Workplace investigation conduct preparation checklist
Workplace investigations must be fair, independent, and proportionate. This checklist walks through the standard steps for an internal or external investigator.
This is a 12-step checklist for conducting a workplace investigation into alleged misconduct. It covers scoping, procedural fairness, evidence gathering, interviews, and making findings on the balance of probabilities.
The checklist
Define terms of reference
Agree terms of reference with the instructing employer — scope, allegations, and deliverables.
Identify the legal framework
Identify the applicable law — Fair Work Act, WHS Act, anti-discrimination, and Respect@Work positive duty.
Check investigator independence
Confirm the investigator has no conflict of interest or prior involvement.
Formulate the allegations
Draft the allegations in specific, particularised form — who, what, when, where, and the alleged breach.
Notify the respondent
Notify the respondent of the allegations in writing and invite a response with a reasonable time.
Offer a support person
Offer the respondent and complainant a support person (not an advocate) at interviews.
Gather documentary evidence
Collect emails, messages, rosters, CCTV, and any other objective evidence.
Interview the complainant
Interview the complainant, document the account, and identify corroborating witnesses.
Interview witnesses
Interview each witness separately and document their account with verbatim notes where possible.
Interview the respondent
Interview the respondent and put each allegation and the supporting evidence for response.
Make findings on the balance of probabilities
Apply the civil standard with appropriate Briginshaw weighting for serious allegations.
Deliver investigation report
Prepare a written report covering allegations, evidence, findings, and recommendations.
When this checklist applies
Use this checklist when instructed to investigate allegations of bullying, harassment, or misconduct in the workplace.
Common pitfalls
- Vague allegations that the respondent cannot meaningfully answer
- Investigator lacking independence from the parties
- Skipping the Briginshaw weighting for serious allegations
- Sharing evidence or witness statements prematurely
- Report blurring findings with recommendations for discipline
Run this checklist on a real matter
Quillio drafts investigation terms of reference, interview plans, and final reports. See /practice-areas/commercial-lawyers or start a free trial.
This checklist is a general guide. Investigations often interact with WHS, psychosocial, and industrial obligations — obtain specific 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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