview

  
  A structured conversation conducted to gather information from the complainant, respondent, or witnesses.

• Investigative Report

  
  A historical record that documents the organization's actions, such as the response to a complaint, and how the investigation was conducted

• Legal Hold

  
  A directive to preserve relevant documents and electronically stored information.

• Physical Evidence

  
  Evidence that is tangible, such as digital security videos, a damaged vehicle from an accident, tools, a damaged piece of machinery, a chemical substance (such as in a safety accident), water/fluid spilled on a floor, digital surveillance video, or physical bruise marks, cuts, or abrasions on an individual

• Preliminary Findings Meeting

  
  Meeting wherein investigators meet with leadership to share not only the investigative findings, but also past practices

• Qualified Privilege

  
  Permits persons in positions of authority or trust to make statements or relay or report statements that would be considered slander and libel if made by anyone else

• Preponderance of the Evidence

  
  A standard meaning it is more likely than not that the alleged conduct occurred.

• Policy Violation

  
  A determination that company rules or standards of conduct were breached.

• Retaliation

  
  Generally defined as illegal conduct or actions that harasses, demotes, terminates an employee, or takes other action affecting employment such as threats, unjustified negative evaluations, unjustified negative references, increased surveillance, or any other action such as an assault or unfounded civil or criminal charges that are likely to deter reasonable people from pursuing their rights

• Retaliatory Conduct

  
  Generally defined as actions against an employee, such as termination, demotion, or loss of pay

• Slander/Libel

  
  Occurs when a person or entity communicates false information that damages the reputation of another person or entity

• Standard of Proof

  
  The level of evidence required to support a finding, often the “preponderance of the evidence” standard in workplace investigations.

• Substantiated

  
  A conclusion that the evidence supports the allegation.

• Testimonial Evidence

  
  Stated evidence (e.g., initial complaints and witness interviews)

• The Age Discrimination Act

  
  Protects individuals who are 40 years of age or older from employment discrimination based on age. Protections apply to both employees and job applicants

• The Americans with Disabilities Act (ADA)

  
  Prohibits private employers, state and local governments, employment agencies, and labor unions from discriminating against qualified individuals with disabilities in job application procedures, hiring, firing, advancement, compensation, job training, and other terms, conditions, and privileges of employment

• The Drug-Free Workplace Act

  
  Requires some Federal contractors and all Federal grantees to agree that they will provide drug-free workplaces as a condition of receiving a contract or grant from a Federal agency

• The Equal Pay Act

  
  Requires that men and women be given equal pay for equal work in the same establishment. The jobs need not be identical, but they must be substantially equal. It is job content, not job titles, that determines whether jobs are substantially equal

• The Fair Labor Standards Act (FLSA)

  
  Regulates workplace practices related to minimum wage, overtime pay, and child labor. It prescribes standards for the basic minimum wage and overtime pay, and affects most private and public employment

• The Family and Medical Leave Act (FMLA)

  
  Requires certain employers to grant up to 12 weeks of leave during a 12-month period to eligible employees who need time off because of a ‘serious health condition" that they or someone in their family is experiencing

• The National Labor Relations Act

  
  Protects non-union and union employees against discrimination based on union-related activity or group action ("protected concerted activity"). Supervisors are not covered, but supervisors who have been discriminated against for refusing to violate the NLRA may be covered

• The Occupational Safety and Health Act (OSHA)

  
  Sets standards and conducts inspections to ensure that employers are providing safe and healthful workplaces

• Title VII of the Civil Rights Act

  
  Provides employees with protection from harassment, discrimination, and retaliation based on five protected classes: race, color, gender, religion, and national origin

• Employment and Reemployment Rights Act (USERRA)

  
  USERRA prohibits employment discrimination against a person on the basis of past military service, current military obligations, or intent to serve. An employer must not deny initial employment, reemployment, retention in employment, promotion, or any benefit of employment to a person on the basis of a past, present, or future service obligation

• Unsubstantiated

  
  A conclusion that the evidence does not support the allegation.

• Weingarten Rights

  
  Gives union employees the right to assistance from union representation during investigatory interviews

• Work/Life Balance

  
  Simply the balance between how much time you spend at work versus at home or doing lifestyle activities

• Workplace Misconduct

  
  Behavior that violates company policy or the law, including harassment, discrimination, retaliation, and bullying.

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