Whistleblowing in 2020: Is Your Organisation Ready?

Vince Scopelliti - Thursday, January 23, 2020

The concept of whistleblowing was once frowned upon, or at the very least looked upon with trepidation. However, in recent years, the value of promoting whistleblowing as an acceptable way to improve corporate regulatory compliance and culture has been demonstrated. In this changing landscape, organisations are embracing whistleblowing - and many also have new obligations to comply with. 

Is your organisation ready for whistleblowing in 2020? Let's look at who can be a whistleblower; who is authorised to receive disclosures; and which organisations must have a whistleblower platform in place. 

What is whistleblowing?

Whistleblowers are individuals with some connection to an organisation, who choose to report corporate misconduct or illegal activities. 

Legislation, including new legislation which came into force on 1 July 2019, provides extended rights and protections to whistleblowers. Ultimately, the intent of the legislation is to ensure that whistleblowers are protected against reprisals, legal action, or general detriment, such as disciplinary action taken by the employer. 

Whistleblower protection may be afforded to various categories of people, including: 

  • Current employees of a company (or a related company)
  • The spouses or relatives of employees 
  • Officers of a company 
  • Contractors who have dealt with the company (potentially including volunteers)
  • General associates of the company

Whistleblowing also includes public interest disclosures. An example of a public interest disclosure might be an employee making a report about a bank which has been consistently charging members fees for no service. These apply in circumstances where a previous report has been made to ASIC or APRA and not actioned within 90 days, and the whistleblower is of the view that the information is of such importance to the public interest that it would be worthwhile reporting concerns to a journalist or a parliamentarian. 

Alternatively, emergency disclosures may be made if concerned parties have reasonable grounds to believe that the matters to be reported concern substantial or imminent danger to health and safety of people or the environment. 

how the disclosure process works

Disclosure about misconduct may be made anonymously, but must be reported to a specific group of people, including: 

  • Directors, company officers or senior managers
  • Auditors of the company 
  • Actuaries associated with the company 
  • A person specifically authorised to receive disclosures (generally a Human Resources officer) 
  • Regulatory authorities such as ASIC or APRA
  • Legal practitioners

Concerns can be reported internally using pre-determined organisational systems such as phone or online reporting. At the very least, an organisation should publish its whistleblowing policy and identify the people who are entitled to receive reports. 

Within a company, those authorised to receive disclosures must act on disclosures by investigating and protecting whistleblowers. 

WHY IS A WHISTLEBLOWING PLATFORM IMPORTANT?

The new legislation means that all public companies, large proprietary companies and corporate trustees of superannuation funds must have a whistleblower policy from January 1, 2020. Large proprietary companies are classed as those that have a consolidated annual revenue of at least $25 million, consolidated gross assets of at least $12.5 million or at least 50 employees.  

In addition to the legislative requirements, there are reasons why all organisations should have a strong platform for whistleblowing. 

These include increasing public and employee confidence in the desire of the organisation to “do the right thing”, and ensuring that senior personnel are safe in the knowledge that, if anybody is committing wrongdoing, staff and related persons can be confident to report those matters without fear of reprisals. 

One of the most effective ways to deal with whistleblowers is to set up an external hotline. This means that reports can be made anonymously. People can avoid potential embarrassment or concerns about making a report in circumstances where they potentially see the people whose conduct they are reporting on a daily basis.

WISE is a leading provider of whistleblowing services in Australia, offering organisations a secure service known as ‘Grapevine’ for staff to report concerns. 

Grapevine allows for anonymous reporting via phone call or online report. Reporters are enabled to provide supporting evidence, and can also choose whether to remain anonymous or leave their contact details. Each report is assigned a case number so it can be tracked throughout the whistleblowing and assessment process. Reports are reviewed by a highly trained and experienced team, and the organisation's nominated contact person is notified within 24 hours. Updates are available online. Depending on the level of service, the Grapevine team can also follow up and take action according to an organisation's whistleblower policy.

For more information on complying with whistleblower legislation, please download our free whistleblowing whitepaper which can answer your questions regarding the changes. If you would like an obligation-free cost estimate to implement a confidential hotline in your workplace, contact us here.

Managing Volunteers in the Workplace

Vince Scopelliti - Thursday, January 16, 2020

Volunteers can be a fabulous resource in any business. Generally, they bring enthusiasm, true passion for the organisation's ethos and purpose, and a "can-do" attitude to the job.

However, volunteers in the workplace can also bring their own set of challenges for organisations. Even though they are not on the payroll, volunteers enjoy the same protections as paid workers are entitled to. Indeed, the Work Health and Safety Act 2011 (Cth) defines volunteers as "workers", thereby putting them on equal footing.

So let's look at some tips and tricks for managing volunteers in the workplace.

Employee and volunteer conflict

One of the risks inherent in relying on volunteers is conflict with employees. In part, this may be due to a "us against them" perception. Further, staff who are employed in the business on a daily basis, may perceive that volunteers have less of an understanding or practical knowledge of how tasks should be completed, or how things are done. Employees may also resent the apparent flexibility afforded to volunteers. A pertinent example is the longstanding feud between paid and volunteer Country Fire Authority staff in Victoria, which resulted in the CFA being devolved into a volunteer-only organisation in early 2019.

Difficulties managing volunteer conflict

In addition to the everyday personnel issues facing organisations, additional challenges involving volunteers include:

  • An unwillingness of volunteers to raise concerns or "rock the boat", largely due to the fact that they may already feel isolated or otherwise segregated from employees. Any conflicts or issues may not be raised with management, for fear of reprisals or concerns about not being taken seriously.
  • A lack of understanding of protections. Many volunteers may not be aware that they are entitled to the same protections as paid staff, and may consider it pointless to raise any conflicts or concerns with management.
  • Lower priority for the organisation. Even if volunteers do raise concerns, management may deal with these issues less expeditiously, because volunteers could be perceived as being easily replaceable. 

responsibilities of volunteer-active workplaces

Employers who rely on volunteers or who are considering welcoming them into the workplace, have a duty of care to provide a safe work environment. They must therefore take steps to protect volunteers from bullying and harassment.

In the same fashion, employers remain vicariously liable for volunteer's conduct and behaviour. For example, if a volunteer engaged in an activity on behalf of the organisation and negligently or otherwise causes injury to a third party, the employer could be found liable. This is despite the absence of any financial relationship between the volunteer and the business.

Organisations need to ensure that policies are updated (where required) to identify that they also encompass volunteer staff. Volunteers should be provided with copies of all policies, and their workplace rights and obligations should be clearly communicated.

When commencing a relationship with a volunteer, it is also important to ensure that there are very clear volunteer engagement "Agreements" in place. These should be carefully drafted to ensure that both parties are well aware of their rights and obligations under the agreement.

Volunteer-based organisations, like all workplaces, have a responsibility to provide a safe environment for all their workers. All conflict and alleged misconduct should be taken seriously, whether it relates to paid staff and/or volunteers. If your organisation needs assistance managing a challenging workplace conflict, WISE offers both supported and full investigation services to provide you with the flexibility you need. 

Managing Misconduct over the Holidays

Vince Scopelliti - Wednesday, December 18, 2019

The festive season is fraught with concern for employers. With many staff on leave and those who remain letting their proverbial hair down (often with a beverage or three!) the holiday period can be a minefield.

We take a look at when employees are still considered to be "at work", define misconduct and provide some tips for dealing with poor behaviour in the workplace over the holidays. 

When are employees still 'at work'?

A workplace is where people perform their jobs, undertaking their contracted hours of work. However, a work function held outside the office and outside regular business hours, is considered to be an extension of the workplace.

A general rule of thumb is, that if an event is organised and paid for by an employer, it's officially sanctioned. Liability therefore remains with the employer for any misconduct that occurs. This is likely to be the case, regardless of how many pre-event warnings have been issued to staff, and how many times staff have been reminded of the applicable policies and codes of conduct.

It is also important to keep in mind that employers may bear third party liability, to family members who attend a staff Christmas party, functions held in public venues (where people other than staff could get injured) and in circumstances where a worker causes injury to another person, when leaving an event in a state of intoxication.

defining misconduct in the workplace

Misconduct over the holiday period generally refers to inappropriate behaviour such as discrimination, workplace harassment and bullying, or sexual harassment. This type of behaviour is often associated with the Christmas party, where people have consumed alcohol and have lowered inhibitions.

It is important for employers to remember that the definition of sexual harassment, for example, includes but is not limited to, conduct of a sexual nature which is offensive, humiliating or embarrassing to the person complaining of the behaviour. Crucially, it is irrelevant if the behaviour was intended to offend - it is the opinion of the "victim" and not the "perpetrator" which is relevant.

Other types of misconduct include staff pulling "sickies" due to hangovers, or poor behaviour such as sharing inappropriate stories or having general disagreements between co-workers boil over.  

why is there a prevalence of misconduct over the holidays?

As noted, there is often an increased incidence of misconduct in circumstances where staff are consuming (potentially excessive) amounts of alcohol and otherwise lowering inhibitions.

There is also a general misapprehension amongst employees to the effect that a Christmas party is not considered to be related to employment - which is not the case.

This is part of the reason why employers should also give serious consideration as to whether they wish to gift alcohol, either to their staff or to clients or business associates. While alcohol is a convenient and often appreciated gift, it can create an impression that an employer is not concerned about responsible service of alcohol.

mitigating the risk of misconduct

There are numerous ways that employers can mitigate the risk of misconduct during the holidays. 

Before a function, employers should take steps to remind staff (generally via an email) that it is to be treated as a workplace event, and therefore the usual policies and procedures remain in place. It is also timely to recirculate documents such as code of conduct, sexual harassment or bullying policies and procedures.

During the work function, employers should consider ensuring that at least one (if not more) senior personnel are in a position to remind staff who have over-consumed alcohol, that they should stop drinking and/or perhaps even leave the event.

Similarly, companies should ensure that there are sufficient taxi vouchers or other safe methods of transport home, for all employees who want them. This ensures that the business cannot be responsible for any employees who injure themselves and/or others on the way from the party.

If allegations of misconduct do arise from a Christmas function, employers must ensure that due process and fair procedures are implemented. This includes taking into account the fact that staff may be on leave or have applied to be on leave.

Although the investigative process should not be unnecessarily drawn out, staff who have pre-booked leave, should not be prejudiced by the fact that they are unavailable at that time of year. They should have the same opportunity to prepare a response to allegations as at any other time of year.

Managing staff and keeping in touch with staff over a quieter holiday period can be a challenge. If you need assistance reviewing and managing staff behaviour in your workplace, WISE Workplace provides expert external investigation services to meet your needs. 

Managing Risks in Workplace Investigations

Vince Scopelliti - Wednesday, December 11, 2019

managing risks in workplace investigations?

By its very nature, a workplace investigation involves sensitive and contentious information.

When a workplace investigation is required, whether this is outsourced to an external investigator or conducted in-house, it is necessary to be aware of the risks which could eventuate.

What are the key risks?

These include: 

  • Potential Breaches of confidentiality

Each party involved has the right to confidentiality. A breach of confidentiality occurs when other people/ parties are made aware of the investigation, which could cause "injury" to the complainant or the accused. Types of injury include reprisal, injury to reputation, defamation, ostracising the employee, physical altercations, or the exacerbation of mental health issues such as depression or anxiety. Of course, this is not an exhaustive list of consequences that could arise if confidentiality is breached.

  • Failing to take "timely and determinative" action

In a situation where disciplinary action such as dismissal is ultimately required, delaying action could potentially prejudice the company's position in any subsequent legal proceedings. This is because a tribunal is likely to find that, if the behaviour was sufficiently serious to warrant dismissal, it would/should have been dealt with as soon as possible. Further, if matters remain open and are not dealt with in an appropriate timeframe, there are greater chances of the issue causing conflict, uncertainly and humiliation within the workplace.

  • Risk of litigation
In matters where the actions and integrity of individuals are likely to be called into question, the risk of litigation is always significant. It is crucial that steps be taken at all times to minimise this risk, or position the company in such a way that it has a defence towards any litigation. 

  • Risk of further costs

Certainly, in situations where a company tries to save on costs by minimising the expenses of investigations, and subsequently needs to "fix" the investigation by engaging external investigators or solicitors, expenses are likely to increase. In many cases, it is better to incur appropriate fees and expenses at the outset, rather than having to pay reparatory costs.

How can you mitigate these risks?

In order to minimise the risks associated with investigations, it is prudent to follow a consistent process for each and every one. This includes:
  • Having a process map, which identifies what evidence should be obtained and which witnesses should be interviewed. 
  • The collation and review of evidence by the investigator. 
  • Interviews being conducted by an investigator, who also catalogues facts.
  • Analysis of the information acquired, in addition to determining if additional fact-finding will be necessary.
  • A determination, made by the investigator and relevant parties based on a review of the findings. Internal stakeholders will work with the investigator to determine how best to communication the decision to concerned parties. 
  • A resolution, where the investigator will document the steps and actions taken. The investigator will also arrange required follow-ups with involved parties to ensure that effective remediation has occurred as planned. 
In addition, it is essential to ensure the investigative process is comprehensive and compliant with the requirements of procedural fairness, as well as sticking to the principles of confidentiality. 

By following these steps, a company ensures that, even if litigation becomes inevitable, it is "court ready" and has a legally sound investigative process and findings which it can demonstrate to lawyers. 

Additional steps to minimise the risks of an investigation being challenged include:

1. Ensuring that all allegations are particularised before they are provided to a respondent. By doing this, a company ensures that a respondent cannot say that they were ambushed or otherwise unable to prepare a defence. 

2. Providing clear and transparent information about the investigation process, including how and when it will occur. A respondent should never be engaged in informal interviews as a way to test the waters, as this could result in subsequent complications. By the same token, arranging for external investigators from the outset can substantially lessen risks such as allegations of bias against internal investigators. 

3. Ensuring that nothing suggests that a 'predetermined outcome' has been arrived at. This includes removing any wording such as "bullying" from the complaint document. Instead, such matters should be framed, for example, as "allegations of alleged bullying".

4. Effectively balancing the need of timeliness in the investigatory process against ensuring that respondents have sufficient time to respond allegations. 

If you are concerned about the investigation process at your workplace, you can take simple and active steps to address these concerns. WISE Workplace is an expert within the field of workplace investigations and also offers training for your staff. 
 

Audio Recording or Written Statements?

Vince Scopelliti - Thursday, November 07, 2019

Appropriately recording evidence is a crucial part of workplace investigations.

For investigators, this can cause a significant dilemma as to whether it is preferable to rely on written statements, or obtain audio recordings of interviews conducted during the investigation.

Here are a few of the main considerations for each method.

Audio recordings 

An audio recording is effectively a verbatim record of everything that is said during the interview process. It may be particularly useful to conduct audio recordings during initial witness or party interviews, so that these can be transcribed and used to confirm the evidence which has been gathered.

It is essential that all parties are made aware that interviews will be recorded. This should also assist in setting expectations that nothing said during the interview can be considered "off the record".

Significant advantages of audio recordings include:

  • Simplicity. It is easier for the investigator to conduct an interview without having to take contemporaneous notes. The practice of taking notes can be disruptive to the interview process, breaking both the interviewer's and the interviewee's concentration and the "flow" of the conversation.
  • Creation of an accurate record. Written statements may be considered to be ambiguous or open to interpretation - however an audio recording is fairly difficult to refute.
  • Reinforcing significance of the process. If an audio recording is produced, involved parties can be left in no doubt that an investigation is being taken seriously.
  • Flexibility. If it is difficult to arrange for a party to be interviewed in person, modern technology means that interviews can be recorded by telephone or video. This introduces greater flexibility into the recording process.
It is important to remember however, that it can be easier to contest what is recorded in a transcript, rather than in a written statement which the interviewee has been asked to sign.

written statements

By contrast, a written statement is a document which is produced as a summary of the contents of the interview. Generally, it is produced after the interview, based on notes taken by the interviewer or an offsider. 

Although it is extremely unlikely that every word said or every implied nuance during the interview will be recorded in a written statement, a key advantage of this type of evidence gathering is that witnesses will have the opportunity to review their written statement. The interviewed party can then sign the statement, or refute the contents.

In order to be effective, the statement should be produced as soon as possible after the interview has concluded, while it is still fresh in everybody's memory.

procedural requirements for interviews 

When determining whether an interview should be supported by a written statement or an audio recording, it is important to bear in mind that certain organisations or agencies have policy and/or procedural requirements preferring one method of evidence collection over the other. Further, in the event that a witness prefers not to have the interview recorded, an investigator cannot rely on this method.

The interviewer should give thought both to the personality of the interviewee, and the subject matter of the interview, when determining the best method. If it is intended that the interview proceed on a casual or somewhat informal basis, relying on a recording is likely to be considered overkill.

Audio recording is also reliant on technology functioning properly. In the event that a recording device malfunctions or does not record properly, there is a risk that the interview will not have been recorded at all. This could mean that the entire process needs to occur again - or alternatively, that there is no evidence supporting the interviewing process.

THe importance of flexibility in investigations

Unless company policy dictates one method of evidence collection over the other, this is always a decision that should be made based on individual circumstances.

As is generally the case in workplace investigations, there is never a "one size fits all" approach that can be utilised on every occasion. Investigators must be prepared to make an assessment on which method of evidence collection is appropriate on a case-by-case basis.

WISE investigators have extensive experience in conducting investigative interviews and collecting evidence, whether by audio recording or written statement. If you require established procedures to be followed or would like flexibility during the investigation process, WISE offers investigation services to assist. Additionally, if your organisation is seeking advice and training on interview techniques, WISE offers short courses and resources to upskill your staff.

When a Pre-Determined View Leads to an Unfair Investigation

Vince Scopelliti - Thursday, October 31, 2019

Procedural fairness must be top of mind, for all organisations when conducting a workplace investigation. Failing to allow an employee sufficient time to respond to an allegation or taking a pre-determined view of the outcome of an investigation, for example, proceeding with terminating employment, can leave an employer open to an unfair dismissal claim. 

The importance of observing all elements of procedural fairness when conducting a workplace investigation is highlighted in the Fair Work Commission decision of Mark Andrawos v MyBudget Pty Ltd (U2018/2379). 

the facts of the matter 

The applicant, Mr Andrawos, commenced employment at MyBudget in July 2016. He came to his role, ultimately as a personal budget specialist, with a significant financial industry background, and was supported by tertiary qualifications. During his employment, he received numerous compliments, but was also informally and formally counselled for behaviour including "corner cutting", lateness and a failure to follow procedures correctly.

Mr Andrawos received a total of twelve informal warnings and eventually three written warnings for a variety of misdemeanours, including inappropriate comments made to a female client, resulting in a final written warning being issued. Despite having received the final warning, Mr Andrawos was subsequently involved in two further disciplinary processes. The first regarding his punctuality and the second related to inappropriate conduct with a female colleague.

Mr Andrawos then formed a friendship with a young man, Mr McBryde-Martin, which ultimately led to him providing financial recommendations as to what Mr McBryde-Martin should do with a sizeable inheritance he had received. Eventually, Mr Andrawos suggested that his friend come to MyBudget as a client, on a "friends and family" discount. Mr McBryde-Martin subsequently received financial advice and recommendations.

At one point, Mr Andrawos suggested that Mr McBryde-Martin transfer some $90,000 into a MyBudget account and offered to act as co-signatory. This upset Mr McBryde-Martin's mother (against a background where there was, although ultimately unfounded, some suggestion that Mr Andrawos had been drinking and gambling with Mr McBryde-Martin). His mother complained to MyBudget and Mr Andrawos was immediately escorted from the building and suspended. After some investigation, Mr Andrawos was dismissed from his employment. 

THE need for procedural fairness

The Fair Work Commission considered that Mr Andrawos' suspension and ultimately termination had occurred without sufficient procedural fairness.

Specifically, it was concluded, that he had not been afforded the opportunity to provide the necessary response and context to his employer.

Evidence supporting this conclusion included the fact that Mr Andrawos was initially given less than 24 hours to prepare a response to the allegation letter he had been issued.

Further, despite requesting statements provided by his colleagues, Mr Andrawos was denied access to this information and to the telephone call recordings with Mr McBryde-Martin, and the screenshots of text messages, which were being relied on by MyBudget as evidence in the disciplinary proceedings.

Taking a pre-determined view 

The Fair Work Commission was critical of the fact that there was evidence supporting the finding that a pre-determination had been made by the employer, before the investigative process has occurred. It was particularly noted that the employer appeared to be prepared to only undertake an investigation in form and not in substance - that is, that the employer had already decided to terminate Mr Andrawos. It was also held that Mr Andrawos was also prevented from putting forward his "defence" to his managers at an early stage, which reinforced the conclusion of the existence of a pre-determined outcome.

The evidence put forward to the Fair Work Commission suggested that a key decision-maker at MyBudget, had not been briefed with all relevant information prior to conducting a fact-finding interview, again critical in supporting a conclusion that a pre-determination had already been made. Moreover, no additional enquiries were made after the conclusion of the fact-finding process, most notably that no attempts were made by the employer to speak with Mr McBryde-Martin, regarding the nature of his mother's allegations. 

THE need for separation between investigator and decision-maker

The fact that the investigation was conducted internally at MyBudget by two people who ultimately were also the key decision-makers in the termination process, was criticised by the Fair Work Commission. This perceived conflict of interest tainted the investigation process and the termination decision and was directly related to the conclusion that, while Mr Andrawos' dismissal was neither unreasonable or unjust, it was deemed to be harsh. This highlights the importance of an investigative team, whether internal or external, collecting information and material on an objective basis, before providing it to the ultimate decision-makers for a determination.

This case demonstrates the importance of observing the elements of procedural fairness when investigating workplace matters. A former employee will likely be successful in an unfair dismissal claim, where an employer has entered the investigation process with a pre-determined view of the outcome. To assist your organisation with following a fair and reliable investigation process, WISE offers both training services and external investigation services

Outsourcing or In-House Investigations?

Vince Scopelliti - Thursday, October 03, 2019

For many businesses, one of the critical HR questions is whether investigations into alleged employee misconduct or misbehaviour should be outsourced or conducted in-house.

Depending on the nature of the business and the complaint, it may not always be appropriate or cost-effective for investigations to be referred externally.

However, in other circumstances, particularly when the allegations involve potential criminal conduct or there is an actual or perceived conflict, outsourcing may be the best option.

We examine the different circumstances in which investigations might best be outsourced or kept in-house.

outsourcing vs internal 

The key benefit of conducting workplace investigations internally is the ability to potentially deal with a matter swiftly and cost-effectively. The obvious reason here is that staff tasked with conducting an internal investigation, already have an understanding of the internal processes and procedures of the business. Although time away from normal duties is likely to be required, there is no additional cost associated with tasking existing staff to conduct an internal investigation.

On the other hand, depending on the nature of the allegation, existing staff may be lacking in capacity or capability to properly conduct the investigation. This is particularly likely to be the case if the allegations relate to potential criminal conduct which requires police involvement.

In addition, if the allegations are sensitive or have been made against a staff member who would ordinarily be involved in conducting the investigation, it may not be appropriate for the investigation to occur internally.

Whether the investigation is outsourced or conducted internally, it is essential that there are clear delineations as to who will be conducting the investigation. Further, the ultimate investigator must be provided with the applicable investigation policy and procedures which must be followed.

risks of handling an investigation in-house

As noted, there are numerous potential risks of handling an investigation in-house. Chief amongst these is the fact that the internal staff may lack the necessary skills or training to adequately understand the complex nature of the investigation. This could have significant ramifications if there are demonstrable gaps in the process, as this may ultimately invalidate the findings and any final decision which is made.

Having staff without the requisite experience or skills, conducting an investigation may also mean a failure to comply with legal obligations. In the event that the investigatory process results in termination of employment, litigation or other legal action, any failure to duly comply with all the legal and regulatory requirements, may potentially result in an adverse decision for the company.

The possible apprehension of bias in an internal investigation is significant, particularly if the employees who are conducting the investigation have a close personal or professional relationship with the complainant, the respondent or any of the witnesses. In a small company, or in a situation where a member in a senior leadership position has allegations levelled against them, this potential apprehension of bias is even greater.

This could also result in complaints of pre-determined outcomes, where staff involved in the process may argue that the investigation was not conducted in accordance with the principles of procedural fairness. Any relationship (whether positive or negative) between the investigatory staff and the parties involved in the investigation is likely to come under significant scrutiny. This may open up the investigatory team to suggestions that the investigation was not conducted impartially or fairly.

Factors for considering whether to outsource 

Impartiality and transparency in the investigative process are always crucial considerations. In situations where there are especially sensitive allegations or the staff involved are likely to resort to post-investigatory litigation, any potential concerns regarding failures in process or impartiality can be addressed by outsourcing the entire investigation.

Similarly, if time is of the essence (particularly when staff have been temporarily stood down and it is important that the investigation process is concluded in an expeditious fashion) outsourcing the investigation may be the preferable outcome. 

This is because external investigators are able to devote themselves completely to the investigation process, while existing employees will most likely need to continue on with their day-to-day work.

the benefits of outsourcing

Although there is a cost associated with the outsourcing of an investigation, there are added benefits. Investigators with specialist expertise are able to deal with complex matters, and are best placed to provide reports which are more likely to be relied upon by the Fair Work Commission.

The majority of contemporary workplace investigations come with their own set of challenges and complexities. If you do not have the time or resources to conduct an investigation or you require an experienced investigator, WISE offers both supported and full service investigations to best assist.  

Elder Abuse in Care

Vince Scopelliti - Wednesday, September 18, 2019

The most vulnerable members of our society are generally those with disabilities, the very young and the elderly. People who are vulnerable are at greater risk of being abused or otherwise mistreated, especially in residential care facilities. This is currently being made distressingly clear at the aged care Royal Commission. 

We discuss what elder abuse in care looks like, how it can occur and what factors can make an impact on the investigation of alleged abuse.

WHAt is elder abuse? 

"Elder abuse" is an umbrella term, which encompasses a number of forms of abuse, including but not limited to:

  • Physical abuse. This means that a person, often a carer or loved one, is deliberately inflicting physical injury or pain on an elderly person. Importantly, this also includes the use of physical and chemical restraints.
  • Psychological/emotional abuse. It is difficult to define exactly what constitutes emotional abuse. However, examples include making threats or intimidation, humiliating the elderly patient, failing to provide access to services (such as restricting access to clean clothing or washing facilities) or telling the patient that they have dementia when they don't.
  • Social abuse. This includes restricting a patient the right to see or interact with their family or loved ones.
  • Financial abuse. This is one of the most common types of elder abuse. It involves mismanaging, improperly using or otherwise dealing dishonestly with an older person's financial assets. Examples include forcing the elderly patient to provide bank details so that the carer can use them for their own purposes. Another example is forcing the patient to sign over money or goods in their will.
  • Sexual abuse. This is dealing with an elderly person in a sexual way without consent. It ranges from speaking about sexual activities to inappropriate sexual contact.
  • Neglect. Another very common type of elder abuse, this involves withholding basic human rights such as food, shelter, hygiene or medical assistance from the patient.
Like many other types of abuse, elder abuse is significantly under-reported. This is because of shame, fear of reprisal, or in certain circumstances the elderly patient not understanding that they are being abused. However, according to a report published by the Australian Institute of Family Studies, up to 14% of older Australians may be subjected to elder abuse.

In late 2018, a Royal Commission into Aged Care Quality and Safety was announced. Amongst its terms of reference is the specific requirement to consider poor care, including "mistreatment and all forms of abuse". An interim report commenting on initial findings is due to be published by 31 October 2019.

WHAt are the signs of elder abuse? 

Determining whether an elderly Australian in care is the victim of abuse can be extremely difficult. However, some key factors which can cause a suspicion of abuse include:

  • Sudden personality changes such as unusual anger, anxiety, fear or depression;
  • Obvious poor personal hygiene;
  • Changes in eating and sleeping patterns;
  • Changes in social activity and interaction such as becoming non-verbal, becoming isolated and lack of motivation;
  • A failure for simple medical conditions to clear up as expected (indicating maltreatment);
  • Inexplicable disappearance of money or possessions; and
  • Visible signs of injury or trauma.

Who is most at risk? 

Although potentially all older Australian in residential care facilities are at risk, those with mental health issues are at greater risk of being abused. This is because the victim may be confused themselves, about whether the abuse is even occurring. Further, even if the victim does make a complaint, those with organic brain issues and diseases or significant mental health problems may not be believed.

Challenges of an investigation 

Investigations into elder abuse are challenging due to a number of different factors. These include low reporting rates and difficulty in obtaining accurate reporting and evidence about the specific details of abuse. There are unlikely to be third party witnesses because abuse can and often does, occur in the victim's private room. Victims may also be poor witnesses due to difficulties with memory and recall or other mental health illnesses and conditions.

The Royal Commission into Aged Care Quality and Safety has revealed how the treatment of the elderly in aged care facilities can go unnoticed. If you require assistance into the investigation of elderly abuse complaints in a care setting, contact WISE to discuss your needs, and how we can help. Alternatively, we provide Investigating Abuse in Care training.

The Role of the Fair Work Commission in Workplace Disputes

Vince Scopelliti - Wednesday, August 14, 2019

There is a high likelihood that every employer will have to deal with action - or at least the threat of action - involving the Fair Work Commission (FWC). 

Let's take a look at the role of the FWC, and the importance of a defensible investigation report in the event an employee lodges a claim. 

what is the fwc?

The FWC is Australia's national workplace relations tribunal. It deals with a variety of workplace matters, such as salary disputes, enforcing agreements, reviewing workplace conditions, and making decisions on terminations. 

As part of making such determinations, the FWC has the power to impose an outcome on an employer and/or an employee. For example, if a person is considered to have been unfairly dismissed, the FWC may order that their employment is reinstated, or that compensation is payable. 

However, the FWC is not a court, and as such, its decisions can be overruled by a formal court judgement.  

how is the fwc approached?

Applications to the FWC can be lodged online or by mail. Except in certain circumstances where significant financial hardship can be demonstrated, a filing fee ($73.20 at the time of writing) is payable with the application. 

If a former employee wishes to lodge an application relating to unfair dismissal, it must be received by the FWC within 21 days of the official date of the dismissal. 

What does the fwc consider?

A number of different matters can be dealt with by the FWC. However, up to 40% of all applications heard by the tribunal involve claims for unfair dismissal. Other commonly heard applications include those seeking:

  • "Stop" orders for industrial actions;
  • Approval for enterprise agreements/clarification on the terms of an enterprise agreement;
  • Variations in salary awards;
  • An order to prevent bullying in the workplace;
  • A finding as to whether a disciplinary action is reasonable. 

what is the claims process?

Although the exact process differs slightly depending on the nature of the claim, the FWC may elect to: 

  • Recommend informal dispute resolution;
  • Proceed to a hearing of all interested parties;
  • Require written submissions by way of evidence;
  • Provide directions on dealing with the matter;
  • Make binding decisions. 

It is essential to the FWC process, that all matters are dealt with impartially and as swiftly as reasonably possible. 

the importance of a defensible investigation report

The involvement of the FWC generally means that, at some point, an employer will be required to provide evidence. Often, the best evidence available will be a properly completed investigation report. 

The existence of a robust investigation report may prevent a claimant from pursuing an application to the FWC in the first place. The FWC is also likely to look favourably on an employer who has engaged an unbiased external investigator to prepare a detailed report. 

Perhaps most crucially, the FWC will make an assessment on whether an employer's findings and actions are defensible. This will include close examination as to whether the employer can be demonstrated to have shown procedural fairness when dealing with an investigation. 

Dealing with matters brought before the FWC can be a stressful time for employers. WISE are proud that none of our decisions have been successfully challenged in the FWC. If you are looking for assistance to navigate the complex issues of workplace investigations, contact us! Alternatively, download our ultimate toolkit, which will give you confidence in making your workplace investigations procedurally fair, cost effective and consistent.

Making Findings in Workplace Investigations

Vince Scopelliti - Wednesday, August 07, 2019

When a workplace investigation is coming to an end, one task can seem deceptively simple - making findings. 

It might seem that because all the information is now available, the investigator can surely just state 'the obvious' in their report. Yet as with most tasks in the investigative process, quality outcomes require much greater consideration of relevant material. Before findings can be made, a thorough analysis of the evidence needs to occur. Findings will need to link clearly with this analysis - and all evidence must be considered.

Issues around organisational policies, plus the correct weight to be given to particular pieces of evidence, are further pieces in the puzzle of investigative findings that need to be addressed.  

analysing the evidence 

Workplace investigators are required to carefully and objectively analyse all available evidence. This includes the evidence that both supports and rebuts a likely finding. For example, if three workers said that it happened but one states that they are not sure, all four pieces of evidence must be analysed and discussed with equal consideration.

It is certainly unacceptable to simply discard a piece of evidence because it does not fit with the majority. As well as not being transparent, experienced investigators know that a small piece of contrary evidence might actually support a bigger finding at another point of the process. 

The analysis of all evidence will also incorporate the consideration of the weight to be attributed to each piece of evidence. This requires an investigator to consider for example the probative weight and value attributed to direct evidence in comparison to hearsay evidence. 

Findings need to be clear and defensible; links from evidence, to analysis, to findings and back again must be logical and well-explained. Essentially, the investigator is asking whether or not the evidence supports, on the balance of probabilities, the findings that are eventually made.  

following the organisation's policies  

As part of making accurate and defensible findings, investigators need to consider and understand the organisation's policies. Logically, in order to make a finding whether or not inappropriate behaviour has occurred, the first step will be an examination of the policy documents. 

Has the conduct in question as alleged breached a policy - and were the policies and procedures clearly understood by all concerned? General state and commonwealth laws will of course also play a part in findings, and in combination with organisational policies, will assist the investigator to mark the perimeters of acceptable behaviour.

weighing the evidence

Making findings can sometimes feel like the completion of a rather large jigsaw puzzle. Evidence is examined and analysed, with pieces being compared to one another for similarities and differences. Investigators need to consider the relevance of each piece of evidence to the allegations and overall investigation, giving more or less weight to some pieces of evidence over others for any number of reasons. 

Sometimes more weight will be given to a piece of evidence because it is for example, clearer, more compelling or better corroborated than other evidence.

remember briginshaw 

The care with which evidence is examined and weighed can have significant consequences for any potential future proceedings.

For serious allegations, employers will need to be able to rely on high-quality evidence from the initial investigation, in order to meet the evidentiary threshold. The standard of proof in all civil matters is 'the balance of probabilities', requiring that parties meet this standard via the evidence that can be marshalled in their favour. 

In matters where serious allegations have been made, the courts - beginning with Briginshaw v Briginshaw - have indicated that the standard of proof itself remains the same in all cases, but in serious matters where the finding is likely to produce grave consequences, the evidence should be of a particularly high probative value in order to meet the mark.

High-quality OUTCOMES

It is important for employers and their investigators to ensure that findings of workplace investigations can withstand the highest level of scrutiny and appeal. Given the complexities surrounding current workplace investigations, a high level of skill is required to ensure report findings are both sound and defensible. To ensure that you are assessing evidence effectively, WISE provides training in conducting workplace investigations