Workplace Misconduct Allegations Series
In our series on managing workplace misconduct, we break down the steps in an investigation to provide practical tips and best practice guidance to help you identify, manage and resolve workplace issues in a fair and reasonable manner that minimises your risk exposure. In this article, we explore the importance of desktop assessments.

In most cases, misconduct in the workplace comes about in one of the following ways:
- A grievance or complaint raised by another person – such as an employee, customer, anonymous whistleblower, family member or public citizen – otherwise known as the “complainant”;
- A failed process that has been picked up – such as an alert from a system, a notification through a report or register, or a manager witnessing a process failure; or
- A proactive or remedial audit that has picked up inappropriate workplace behaviour – such as random or targeted drug and alcohol testing, periodic email audits or financial audits.
A desktop assessment is the first step you should take immediately after you believe workplace misconduct has occurred.
What is a Desktop Assessment?
A desktop assessment establishes prima facie (whether there is merit) and is a preliminary assessment of information available and any necessary steps to be taken. It’s not intended to be a thorough process and you must not make findings during this stage. Instead, the process allows you to get your ducks in a row and consider the best approach to take. Workplace investigations should be used sparingly, and in some cases, an investigation may not be the correct approach to take. A desktop assessment will help to establish this.
The purpose of a desktop assessment is to give you an understanding of the following
What Evidence Is Available To You, And How Reliable Is It?
Consider whether there are any witnesses or CCTV footage to corroborate the issue. This is a good reminder to download CCTV evidence if your security system records over footage on a cyclical basis which can wipe your evidence.
If you are aware of others that were in the workplace at the time, you may ask whether they witnessed a specific incident. It is imperative that this is done quickly and confidentially as any allegations of misconduct should be given to the employee by the business, rather than a colleagues through rumours and workplace gossip.
Run reporting or gather other documentary evidence which allows you to analyse the information correctly to ensure the issue is valid, and that you have not misread or misinterpreted information.
What Policies Are Relevant To The Matter, And If Substantiated, How Serious Is The Misconduct?
Consider whether the issues are potentially a breach of a policy, procedure, code of conduct, employee handbook and/or employment contract if substantiated, and review the wording and requirements in each.
Think laterally when it comes to potential breaches. For example, speeding in a company-issued motor vehicle may be a breach of your motor vehicle policy, however it also poses WHS risks and may cause reputational damage if the vehicle is company-branded. Accordingly, it’s important to also consider your WHS policy, code of conduct and employment contract which you may cite in your allegations.
Using the above example of speeding again, if it turns out that a public citizen has complained about a company-branded vehicle driving at 70km/hr in a school zone, the reputational damage moves from potential to real, which may also then constitute serious misconduct pursuant to regulation 1.07 of the Fair Work Regulations 2009.
Are There Any Immediate Business And/Or WHS Risks That Need To Be Managed?
Based on the nature and seriousness of the issue, consider whether immediate steps need to be taken to control or eliminate any risk. Suspension from duties should generally be a last resort, and when the risk cannot otherwise be controlled.
You may consider temporary remediation such as locking systems or removing access (for data breaches), recalling a company-issued vehicle (for reckless driving), or removing a task or responsibility from the employee.
In matters of theft, fraud, sexual harassment, sexual assault or physical assault, suspension from duties to remove further risk in the workplace may be the more appropriate step to take.
Will An Investigation Yield The Best Outcome, Or Should You Consider Another Approach?
Investigations are time-consuming, can significantly disrupt the workplace, and/or negatively impact team culture.
Consider how serious the issue is and whether formal counselling with the employee can achieve the same or similar result.
When thinking about the evidence that is available, consider the likelihood of substantiating the allegation. At the conclusion of an investigation, you will either: (1) substantiate the allegation – meaning there is enough evidence or an admission is made to confirm it happened; (2) not substantiate the allegation – meaning there is enough evidence that confirms that it did not happen; or (3) be unable to substantiate due to a lack of corroborating evidence to support a finding one way or the other.
It’s important to recognise that launching an investigation without clear evidence can lead to an inability to make a finding, which often results in a worse situation than if you did nothing to begin with. An employee who has an understanding of why the investigation has fallen over, can become smarter in how they engage in inappropriate conduct moving forward – knowing how to dodge corroborating evidence.
In matters of workplace bullying or other antisocial behaviour, the complainant can also feel unheard, invalidated or unsafe in the workplace, if the investigation fails to yield a finding in their favour. Consider whether an alternative dispute resolution process is more appropriate – such as a facilitated conversation between the parties or formal mediation.
Procedural Fairness
It’s important to mention that workplace investigations can be very stressful on employees and can have a negative impact beyond the workplace.
As mentioned earlier in this article, a desktop assessment establishes prima facie, which gives you reasonable cause to proceed with an investigation. An investigation without cause may otherwise be seen as an unreasonable management action. This can lead to the employee bringing a stop bullying or general protections claim against you at the Fair Work Commission, or reduce your ability to defend a worker’s compensation claim for psychological injury.
It’s also not uncommon for vexatious complaints to be made, and a desktop assessment can help to verify the merits and legitimacy of a complaint.
Creating a Culture of Compliance
A proactive approach to compliance not only avoids penalties but also builds trust with employees. Clear communication about pay rates, entitlements, and workplace rights also goes a long way to prevent disputes. If a mistake does happen, addressing it promptly and transparently can resolve the issue before it escalates.
Format
There is no standard format or report that needs to be completed as part of a desktop assessment. Instead, it’s the assessment of the information, evidence, policies and the immediate risks, and identification of the best approach to take, which can be written down on the back of an envelope. It is important that you move through a desktop assessment quickly to ensure you initiate any action in a timely manner.
Need Advice?
And as always, we welcome you to contact our team if you would like us to support you with a desktop assessment or conduct an investigation into workplace misconduct, or if you have any questions regarding this matter or any other HR concerns.