Workplace investigation preparation checklist
Workplace investigations must be procedurally fair, properly documented, and legally defensible. This checklist applies to investigations into bullying, harassment, sexual harassment, code of conduct breaches, and other misconduct allegations.
This is a 12-step checklist for preparing and conducting a workplace investigation in Australia. It covers procedural fairness, witness interviews, evidence gathering, and report drafting. Use it as a quality control framework for any internal or independent investigation.
The checklist
Confirm terms of reference
Document the scope of the investigation in written terms of reference. Include the allegations, the people involved, and the limits of the investigation.
Identify the investigator
Decide whether the investigation is internal or independent. Independent investigators avoid bias concerns for serious matters.
Notify the respondent
Notify the respondent of the allegations in writing and provide them with the substance of the complaints. This is fundamental to procedural fairness.
Notify the complainant
Confirm with the complainant that an investigation is being conducted and explain the process and timeframes.
Identify witnesses
Identify all witnesses who may have relevant information. Prepare a witness list with the relevance of each.
Prepare interview plans
Prepare an interview plan for each witness covering the topics, the order of questions, and the documents to put.
Conduct interviews with support
Allow each interviewee to have a support person present. Take comprehensive notes or record (with consent).
Gather documentary evidence
Collect all relevant documents — emails, policies, training records, prior complaints. Preserve metadata.
Apply the standard of proof
Apply the civil standard of proof — balance of probabilities — to make findings of fact.
Make findings of fact
Document findings of fact based on the evidence. Distinguish facts from interpretation or opinion.
Apply policy and recommend outcomes
Apply the relevant workplace policy to the findings and recommend outcomes (no action, warning, training, dismissal).
Draft the investigation report
Draft a structured report covering the terms of reference, evidence summary, findings of fact, application of policy, and recommendations.
When this checklist applies
Use this checklist at the start of any workplace investigation — whether internal or independent. Run through each item and confirm before each phase of the investigation.
Common pitfalls
- Failing to provide procedural fairness to the respondent — biggest risk for the investigation
- Not allowing support persons in interviews
- Mixing findings of fact with opinions or recommendations
- Inadequate documentation of the evidence and reasoning
- Failing to apply the Briginshaw standard for serious allegations
Run this checklist on a real matter
Quillio drafts workplace investigation reports following the standard structure, helps prepare interview plans, and surfaces relevant authority on procedural fairness. See /practice-areas/employment-lawyers or start a free trial.
This checklist is a general guide. Workplace investigations are sensitive and high-risk — consider obtaining specialist employment law advice.
Use this checklist on your matter.
Quillio can run this checklist on a specific NSW conveyancing matter — confirm each item, calculate adjustments, and generate the supporting documents. The free trial requires no credit card.
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