Workplace Investigation Examples in Australia: Run a Fair Process

When something goes wrong at work - a harassment complaint, a missing cash float, a safety breach - it can feel urgent and stressful. As a small business owner, you want to act quickly, protect your team, and make a fair decision that won’t come back to bite you.

That’s where a clear, well-run workplace investigation makes all the difference. Not only does it help you get to the truth, it shows you’ve followed a fair process under Australian employment law - which is critical if your decision is ever challenged.

Below, we walk through practical workplace investigation examples you’re likely to face, the step-by-step process to follow, and the documents and policies that set you up to handle issues confidently.

What Is A Workplace Investigation (And Why It Matters For Small Businesses)?

A workplace investigation is a structured process to gather facts, assess evidence, and decide what happened when a concern is raised. It could relate to misconduct, performance, bullying, discrimination, safety, or a policy breach.

For small businesses, a fair investigation protects your people and your brand. It also reduces legal risk. If an employee later claims unfair dismissal, the Fair Work Commission will look closely at your process - including whether you gave the employee a chance to respond and whether your decision was procedurally fair. Those factors are reflected in section 387 of the Fair Work Act (the key unfair dismissal test).

The good news: you don’t need to be a large corporate to do investigations well. With a simple plan and the right documents, you can run a fair, defensible process.

Step-By-Step: How Do You Run A Fair Investigation?

1) Triage And Plan

Start by clarifying the allegation in writing. What’s the issue? Who’s involved? When and where did it occur? Is there any immediate risk to health, safety or the business?

Decide whether to run an internal investigation (you or a manager) or engage an external investigator if the matter is sensitive or complex.

2) Take Any Immediate Protective Action

If there’s a risk to people or the business, you may consider temporarily changing duties, separating staff, or standing down an employee on pay while you investigate. Use this carefully and keep it as short as necessary.

3) Notify The Respondent And Offer Support

Write to the employee outlining the concerns, the evidence you’ll be considering, and the process you’ll follow. Let them know they can bring a support person to any meeting, and confirm that no decision has been made yet.

4) Gather Evidence

Collect documents, CCTV, system logs, rosters, training records, and any other relevant materials. If you need to review company systems, make sure your policies allow reasonable access to employee emails and devices for legitimate business purposes.

Interview any witnesses separately. Take clear notes, ask open questions, and stick to facts, not assumptions.

5) Put The Case To The Employee And Consider Their Response

Share the key allegations and evidence, then give the employee a real opportunity to respond. If they raise new information, follow up and test it fairly. This is a core element of procedural fairness and is often supported by sending a formal show cause letter before any decision is made.

6) Make Findings And Decide Outcome

Assess the evidence on the balance of probabilities (more likely than not). Were the allegations substantiated, partly substantiated, or not substantiated?

If there’s a breach, consider proportionate outcomes - coaching, a warning, training, rotation of duties, or termination in serious cases. Keep your policies and any relevant clauses in the employee’s Employment Contract front of mind.

7) Communicate And Close Out

Confirm your decision in writing. Summarise the process, key evidence, and reasons (at an appropriate level of detail). Outline any right to respond or appeal that your policies provide, next steps, and support available.

Store your investigation file securely and only share on a need-to-know basis.

Workplace Investigation Examples You’re Likely To Face

Example 1: Bullying Or Harassment Complaint

A team member reports ongoing belittling comments and exclusion by a supervisor.

What you’d do: separate the parties if needed, review messages or rosters, interview the complainant, the respondent, and relevant witnesses, and cross-check consistency. If the behaviour breaches your anti-bullying policy, you might issue a formal warning, require training, or change reporting lines.

Common pitfalls: treating it as a personality clash, failing to interview witnesses, or dismissing a “he said, she said” as unprovable when there’s corroboration in messages or patterns over time.

Example 2: Theft Or Fraud Concerns

Takings are short for several weeks and camera footage appears to show an employee voiding sales and pocketing cash.

What you’d do: secure the footage, reconcile POS records and rosters, review cash-handling policies, and interview the employee with the key evidence outlined. Consider whether duties should be adjusted while investigating, then decide on outcomes based on the strength of the evidence.

Common pitfalls: confronting the employee without a proper plan, relying on assumptions without matching records to shifts, or accessing personal devices without policy authority.

Example 3: Safety Incident Or Near Miss

A forklift is operated in a pedestrian zone, causing a near miss. Another worker alleges they raised concerns with a supervisor weeks earlier but nothing changed.

What you’d do: prioritise safety, preserve any CCTV, interview the operator, supervisor and witnesses, and review training records and risk assessments. Outcomes could include retraining, process changes, or disciplinary action.

Common pitfalls: focusing solely on individual blame and missing systemic issues (e.g. inadequate training, rostering pressures, or equipment layout). A fair investigation looks at both.

Example 4: Discrimination Or Sexual Harassment Allegation

A casual employee reports unwanted comments and physical contact by a co-worker during closing shifts.

What you’d do: ensure the complainant’s immediate safety, consider duty changes, take a detailed complaint, and gather messages or roster overlap details. Interview confidentially and avoid unnecessary disclosure. If substantiated, consider a warning, termination in serious cases, or not placing the staff on the same shift.

Common pitfalls: downplaying conduct as “banter,” sharing details too widely, or failing to follow your own Workplace Policy for harassment.

Example 5: Social Media Misconduct Or Reputational Harm

An employee posts offensive content while clearly identifying your business as their employer.

What you’d do: capture the posts, review your social media and code of conduct policies, interview the employee, and consider the reputational impact and whether there’s a policy breach. Sanctions should be proportionate and consistent with past practice.

Common pitfalls: acting without checking that your policy actually covers off-duty conduct that impacts the workplace, or failing to give the employee a chance to explain context.

Example 6: Data/Privacy Breach Or Misuse Of Confidential Information

A manager emails a spreadsheet of client details to their personal email shortly before resigning.

What you’d do: secure systems access, review logs, confirm what data left the business, and request deletion/return of data. Interview the manager, assess any damages or notification obligations, and consider disciplinary action or contractual enforcement steps.

Common pitfalls: not having clear policies on data handling, and overlooking the need to evidence access rights before reviewing the manager’s business email account.

Evidence, Privacy And Procedural Fairness: Do’s And Don’ts

Do: Build Your Decision On Solid Evidence

• Use multiple sources where possible - documents, CCTV, logs, witness accounts.
• Keep detailed notes of interviews, dates, and steps taken.
• Assess credibility (consistency, plausibility, corroboration) rather than gut feel.

Don’t: Overstep With Surveillance Or Systems Access

Only collect information relevant to the allegation, and follow your policies and the law. If you need to review staff inboxes or devices, make sure your policies allow reasonable business access to systems and set expectations clearly. This is where clear guidance on access to employee emails helps avoid disputes later.

Do: Give Genuine Procedural Fairness

• Put allegations and key evidence to the employee in plain English.
• Give a reasonable time to respond and allow a support person.
• Keep an open mind; don’t pre-judge the outcome.

These points align with what the Commission looks for under section 387 - it’s not just what you decide, but how you get there.

Don’t: Confuse “Concern” With “Conclusion”

Protective steps (like temporary roster changes) are about safety and business risk, not punishment. Keep them short, explain why they’re necessary, and review them regularly.

Do: Use Clear, Consistent Communication

Confirm steps and decisions in writing. If you plan to move toward disciplinary action, a formal show cause letter gives the employee one more fair chance to respond before you decide.

Don’t: Breach Confidentiality Or Retaliate

Share information on a need-to-know basis only. Avoid any action that could be perceived as victimisation of complainants or witnesses. Strong internal reporting settings - including a clear Whistleblower Policy - support a speak-up culture and reduce risk.

What Policies, Contracts And Documents Should You Have In Place?

The best time to prepare for an investigation is before you need one. A solid set of contracts and policies makes your process faster and fairer - and reduces stress when issues arise.

• Employment Contract: Sets out duties, conduct expectations, confidentiality, and the process for dealing with misconduct and performance issues.
• Workplace Policy: A central policy or staff handbook that covers code of conduct, bullying and harassment, discrimination, grievance handling, social media, and investigations.
• Bullying, Harassment & Discrimination Policy: Clarifies unacceptable behaviour, reporting options, and investigation steps.
• Whistleblower Policy: Encourages internal reporting of serious concerns and sets out protections for reporters.
• Disciplinary Procedure: Outlines warnings, performance management, and termination pathways, helping you act consistently and fairly.
• Investigation Framework: A simple checklist or procedure (who does what, how to record evidence, timeframes) so you’re not reinventing the wheel under pressure.
• CCTV/IT Use and Privacy Settings: Policies that explain what monitoring may occur and on what basis, supporting lawful evidence collection.

When a matter becomes serious, template documents save time. For example, you might use an initial allegation letter, interview invites, and a formal show cause letter before deciding on disciplinary action. If you end up moving to termination, it’s wise to ensure your communications align with the section 387 fairness factors and your internal policies.

Practical Tips To Tailor Your Toolkit

• Keep policies short and usable. Managers are more likely to follow a clear two-page process than a dense manual.
• Train supervisors annually on incident response and note-taking - small investments that pay off when an issue arises.
• Set a review rhythm. Update your policies when laws change or after you run an investigation and identify improvements.

Key Takeaways

• Workplace investigations protect your team and your business - and a fair process is essential if your decision is ever challenged.
• Follow a simple sequence: triage, protect safety, notify, gather evidence, put the allegations to the employee, consider their response, then decide and document.
• Build decisions on solid evidence and procedural fairness, consistent with the factors in section 387 of the Fair Work Act.
• Use proportionate outcomes and communicate clearly - a well-structured show cause letter is a common step before disciplinary action.
• Set yourself up early with an Employment Contract, a current Workplace Policy, and a Whistleblower Policy, so you can act quickly and fairly when issues arise.
• Be mindful when collecting evidence, especially when accessing systems or devices; your policies should clearly enable reasonable access to employee emails for legitimate business purposes.

If you’d like a consultation on planning or running a workplace investigation for your small business, you can reach us at 1800 730 617 or team@sprintlaw.com.au for a free, no-obligations chat.