Introduction
Workplace investigations are essential for maintaining safe, fair and compliant workplaces. When handled correctly, they:
- Protect your people and business from risk
- Fulfil obligations under the Fair Work Act 2009 (Cth) and WHS laws
- Demonstrate integrity and good governance
Use this guide to navigate the process step-by-step, following Australian legal standards and HR best practice.
1. Act Quickly and Manage Risk
When a complaint or incident is raised:
- Acknowledge promptly — record and confirm receipt.
- Assess WHS risk — check for safety, wellbeing or victimisation concerns.
- Control risks early — separate parties, adjust rosters, or activate EAP support.
- Determine the right path — informal resolution or formal investigation.
Under WHS legislation, employers must manage psychosocial hazards (like bullying or harassment) so far as reasonably practicable.
2. Appoint an Impartial Investigator
Select someone qualified and neutral — internal HR or external specialist.
Define Terms of Reference that outline:
- Allegations and timeframe
- Policies and standards being tested
- Roles, responsibilities and confidentiality
- Deliverables such as a written findings report
3. Ensure Procedural Fairness
Procedural fairness (natural justice) means:
- The respondent receives clear allegations and evidence
- They have reasonable opportunity to respond
- They may have a support person (Fair Work Act s.387(d))
- The investigator remains impartial and transparent
4. Collect and Assess Evidence
Gather all relevant information:
- Documents, emails, rosters, CCTV, messages
- Witness statements or interview records
Keep evidence secure and confidential.
5. Conduct Fair, Trauma-Aware Interviews
- Prepare neutral, behaviour-based questions.
- Explain process and confidentiality limits.
- Take accurate notes and confirm key details.
- Use trauma-informed techniques for sexual or gender-based harassment cases.
6. Make Findings on the Balance of Probabilities
Use the balance of probabilities test: is it more likely than not that the conduct occurred?
For serious allegations, apply the Briginshaw principle — the more serious the allegation, the stronger the evidence needed.
Document reasoning and evidence for each finding.
7. Communicate Outcomes and Next Steps
Report outcomes clearly and confidentially:
- Substantiated
- Not substantiated
- Unable to determine
If misconduct is found, run a separate disciplinary process consistent with s.387 Fair Work Act (notification, opportunity to respond, support person, etc.).
Address any broader cultural or procedural issues identified.
8. Embed Learning and Prevention
Under the Respect@Work Positive Duty, employers must take reasonable and proportionate measures to prevent sexual harassment, discrimination and victimisation.
That includes:
- Building a culture of respect and psychological safety
- Training leaders in early intervention
- Regularly reviewing policies, reporting channels and risk controls
Quick Workplace Investigation Checklist
- Acknowledge and record the complaint
- Appoint an impartial investigator
- Define the terms of reference and scope
- Ensure procedural fairness
- Collect and preserve evidence securely
- Interview all parties fairly
- Apply the balance of probabilities and Briginshaw principle
- Document findings and communicate outcomes
- Implement improvements and preventative actions
Need expert help?
At Total HRM, our fully qualified investigators conduct independent, fair and confidential workplace investigations for organisations across Albury Wodonga, North East Victoria and the Riverina.
Whether you need help with a complex complaint, a procedural review, or prevention training, our experienced consultants provide the clarity, confidence and compliance you need.