Case Studies | Workplace investigations and culture reviews

The Workplace Investigation Process.

Alleged policy breaches (bullying, sexual harassment, dishonesty, criminal activity), whistle blower complaints, performance management issues, discipline, workplace injuries, underperforming teams and team dynamics issues.

Case Study

Employee Theft

The client’s finance manager detected a shortfall between what their accounting system recorded as revenue, to what was deposited in the company’s bank account. A cursory review could find any reasons as to why – all the banking deposit slips and cash counts seemed to be correct.

After a comprehensive review of the situation by ER Focus it was detected that while the banking deposit slips had been filled out, the physical money hadn’t been deposited at the bank as alleged by the employee responsible. The employee had initially given a plausible excuse that sums of money had been deposited using an express business deposit (EBD). The employee had also been forging the signatures of the Prosegur employee on deposit slips where onsite cash collection took place and then taking the cash for their personal use. The employee in question – regarded as very reliable and hard working – repeatedly denied the allegations and it was only after an exhaustive review of CCTV that the facts were proven beyond doubt and the employee admitted to the theft.

Result : Working constructively with the employee and the police all of the money (over $50K) was paid back. The employment was subsequently terminated.  ER Focus also provided strong recommendations about updating the company’s policies about cash management, regular auditing by managers and training.

Case Study

Bullying and Harassment Situation

An anonymous complaint was made through the company’s whistle-blowers hotline about a junior HR Manager’s conduct with several employees at a work site.

The investigation : An investigation was then conducted in which interviewed employees at the site were asked to keep matters confidential. It was established that the accused had been physically interacting with employees during discussions. For example, one particular employee reported that they had been physically restrained from leaving a room when a discussion with the accused got emotive. Another employee reported that the accused had instructed them to bypass their manager because their manager was a poor communicator.

The result : Following the initial investigation, we assisted the client in crafting written allegations and applying a disciplinary process. In the end, the defendant (HR Manager) resigned as part of an amicable settlement.

Independent Workplace Culture Reviews

Case Study

Transforming a Toxic Workplace Environment

A Case Study on the Positive Impact of an In-Depth Workplace Culture Review Abstract: This case study explores the positive outcomes of conducting an in-depth workplace culture review to identify and address a toxic work environment. Through the utilisation of comprehensive interviews and workshops, a collaborative and consultative process was employed as part of an improvement plan. The implementation of various processes, including team meetings, coaching, and leadership development, resulted in a significant transformation of the workplace environment, fostering a healthier and more productive atmosphere for employees. A substantive improvement in business performance was also evident in terms of service levels, customer feedback and retention and revenue.

  1. Introduction: In many organisations, toxic workplace environments can have a detrimental impact on employee morale, productivity, and overall organisational success. Recognizing the need for change, Company XYZ, a medium-sized company in the manufacturing/logisitcs industry, initiated an in-depth workplace culture review to uncover underlying issues and implement effective strategies for improvement.
  2. Methodology: To gain a comprehensive understanding of the workplace culture, we conducted in-depth interviews with employees at all levels of the organisation – frontline workers, supervisors, and mangers. These interviews were aimed at identifying key pain points, concerns, and areas requiring improvement. Additionally, workshops were conducted to provide a safe and collaborative space for employees to share their experiences and suggestions for change.
  3. Identifying the Toxic Workplace Environment: Through the interviews and workshops, several issues contributing to a toxic workplace environment were identified. These included lack of communication and transparency, excessive workload and unrealistic expectations, ineffective conflict resolution strategies, and a lack of opportunities for growth and development.
  4. Collaborative and Consultative Process: Recognising the importance of involving employees in the transformation process, Company XYZ established a collaborative and consultative approach. Regular team meetings were introduced to foster open communication channels, enabling employees to voice concerns, suggest ideas, and collaborate on solutions. This participatory approach empowered employees and made them feel valued, creating a sense of ownership and responsibility for the workplace culture.
  5. Coaching and Leadership Development: To address leadership deficiencies and promote a positive work environment, Company XYZ implemented a coaching and leadership development program. Managers and supervisors received training on effective leadership strategies, communication skills, conflict resolution techniques, and the importance of fostering a supportive work environment. we also use feedback and development tools such as the Human Synergistics LSI, Clifton’s strength assessment (by Gallup) and the Hogan pyschometric tool. This investment in leadership development played a crucial role in driving positive change throughout the organization.
  6. Positive Outcomes: The implementation of the improvement plan led to several positive outcomes within Company XYZ.
  •  Firstly, open lines of communication were established, allowing employees to express concerns and offer suggestions for improvement. This resulted in a significant increase in employee engagement and morale.
  • Secondly, the workload was reassessed and distributed more evenly among teams, reducing stress and burnout. Employees reported a healthier work-life balance, leading to increased productivity and job satisfaction.
  • Thirdly, the implementation of coaching and leadership development programs led to more effective and supportive leadership within the organization. Managers and supervisors developed stronger interpersonal skills, leading to improved employee-manager relationships and increased trust.
  1. Sustaining the Positive Changes: To ensure the sustainability of the positive changes, Company XYZ implemented regular check-ins, employee satisfaction surveys, and continuous feedback mechanisms. These practices allowed the organisation to monitor progress, identify areas for improvement, and address any emerging issues promptly.
  2. Conclusion: By conducting an in-depth workplace culture review and implementing a collaborative and consultative approach, Company XYZ successfully transformed a toxic work environment into a healthier and more productive one. Through open communication, coaching, leadership development, and ongoing monitoring, the organisation was able to sustain the positive changes and create a culture of respect, trust, and growth. The case study serves as an example of how organizations can address toxic workplace environments through proactive measures, resulting in improved employee well-being and organisational success.

Safety Investigations and Correction Action Plans

Expertise in detailed safety investigations and corrective action plans in Manufacturing, Logistics/Transport and Trade Retail environment

Case Study

Forklift-Pedestrian Collision in Western Sydney Overview:

In Western Sydney, a collision occurred between a forklift and a pedestrian within an industrial setting. The incident was primarily attributed to a blind corner, the lack of a working horn, and a breach of the exclusion zone.

Description: At an industrial facility in Western Sydney, a pedestrian, Lisa, was walking near a blind corner within the warehouse. Simultaneously, a forklift, operated by David, was approaching the blind corner. Due to the obstructed view caused by the blind corner, the lack of a working horn on the forklift, and a breach of the exclusion zone, a collision occurred between the forklift and Lisa.

Contributing Factors:

  1. Blind Corner: The presence of a blind corner obstructed the line of sight for both the forklift operator and the pedestrian. The limited visibility increased the risk of a collision as neither party could anticipate each other’s presence.
  2. Lack of Working Horn: The forklift’s horn was not functioning correctly, eliminating an essential auditory warning system. The absence of a working horn limited the operator’s ability to alert pedestrians to their presence, reducing the chances of avoiding a collision.
  3. Exclusion Zone Breach: Lisa unintentionally breached the designated exclusion zone while walking near the blind corner. The breach of the exclusion zone compromised her safety and further exacerbated the collision risk.

Actions Taken: Following the incident, immediate actions were taken to address the contributing factors and prevent similar incidents:

  1. Corner Visibility Improvement: The blind corner was reevaluated, and measures were taken to improve visibility. Mirrors were installed, and additional signage indicating the presence of the blind corner was strategically placed to enhance awareness for both pedestrians and forklift operators.
  2. Forklift Horn Repair: The company promptly repaired the forklift’s horn to ensure its proper functioning. Forklift operators were reminded of the importance of regularly checking and maintaining all safety equipment on their vehicles.
  3. Exclusion Zone Reinforcement and Training: The company reinforced the importance of adhering to exclusion zones and implemented training programs to educate employees about the significance of staying within designated pedestrian areas. This included specific training for forklift operators to raise their awareness and emphasize the need to exercise caution around blind corners.

Conclusion: The collision between a forklift and a pedestrian in Western Sydney demonstrated the critical role of visibility, auditory warnings, and adherence to exclusion zones in preventing accidents. By addressing the contributing factors through improved corner visibility, repairing the forklift’s horn, and reinforcing exclusion zone protocols, the company aimed to enhance safety and minimize the risk of future incidents.

Case Study

Successful Win/Win Enterprise Agreement Negotiation

Introduction: A key category within the Employment Relations (ER) remit is management of collective agreements (or EBAs).  This case study showcases an enterprise agreement (EBA) negotiation that ended peacefully and as a win/win outcome, despite initial tensions that nearly led to protected action. The planning phase for the negotiation started 12 months prior to the nominal expiry date, with a focus on potential productivity improvements and costings for competitive wage increases as an offset. The negotiation process involved a potentially hostile employee representative group representing multiple factions. Through careful planning and maintaining a focus on common goals, a successful agreement was reached, which included a competitive wage increase, no industrial action, the inclusion of a 7-day roster, and time worked taken in lieu, which was important to employees.

Background: The company is a large organization with a diverse workforce. The existing enterprise agreement was due to expire, and negotiations were required to establish a renewed agreement. The employee representative group comprised multiple factions, each with different priorities and demands. The negotiation process aimed to address wage increases, working conditions, and the implementation of a 7-day roster system.

Planning Phase:

  1. Early Planning: The company recognized the importance of early planning and began the process 12 months before the nominal expiry date of the existing agreement. This allowed ample time for research, data analysis, and strategizing.
  2. Identification of Objectives: The company defined its objectives, focusing on maintaining positive employee relations, ensuring a competitive wage increase, and implementing a 7-day roster system to replace weekend overtime. It also aimed to avoid protected action and maintain a productive work environment.
  3. Productivity Improvements: As part of the planning phase, the company identified potential productivity improvements and costings that could offset the financial impact of wage increases. This proactive approach helped demonstrate the company’s commitment to addressing employee concerns while ensuring the organization’s sustainability.

Negotiation Process: Creating a Collaborative Atmosphere: The negotiation process began with a focus on creating a collaborative atmosphere. Both parties acknowledged the importance of open and respectful communication to achieve a mutually beneficial outcome. Regular meetings and feedback sessions were scheduled to address concerns and provide updates.

  1. Understanding Diverse Employee Needs: The company acknowledged the existence of multiple factions within the employee representative group. Through extensive consultations, it sought to understand the specific needs and priorities of each faction, ensuring inclusivity and fair representation during negotiations.
  2. Demonstrating Flexibility: The company maintained a flexible approach throughout the negotiation process, recognizing the need to accommodate various demands within certain boundaries. This willingness to adapt and find creative solutions helped build trust and fostered a sense of partnership between the company and employee representatives.

Win/Win Agreement:

  1. Competitive Wage Increase: The negotiation resulted in a competitive wage increase that met the expectations of the employee representatives. The company’s early planning, including the identification of productivity improvements, allowed for financial flexibility to support the wage increase.
  2. Avoidance of Industrial Action: Through constructive dialogue and finding common ground, the negotiation successfully avoided any industrial action, preserving the company’s productivity and reputation. This outcome was crucial for maintaining a positive work environment.
  3. Implementation of 7-Day Roster: To address concerns about weekend overtime and work-life balance, the negotiation resulted in the inclusion of a 7-day roster system. This change allowed employees to have more predictable schedules and eliminated the need for excessive overtime. Additionally, the negotiation ensured that time worked was taken in lieu, further enhancing work-life balance.
  4. Employee Satisfaction: The win/win agreement addressed the key priorities of the employee representatives and their respective factions, resulting in a high level of employee satisfaction. By actively listening to their concerns and finding practical solutions, the company demonstrated its commitment to the well-being and welfare of its workforce.

Conclusion: Through early planning, flexibility, and a focus on common goals, the enterprise agreement negotiation successfully achieved

Further reading