Someone has raised a complaint in your workplace, and you are trying to understand the workplace investigation process. You are not alone. Most people who commission or take part in an independent workplace investigation have never been through one before. Not knowing what happens next can be one of the more unsettling parts of the experience.
An independent workplace investigation generally follows the same sequence of stages, even though every matter looks different once you get into the detail. Knowing what those stages are, and roughly what to expect at each one, can make the process considerably less daunting. That is true whether you raised the complaint, you are responding to it, or you commissioned the investigation as an employer.
Step 1: Scoping the allegations
Before any interviews take place, the investigator needs to work out exactly what the parties are alleging.
Complaints rarely arrive in a form that translates directly into formal allegations. They often include background, opinions and events involving several people. The investigator’s first task is to distil that material into clear, specific allegations: what happened, who allegedly did it, and when.
This step, sometimes called setting the terms of reference, also defines the scope of the investigation. A well-scoped investigation stays focused on what the matter actually requires, rather than expanding into every grievance raised along the way.
Step 2: Notifying the parties
Once the allegations are clear, the organisation formally notifies the respondent, and tells both the complainant and respondent how the process will run.
Procedural fairness requires that a respondent knows the substance of the allegations against them. They must also have a genuine opportunity to respond before the investigator makes any findings. Getting this step right early avoids problems later – a fair process depends on it.
Step 3: Interviewing the complainant, respondent and witnesses
Interviews are usually the core of the investigation. The investigator usually interviews the complainant first, followed by any witnesses, and gives the respondent an opportunity to respond once the allegations are clear.
Each interview is an opportunity to test and clarify the account, not to argue with it or accept it. A good interview explores what the person actually saw, heard or experienced, and separates that from assumption, hearsay or workplace rumour.
Interviews can be conducted in person or by secure video call, and are usually recorded or transcribed so the investigator has an accurate record to work from later.
Step 4: Gathering and testing the evidence
Alongside interviews, the investigator gathers relevant documents and other evidence. That can include messages, emails, rosters, policies, CCTV footage or anything else that may help establish what happened.
Where accounts conflict, the investigator looks for anything that can help resolve the inconsistency. That might include contemporaneous records, corroborating witnesses, or the inherent likelihood of one version over another. This is often the most time-consuming part of the process, particularly where there are no independent witnesses and the matter comes down to competing accounts.
Step 5: Weighing the evidence and making findings
Once the investigator has gathered all the evidence, they weigh it against the standard that applies in workplace investigations: the balance of probabilities. That means asking whether it is more likely than not that the alleged conduct occurred. The investigator weighs that against the seriousness of the allegation and the quality of the evidence available.
The investigator is not deciding who they believe in a general sense. They are making a specific finding, allegation by allegation, based on the evidence in front of them.
Step 6: The investigation report
The investigator sets out the findings in a written report. It explains the allegations, the evidence considered, the reasoning behind each finding, and the conclusion reached. A good report allows anyone reading it – including someone who was not involved in the investigation – to understand how the investigator arrived at each finding.
The investigator provides the report to the person who commissioned the investigation, who then decides what action, if any, follows. The investigator’s role generally ends with the findings; decisions about consequences sit with the employer.
What to expect during the workplace investigation process
If you are the complainant, respondent or a witness, you can expect the investigator to explain broadly what the process will involve. You should get a genuine opportunity to have your say, and the investigator should treat you respectfully throughout. You should not expect a running commentary on findings before the investigator finishes the report, and you also should not expect the investigation to move faster than a fair process allows.
Most independent workplace investigations take several weeks from initial engagement to a final report, depending on the number of people involved and the availability of evidence. For a fuller picture of realistic timeframes, see How Long Does a Workplace Investigation Take?
If you are trying to work out what an independent workplace investigation process would look like for your workplace, I am happy to talk you through it before you commit to anything. You can reach me to discuss a complaint you have received, or a matter you think may need an independent investigation.