The Workplace Investigation Process

Handling Workplace Investigation Complaints

Workplace investigations are essential for addressing serious issues such as alleged policy breaches (e.g., bullying, sexual harassment, dishonesty, criminal activity), whistleblower complaints, performance management issues, disciplinary actions, workplace injuries, underperforming teams, and team dynamics concerns. Handling these complaints properly is crucial to maintaining a healthy work environment.

Fact-Based Decision-Making in Workplace Investigations

Good, reliable, and defensible decisions are always grounded in the facts. It’s no surprise that when we are engaged to conduct a workplace investigation, we prioritise process and detail to establish the truth behind an incident or issue. This fact-based approach ensures that outcomes are fair and just.

Importance of Complaint-Handling Protocols

As organisations strive to create healthier work environments and ensure compliance with labour laws, investing in well-defined complaint-handling protocols is crucial. By doing so, they can navigate the complexities of workplace investigations with confidence, ensuring that justice is served and the workplace remains a safe and equitable space for all.

Ensuring Fair and Defensible Outcomes in Workplace Investigations

In the absence of clear-cut policies, we apply well-established processes to ensure that the investigation is both substantively and procedurally fair. This approach leads to outcomes that are defensible and justifiable, reinforcing the organisation’s commitment to a fair workplace.

Outcomes of Workplace Investigations:

No Action

If the investigation finds that the allegations are unfounded or lack sufficient evidence, no further action may be taken against the respondent.

Mediation or Conflict Resolution

In cases where the issue may be resolved through dialogue, mediation or conflict resolution processes might be initiated to address the underlying concerns without formal disciplinary measures.

Disciplinary Action

If the allegations are substantiated, the respondent may face disciplinary action, which could range from a formal warning to termination, depending on the severity of the breach.

Policy or Procedure Review

The investigation may reveal gaps in current company policies or procedures, leading to revisions or additional training to prevent future issues.

Legal Action

In cases involving serious breaches of the law, such as sexual harassment or discrimination, legal action may be pursued either by the company or the complainant.

Don’t have clear policies in place to handle investigations?

We can apply our own established procedures that will be reliable and defendable.

Need help establishing your policies? Contact us for assistance

Workplace Investigation Consultancy

We will look at the situation from all angles and considerations before advising clients. Depending on the context of the situation and what client instructions are, we generally conduct an investigation and derive any allegations based on the appropriate standard of proof.

In most cases this is as per the civil standard, as explained by the High Court in Briginshaw, of each of the allegations. We also advise many clients to conduct sensitive investigations under the instruction of our legal partner so as it is protected by legal professional privilege.

Key Terminology and Outcomes in Workplace Investigations

Workplace investigations can vary significantly depending on the nature and severity of the issue at hand, ranging from minor safety breaches to serious allegations such as sexual harassment. Understanding the key terms and potential outcomes is crucial for navigating the investigation process effectively.

Key Terminology:

Complainant

The individual or group who raises a concern or lodges a formal complaint about another employee’s behaviour, actions, or conduct that they believe breaches company policies or legal standards.

Respondent(s)

The employee(s) against whom the complaint has been made. Respondents are required to respond to the allegations during the investigation process.

Allegations

The specific accusations or claims of behaviour that are believed to violate company policies, workplace standards, or legal requirements. Allegations must be clearly articulated and supported by evidence during the investigation.

Show Cause Letter

A formal letter issued to the respondent(s) giving them the opportunity to provide a final response to the allegations before a determination is made. The letter typically outlines the allegations, the evidence gathered, and requests the respondent to explain why disciplinary action should not be taken.

Senior Female Investigator Services

Depending on the context, we can provide experienced senior female investigators if required by our clients. Our team offers expertise and sensitivity in handling complex investigations, ensuring thorough and professional outcomes tailored to your needs.

Workplace Investigation Procedures

The Power of Clear Workplace Policies and Procedures

Having conducted numerous workplace investigations, our seasoned investigator attests that the easiest cases to handle procedurally are those that originate from organisations with well-defined complaint-handling protocols. These procedures offer several key advantages:

Clarity in handling complaints

Effective procedures outline the exact steps to be taken when a complaint is lodged. This includes the process for reporting, documentation requirements, and the designated personnel responsible for managing complaints.

Assigned roles and responsibilities

Clear procedures specify who will handle complaints, whether it’s an internal HR team, an external investigator, or a specialised committee. This ensures that the right individuals are entrusted with resolving the issue.

Support for complainants and respondents

The best procedures provide guidance on how to support both complainants and respondents throughout the investigation. This includes ensuring a fair and respectful process for all parties involved.

Structured assessment of allegations

Effective procedures outline how to assess and determine the validity of allegations, categorizing them as substantiated, unsubstantiated, or unable to be determined. This clarity helps in making informed recommendations.

Established timeframes

Procedures should include recommended timeframes for each stage of the investigation, ensuring that the process is completed efficiently. This not only benefits the involved parties but also contributes to a timely resolution.