Workplace investigations are a rigorous process requiring careful adherence to procedures, ensuring compliance with workplace laws and reducing legal risks.
Here, our experts answer common questions on workplace investigations that come through our Employee Relations Helpline.
As a CCIWA Member, you get unlimited access to our Employee Relations Helpline. We are here to help you manage your employee relations needs. This includes prompt advice on your circumstances and up-to-date industrial relations information. Contact us on 08 9365 7660 or via [email protected].
Q: What triggers a workplace investigation?
A: Workplace investigations are a key tool for addressing issues that can arise within an organisation. While often prompted by complaints from employees, customers, or third parties, they may also arise from broader concerns such as non-compliance with workplace policies and procedures, failure to follow management direction and breaches of contracts of employment.
Failing to conduct a proper investigation – especially when action is taken or withheld – exposes a business to significant legal risks. These can include claims of unfair dismissal, discrimination, harassment, bullying, general protections breaches and vicarious liability.
Q: What steps should I follow to ensure a fair workplace investigation?
A: Upon receiving a complaint, an employer should first assess its seriousness and determine whether a formal investigation is required. This includes considering legal risks, relevant company policies, and any applicable industrial instruments that may guide the investigation process.
The next step is to plan the investigation. This involves defining its scope, reviewing the working arrangements of the complainant and respondent, and identifying any special considerations – such as health issues that may affect participation during a formal investigation or meeting.
HR kits/guides:
- Employment Lifecycle Kit – guidance notes on procedural fairness when taking disciplinary action and includes template letters for written warnings and termination.
- Recruitment and Termination Kit – guidance on procedural fairness, taking disciplinary action, and template written warning letters.
Related training course:
The employer should then gather all relevant evidence, interview witnesses and the complainant, present allegations to the respondent, then obtain their response typically in the capacity of a formal meeting. After obtaining all necessary information, the investigator must determine, on the balance of probabilities coupled with relevant and accurate information or material, whether the allegations have been substantiated. If so, appropriate disciplinary action should follow in an outcome meeting.
Throughout the process, impartiality and objectivity are critical. Anyone directly involved in a complaint should not participate in the investigation to avoid conflicts of interest. Where internal impartiality cannot be assured, employers should engage an independent third party.
Q: What should I obtain in a workplace investigation?
A: An investigation focuses on fact-finding to ensure that the allegations provided to the respondent are specific and allow them a fair opportunity to respond. This requires details such as times, locations, individuals involved, and a clear account of the incident. Evidence should be gathered accordingly and may include witness statements, documents (e.g., CCTV footage, time sheets, emails), site inspections, or expert input – depending on the nature of the issue.
Q: What happens after a workplace investigation concludes?
A: Once the investigation is complete and the respondent has been informed of the outcome, the process should be formally closed. This includes notifying relevant parties and ensuring thorough documentation of the process is securely filed.
Employers should also address any identified deficiencies in policies, procedures, training, or workplace culture that came to light during the investigation. Ongoing monitoring of the workplace – particularly where disciplinary action did not result in termination – is recommended to ensure a safe and compliant environment.
For tailored guidance on workplace investigations, contact CCIWA’s Employee Relations Helpline on (08) 9365 7660 or via [email protected].
