Workplace Investigations

Effective workplace investigations are essential for fair process and sound decision-making.

When Investigations Are Needed

Common Triggers

Situation	Investigation Required?
Misconduct allegation	Yes
Grievance raised	Often
Complaint about behaviour	Usually
Bullying/harassment allegation	Yes
Performance concerns	May be helpful
Policy breach	Often
Theft/fraud suspicion	Yes

Purpose

Investigations establish:

• What happened
• Who was involved
• What evidence exists
• Whether formal action is warranted

Investigation Principles

Key Principles

Principle	What It Means
Impartiality	No predetermined view
Thoroughness	Gather all relevant evidence
Confidentiality	Appropriate privacy
Timeliness	Without unreasonable delay
Fairness	Both sides heard

Natural Justice

Investigations should follow natural justice:

• Hear both sides
• No bias
• Evidence-based conclusions
• Reasonable findings

Planning the Investigation

Terms of Reference

Define:

• Scope of investigation
• Specific allegations
• Who will investigate
• Timeline (target)
• Reporting arrangements

Investigation Plan

Consider:

• What evidence to gather
• Who to interview
• Order of interviews
• Documents needed
• Resources required

Evidence Gathering

Types of Evidence

Type	Examples
Documentary	Emails, records, policies
Electronic	CCTV, system logs, messages
Testimonial	Witness accounts
Physical	Products, equipment

Gathering Documents

• Request relevant documents early
• Preserve electronic evidence
• Maintain chain of custody
• Document what's collected
• Store securely

Interviewing

Planning Interviews

• Prepare questions in advance
• Consider order of interviews
• Allow sufficient time
• Choose appropriate location
• Arrange note-taker

Interview Structure

1. Introduction - explain purpose, confidentiality
2. Background - establish context
3. Open questions - what happened?
4. Probing questions - clarify details
5. Closing - anything to add?

Interview Techniques

Do	Don't
Ask open questions	Lead the witness
Listen actively	Interrupt
Take detailed notes	Rely on memory
Remain neutral	Show bias
Allow silences	Rush

Witness Management

• Interview separately
• Stress confidentiality
• Allow companion (where appropriate)
• Provide opportunity to review statement
• Protect from victimisation

Interviewing the Subject

Rights

The person under investigation:

• Should know they're being investigated
• Should understand the allegations
• Should have opportunity to respond
• May be accompanied (depending on stage)

Approach

• Explain this is fact-finding
• Put allegations clearly
• Allow full response
• Gather their evidence/witnesses
• Don't prejudge

Documentation

What to Record

• All evidence gathered
• Interview notes
• Documents reviewed
• Decisions made
• Timeline of investigation

Investigation Report

Should include:

Section	Content
Background	What triggered investigation
Terms of reference	Scope and allegations
Methodology	How investigation conducted
Evidence	Summary of what was gathered
Findings	What the evidence shows
Conclusion	Whether case to answer
Recommendation	Suggested next steps

Standard of Proof

Balance of Probabilities

Workplace investigations use:

• "More likely than not"
• 51% or more certainty
• NOT criminal standard (beyond reasonable doubt)

Making Findings

Investigator should:

• Assess credibility of witnesses
• Weigh conflicting evidence
• Consider corroboration
• Draw reasonable inferences

Common Challenges

Conflicting Evidence

When witnesses disagree:

• Consider each version carefully
• Look for corroboration
• Assess credibility
• Consider motivation
• Document reasoning

Uncooperative Witnesses

If someone won't engage:

• Document attempts to involve them
• Proceed based on available evidence
• Note impact on findings
• May draw adverse inferences

Anonymous Complaints

Handle carefully:

• Investigate where possible
• Less weight without details
• Protect complainant identity
• Consider what's fair to accused

After Investigation

Possible Outcomes

Finding	Next Step
No case to answer	Close investigation
Insufficient evidence	May close or continue
Case to answer	Formal process
Serious case	Disciplinary with possible dismissal

Communicating Outcomes

• Inform subject of findings
• Explain what happens next
• Maintain confidentiality
• Store report securely

Complex Investigations

When to Use External Investigator

Consider for:

• Senior employee involved
• Sensitive allegations
• Complex matters
• Legal expertise needed
• Perception of independence

Multiple Parties

When investigation involves several people:

• Maintain confidentiality between
• Interview separately
• Consider if same investigator appropriate
• Coordinate carefully

Tips for Investigators

Do

• Plan thoroughly
• Stay impartial
• Document everything
• Follow the evidence
• Keep to timeline
• Maintain confidentiality

Don't

• Prejudge the outcome
• Investigate and decide
• Share details inappropriately
• Rush to conclusions
• Ignore relevant evidence
• Allow interference

Legal Considerations

Data Protection

• Lawful basis for processing
• Only gather what's needed
• Keep secure
• Retention policy
• Subject access rights

Employment Law

• Fair process considerations
• Right to respond
• Discrimination awareness
• Reasonable timescales
• Documentation for tribunal