A safe and productive workplace is essential for any organization. If an employee’s conduct contradicts your values, company policies, or the law, you must act immediately. Investigating the matter quickly limits potential risks and prevents further complications.
Investigations are a vital tool for managing disruptive behavior. Whether the concern involves performance, misconduct, or competence, an investigation provides the facts you need to determine if corrective action is necessary.
While clear-cut cases (such as theft with evidence) may justify immediate termination, most situations require a formal review. This process protects your organization and ensures fairness.
The Importance of Due Process
An investigation is more than just a fact-finding mission; it is a process requiring strict due process. The employee under investigation is entitled to hear the allegations and have a fair opportunity to respond.
This process provides valuable insights and ensures you make the correct decision. However, investigations are not “one-size-fits-all.” You must decide when a formal investigation is required or if a less formal discussion (or a “Show Cause” letter) is more appropriate.
Why fairness matters
When conducting an investigation, you must consider the perspective of two key parties:
- The Alleged Complainant: They need to know their complaint is being taken seriously and that they have been heard.
- The Alleged Perpetrator: They must have the chance to rebut the allegations.
To achieve this, investigators follow a structured process: planning, interviewing, reporting, and recommending. While the specifics vary, this core structure ensures consistency and fairness.
Who should conduct the investigation?
Choosing the right investigator is critical. For minor performance issues, a line manager is usually sufficient. However, for serious allegations or complex disputes, you should appoint a neutral third party.
The Risk of Bias: If a manager investigates an employee’s absence, but that manager also approves leave, they may have a conflict of interest. In these cases, it is safer to appoint a neutral party, such as a Human Resources representative or an external private investigation firm.
Is an investigation actually required?
Before starting, ask yourself two questions:
- Is the alleged action serious enough to warrant a formal process?
- Is an investigation the best tool to solve this specific problem?
In some cases, a simple conversation between the parties can resolve the issue (e.g., a disagreement over promotion terms). However, if a formal complaint has been filed involving misconduct, an investigation is almost always required.
Defining the problem clearly
Once you decide to investigate, you must define the problem accurately. The facts collected here form the foundation of your entire process.
For example, if an employee isn’t meeting expectations, is it a lack of skill (training issue) or a refusal to follow instructions (misconduct)? Getting this distinction right is crucial for determining the outcome.
A confident basis for taking action
Most investigations lead to some form of action. To ensure you make the right decision, the investigator should answer the following questions:
- Does the employee admit to the problem?
- Does the employee understand the impact of their behavior?
- Do they have the ability to correct the problem?
- What is the cost of allowing the problem to continue vs. correcting it?
- What is the organization’s tolerance for risk and legal exposure?
The answers to these questions will guide you toward the appropriate disciplinary action or solution.
Conclusion
Workplace investigations can be emotional and challenging. To ensure a positive outcome, you must use a structured, fair approach.
The best strategy is to be proactive. By identifying issues early and using a solid investigatory process, you can address problems before they escalate into litigation or reputational damage.
Contact Jolasers to assist you with your workplace issues.
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Need Professional Assistance?
Jolasers can help you with any investigations you need to undertake in the workplace.
Telephone: 0418 101 164 (Stephen Oliver)
Common Questions
When is a formal investigation required?
A formal investigation is required when allegations involve serious misconduct (theft, harassment, fraud), when a formal complaint is lodged, or when there is a risk of legal action.
Who should conduct the investigation?
To ensure impartiality, serious or complex matters should be investigated by a neutral third party, such as an external investigator, rather than an internal manager.
What if the employee denies the allegations?
If there is a denial, the investigator must collect evidence (documents, witness statements, CCTV) to determine what happened based on the “balance of probabilities.”