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

1. INVESTIGATING EMPLOYEE COMPLAINTS
A guide to handling complaints against employees without breaching their right to procedural
fairness

2. When to investigate
Employee lodges complaint about behaviour of another
employee, such as:
• Sexual harassment
• Bullying
• Defamation
• Micro-management
• Theft

3. Procedural fairness
Employee is:
• Informed of rights and
obligations
• Entitled to opportunity to
present their side
• Provided with sufficient
resources
• Given the opportunity
to seek independent advice

4. Legally requires employer to
conduct systematic and
thorough investigation of:
• Severity of the incident
• Mitigating circumstances
• Likelihood the behaviour
will recur
Procedural fairness

5. Interviewing the complainant
First step is to interview the complainant to understand:
• When
• Where
• How
• Cause and effect

6. Respect procedural fairness
by:
• Informing employee of
intention to investigate
• Allowing employee to
respond
• Allowing for mitigating
circumstances
• Remaining unbiased
Interviewing the employee

7. Timing
• Prompt and thorough
• Delay is unfair to the employee
• Witness recollection becomes
vague over time

8. • Only approach
witnesses who you
know can help you
• Ensure the witness
understands the matter
is strictly confidential
• Avoid ‘fishing
expeditions’
Witnesses

9. The aim of the investigation
• Did the event actually occur?
• Was the accused employee
involved?
• Were there any mitigating
circumstances?

10. 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

11. • 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

12. 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

13. Keeping termination records
If employment is terminated,
keep record of:
• Manner in which employee
was terminated (notice,
consent, summarily)
• If notice was provided and
how much
• Name of the person who
terminated employment

14. The bottom line
Act on the basis of provable facts, not
hearsay or suspicions, and be able to
justify every action you take.
Copyright © 2016 workplaceinfo.com.au/NSW Business Chamber
(ABN 63 000 014 504). All rights reserved.