Workplace investigations are the backbone of a safe and healthy company culture. As an employer, you have a non-negotiable responsibility to address complaints of misconduct.
However, the process can be a minefield. One procedural mistake can lead to an unfair dismissal claim. This guide uncovers the process of navigating investigations in the workplace, from the initial report to the final decision.
What is the Purpose of an Investigation?
Investigations are conducted to identify the truth. Employers must take reports of misconduct seriously to ensure the safety of their employees and the integrity of the company.
Beyond safety, investigations uncover underlying rot. A single complaint about bullying often reveals a broader culture of harassment or discrimination that has gone unchecked.
The Compliance Factor:
conducting a fair investigation demonstrates to your staff—and the Fair Work Commission—that you follow the law. It proves you are committed to procedural fairness.
Types of Workplace Investigations
Not all inquiries are the same. They generally fall into three categories:
- Behavioural: Sexual harassment, bullying, and discrimination.
- Policy Breaches: Drug and alcohol use, safety violations, or misuse of IT.
- Financial Misconduct: Fraud, theft, and embezzlement.
Regardless of the type, the standard of fairness does not change. Whether you are managing a head office or handling Geelong workplace investigations, employees must be given a genuine opportunity to respond.
5 Steps to Navigating an Investigation
When initiating an inquiry, follow this structured path to avoid legal pitfalls.
1. Gather Information & Triage
Collect the initial complaint. Assess if there is a conflict of interest (e.g., is the accused a relative of the manager?). If so, you must step aside.
2. Determine the Scope
Decide strictly what you are investigating. If you are conducting workplace investigations in Shepparton branches, do not let the scope creep into unrelated performance issues unless they are directly relevant.
3. Appoint the Investigator
You need a Lead Investigator. This must be someone impartial with the skills to interview witnesses without bias. For serious matters, this should be an external professional.
4. Interview Witnesses
Interview the complainant, the respondent, and key witnesses. Ensure all parties are offered a Support Person. Document every interview with audio recordings (where consented) or signed statements.
5. Make a Finding
Based only on the evidence collected, determine if the allegation is substantiated on the “balance of probabilities.”
What is “Relevant Evidence”?
You cannot use just anything. Relevant evidence includes:
- Physical: Security footage, damaged property.
- Digital: Emails, Slack logs, time-sheets.
- Testimonial: Witness statements.
Warning: Be careful how you collect it. If you access an employee’s private emails without a valid IT policy in place, that evidence may be inadmissible.
Employer’s Legal Obligations
You have strict duties under the Fair Work Act and Work Health and Safety laws.
- Fairness: You must conduct the investigation without bias.
- Opportunity to Respond: The accused must know the specific allegations and see the evidence against them before a decision is made.
- Confidentiality: You must protect the privacy of all parties involved as much as possible.
Employer’s Rights
It is not all about obligations; you have rights too.
- Right to Direct: You can issue a “lawful and reasonable direction” for an employee to participate in an investigation.
- Right to Suspend: You can suspend an employee (usually on full pay) if their presence poses a risk to the investigation.
- Right to Outsource: You have the right to hire an independent investigator to ensure the job is done properly.
Conclusion
Navigating a workplace investigation is high-stakes work. It requires a balance of empathy, legal knowledge, and firm decision-making.
By following a structured process, you protect your business from legal action and, more importantly, you protect your people from harm.
Take the Stress Out of Investigations
Jolasers handles complex workplace investigations across Victoria, ensuring you stay compliant.
Telephone: 0418 101 164 (Stephen Oliver)
Service Areas:
Melbourne | Geelong | Shepparton
Common Questions
Can I fire an employee after an investigation?
Yes, if the investigation substantiates serious misconduct. However, you must ensure the process was fair (“Procedural Fairness”) or you risk an Unfair Dismissal claim.
What is a conflict of interest?
This occurs when the investigator has a personal connection to the investigation (e.g., they are friends with the accused) which could bias the outcome. In these cases, use an external investigator.
What if the employee resigns during the investigation?
It is best practice to complete the investigation anyway. This creates a record of findings which protects the business if the employee later claims they were forced to resign (“Constructive Dismissal”).