The Workplace Investigations Process

A step-by-step guide to the workplace investigation process.

Workplace investigations are essential for maintaining a compliant, safe, and productive environment. Whether you’re handling employee grievances or dealing with allegations of misconduct, an effective investigation ensures fairness and transparency. This case study outlines the best practices for conducting workplace investigations in 2024, ensuring compliance with Australian employment law and promoting a positive workplace culture.

Workplace Investigations: Addressing Employee Complaints

The Incident

In a mid-sized manufacturing company, several employees raised complaints about a manager who was allegedly creating a hostile work environment. The accusations included verbal abuse, discrimination, and unethical conduct. Given the severity of these claims, the HR department launched a formal workplace investigation to resolve the issue.

Step 1: Establishing Clear Workplace Investigation Procedures

The company had a well-documented workplace investigation policy that aligned with the latest Fair Work Commission guidelines. This ensured that the investigation began promptly, with all parties being fully informed of their rights and responsibilities. Establishing clear procedures is crucial for avoiding common workplace investigation pitfalls, ensuring legal compliance, and protecting the company’s interests.

Step 2: Appointing an Independent Workplace Investigator

To ensure impartiality, the company hired an external workplace investigator with expertise in handling employee grievances. Using an independent investigator minimises internal bias and enhances the credibility of the investigation process. The investigator was given access to the company’s policies and background information, ensuring they had all the context needed to conduct a fair and thorough investigation.

Step 3: Gathering and Documenting Evidence

The investigator followed a structured process to gather evidence, which included interviewing the complainants, the accused, and relevant witnesses. Each interview was documented using a standardised employee investigation report template to ensure consistency. Additionally, confidentiality in workplace investigations was strictly maintained to protect the integrity of the investigation and encourage openness from all participants.

Step 4: Analysing Findings Based on Natural Justice Principles

After collecting the evidence, the investigator analysed it according to natural justice principles. This step ensured that both the complainants and the accused had opportunities to present their sides of the story. The use of an impartial, evidence-based approach ensured that the investigation adhered to best practices and workplace standards.

Standard of Proof in Australian Workplace Investigations

In workplace investigations, the standard of proof required in Australia is the balance of probabilities. This means that the investigator must determine whether it is more likely than not that the alleged misconduct or behaviour occurred. This is a lower threshold than the criminal standard of “beyond reasonable doubt,” which applies in criminal cases. In practical terms, the investigator must weigh the available evidence and make a decision based on which version of events is more credible and probable, considering all the circumstances.

By applying this standard, employers can ensure that their findings are legally defensible and meet the requirements outlined by the Fair Work Commission and Australian employment law.

Step 5: Communicating the Investigation Outcome

Once the findings were fully reviewed, the investigator concluded that the manager had breached the company’s policies on acceptable workplace behaviour. The investigation’s outcome was shared with both the complainants and the accused, following a clear communication process. The company responded swiftly by implementing appropriate disciplinary measures in line with the severity of the misconduct.

Step 6: Implementing Post-Investigation Measures

To prevent future issues, the company implemented several workplace culture training programs aimed at improving conflict resolution and communication. Additionally, the company revisited its grievance procedures to ensure that employees could easily report any future concerns. These post-investigation actions not only addressed the immediate issue but also improved overall workplace morale.

Lessons Learned: Best Practices for Workplace Investigations

Establish Robust Policies: Every company should have clearly defined and legally compliant workplace investigation procedures before issues arise.
Impartial Investigations: Using an independent investigator is key to maintaining fairness and objectivity, especially in serious allegations.
Ensure Confidentiality: Maintaining confidentiality encourages participants to be more candid and protects the integrity of the investigation.
Document Findings Thoroughly: Use structured templates to document each phase of the investigation, from evidence collection to the final outcome.
Follow Through with Preventative Measures: Implement training and policy updates after the investigation to prevent future issues and improve workplace culture.

Conclusion

Effective workplace investigations require a structured, unbiased approach that complies with legal standards. By following these best practices, HR professionals can handle investigations fairly and maintain a positive work environment. Whether it’s addressing employee grievances or handling misconduct allegations, thorough investigations are crucial to organisational success in 2024.

Assistance with the workplace investigations process

If your organisation is facing workplace investigation claim or if you want to ensure you’re prepared to handle these situations properly, it’s essential to seek expert guidance.

David Haydon is highly experienced in conducting impartial workplace investigations and advising organisations on best practices. He can be contacted directly for advice and support regarding workplace bullying and harassment claims.

David is an employment relations specialist, highly experienced workplace investigator and independent HR consultant. David works with clients Australia-wide.

David Haydon
Employment Relations Specialist, Workplace Investigator and HR Consultant