INVESTIGATING EMPLOYEE COMPLAINTS

A guide to handling complaints against employees without breaching their right to procedural fairness

When to investigate

Employee lodges complaint about behaviour of another employee, such as:

• Sexual harassment

• Bullying

• Defamation

• Micro-management

• Theft

Procedural fairnessEmployee is:

• Informed of rights and obligations

• Entitled to opportunity topresent their side

• Provided with sufficient resources

• Given the opportunityto seek independent advice

Legally requires employer to conduct systematic and thorough investigation of:

• Severity of the incident

• Mitigating circumstances

• Likelihood the behaviour will recur

Procedural fairness

Interviewing the complainant

First step is to interview the complainant to understand:

• When

• Where

• How

• Cause and effect

Respect procedural fairness by:

• Informing employee of intention to investigate

• Allowing employee to respond

• Allowing for mitigating circumstances

• Remaining unbiased

Interviewing the employee

Timing

• Prompt and thorough

• Delay is unfair to the employee

• Witness recollection becomes vague over time

• Only approach witnesses who you know can help you

• Ensure the witness understands the matter is strictly confidential

• Avoid ‘fishing expeditions’

Witnesses

The aim of the investigation

• Did the event actually occur?

• Was the accused employee involved?

• Were there any mitigating circumstances?

Conducting the investigation

• Collect the FACTS

• Collect and examine ‘hard evidence’

• Explain in detail the allegations against the employee

• Allow employee to respond or seek assistance from union delegate

• Schedule interview to inform accused of investigation outcome

• Keep a record of complaint, investigation findings and final interview

• Offer employee a witness

After the investigation

After the investigation

• Clearly outline the consequences of the behaviour recurring

• Schedule follow-up interviews

• Offer support services and allow time for there to be an effect

Keeping termination records

If employment is terminated, keep record of:

• Manner in which employee was terminated (notice, consent, summarily)

• If notice was provided andhow much

• Name of the person who terminated employment

The bottom line

Act on the basis of provable facts, not hearsay or suspicions, and be able to

justify every action you take.

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