Workplace Investigations
An organisation conducts workplace investigations to address allegations or suspicions of misconduct by an employee or group of employees. These investigations typically begin in response to complaints, reports of unethical behavior, bullying, violations of company policies, or legal requirements.
Overall, workplace conduct investigations are complex processes that require careful planning, thoroughness, and adherence to ethical and legal standards to ensure a fair and just resolution.
Risk & Investigative Services Qld employs professional investigators who can navigate the complexities of workplace investigations. Our investigators thoroughly understand the requirements for an organisation to appropriately manage the well-being of all those involved in the investigation process. This includes subject officers, witnesses, and other staff who may be impacted.
We undertake to comply with all legal requirements, including workplace health and safety and the client's policies and procedures.
Additionally, we actively pursue continuous improvement as a trusted investigation firm. We conduct surveys and internal reviews of every investigation to ensure that we gather appropriate feedback from our clients and those involved in the investigation process. Service excellence is a priority for us.
✅ Confidentiality Assured
Standard of Proof for Workplace Investigations
In the context of the law of evidence, the degree of certainty required to accept contested facts as proven varies between civil and criminal proceedings. In civil cases, individuals must prove facts based on the balance of probabilities, meaning they are more likely true than not. Conversely, in criminal trials, the prosecution must prove its case beyond reasonable doubt, a higher standard of proof.
One must weigh and compare competing possibilities to establish whether a fact is proven on the balance of probabilities. Therefore, a fact is deemed proven if its existence is more likely than not or if established by a preponderance of evidence, as demonstrated in Briginshaw v Briginshaw (1938) HCA 34.
In employment-related matters, decisions rely on the balance of probabilities. However, the more severe the potential consequences, the stronger the evidence needed to meet this standard.
How is a Workplace Investigation Conducted?
We gather information by conducting in-person interviews and collecting relevant documents, such as emails. Additionally, these documents include contemporaneous notes, text messages, photos, computer records, timesheets, and any other pertinent materials. Our process typically begins with sending a quote for services and a brief outline of our workplace investigation methodology. Following this, the employer emails us an engagement letter, which usually details the scope of the investigation.
This letter generally includes:
1. An outline of the allegations or a copy of the complaint
2. References and copies of relevant employer policies and procedures
3. Instructions on whom to interview
4. The name of the contact person
5. The communication process
6. The report’s recipient and timeframes
7. The desired content of the report
8. Procedures for changing the scope
9. Billing and invoicing requirements
If needed, we can provide a template letter that can be adapted to suit your business and investigation needs.
What is the Process for a Workplace Investigation
For a workplace investigation, our standard procedure begins with interviewing the complainant. Subsequently, all interviews are audio recorded unless instructed otherwise. We then determine which allegations warrant further investigation. However, not all complaints are investigated; only those that are serious enough and for which we have sufficient information (such as details on when, where, and if any witnesses were present) will be pursued further.
Afterward, we interview any other relevant individuals. Finally, we present the allegations to the respondent (the person being complained about) and provide them with an opportunity to respond. The method of presenting the allegations depends on their seriousness; they may be given in writing or discussed during the interview.
A workplace investigation must ensure procedural fairness for both the complainant and the respondent. Procedural fairness generally requires:
*Informing the employee of the allegations against them.
*Providing the employee with sufficient information and an opportunity to respond.
*Ensuring an unbiased and independent decision-maker is involved. This means not forming conclusions based on prior dealings with the employees or being involved in the incidents in question.
Additionally, if the investigation might lead to disciplinary action, it is common practice to allow the respondent to have a support person present.
For other options to deal with workplace complaints please refer to our page on preliminary assessments.
Should we Investigate Internally or Engage an External Investigator
At Risk & Investigative Services Qld, we tailor our approach to workplace investigations based on several factors: the nature and seriousness of the allegations, the skill of the internal investigator, concerns about impartiality, and your budget. The Fair Work Commission has indicated that internal investigations may lack transparency or independence. Therefore, it may be wise for the employer to hire an independent third party to conduct the investigation.
In smaller organisations, employees responsible for investigations may face conflicts when investigating colleagues. Investigations must be free from bias, real or perceived, to withstand scrutiny if outcomes are disputed. Additionally, the more serious the allegations, the more appropriate it is to engage an external investigator.
If you are from the Queensland Public Sector, you can obtain a practical guide to managing workplace investigations from the Public Service Commission.