Workplace Investigations

Workplace Investigations

 

Workplace investigations are an essential component of maintaining a safe, productive, and harmonious work environment. They are conducted to address various issues such as allegations of misconduct, harassment, discrimination, or other violations of workplace policies.

  What is a Workplace Investigation

A workplace investigation is a process of gathering and analysing information to determine what happened in a situation where an incident, accident and or complaint has occurred or been made.

The goal is to ascertain the facts and or route cause.  This will differ depending on the reason for an investigation, such as if it is a complaint that has caused the investigation, the balance of probability is used to determine if the complaint can be substantiated or not.  If the reason for the investigation is because an incident or accident has occurred, it might be that the employer is seeking an understanding as to how this occurred or who is liable for the accident or incide4nt.

An investigation may require the Investigator to make findings as to breaches of policy, legislation, or process.

An investigation may involve advice or recommendations, an organisation should always consider separating advice or recommendations from the main investigations and if the Investigator is engaged through a firm, it is good practice to seek any advice or recommendations, as privileged advice, or recommendations.

  When is a Workplace Investigation Necessary

Workplace investigations are typically initiated when there is a complaint or allegation or an incident or accident. This could include, but is not limited to:

• Harassment or bullying.
• Sexual harassment.
• Discrimination.
• Violation of company policies or procedures.
• Theft or fraud.
• Safety or health breaches.
• Incidents or accidents.

  Steps in a Workplace Investigation

While this will greatly depend on the type of investigation, the reasons for the investigation and the policy, instruments or process that govern an investigation, it provides a high-level process.

1. Initiation: The process begins when an issue is reported. It is crucial that employers take all complaints seriously and initiate an investigation promptly.  If the issues involve an incident or accident, the employer should identify what type of investigation is required, are they looking to identify route causes or are they seeking to identify liability. 
2. Planning: Define the scope of the investigation, identify the individuals involved, and determine what information needs to be gathered.  This would include policy.
3.   Fact-Finding: Conduct interviews with parties, and any witnesses. Collect and review relevant documents or other evidence.  This process should be determined by policy and instruments.
4.   Analysis: Evaluate the information collected, determine the credibility of the parties involved, and make findings based on the evidence.  This is about testing evidence and making findings based on the balance of probability.
5.   Report and Follow-Up: Drafting an investigation report, findings, and any actions taken. Communicate appropriately with the parties involved.

Importance of Fair and Thorough Investigations

Conducting fair and thorough investigations is crucial for several reasons:

1.   Legal Compliance: Employers have a legal obligation to investigate certain types of complaints, incidents or accidents; such as harassment or discrimination and reportable incidents or injury.
2.   Workplace Culture: Investigations demonstrate that the employer takes misconduct seriously, which can enhance trust and morale.
3.   Risk Management: By addressing issues promptly and effectively, employers can mitigate risks such as legal liability or damage to the company’s reputation.

 

In conclusion, workplace investigations are a critical tool for resolving issues, maintaining a positive workplace culture, and minimising legal risks. It is essential that these investigations are conducted in a fair, thorough, and timely manner.

All organisations should have a preferred or several preferred providers for their investigations.  This means these firms can be across policy and instruments and be readily able to be deployed. 

Organisation should consider the value of engaging a law firm to perform an investigation, privilege can be a valuable asset to have, but further, a law firm can provide legal advice as to next steps and or recommendations.

At Salt Legal, we provide advice and assistance to client in all areas of:

·         Employment law.

·         General business and commercial law or disputes.

·         OHS.

·         Equal opportunity.

·         Workers’ compensation.

·         Defamation.

·         General Litigation.

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