Why investigations matter

Not every complaint needs a formal investigation, but some absolutely do.

Investigate when:

• Allegations involve serious misconduct (e.g. harassment, serious breaches of policy & systemic issues)
• The matter could attract media or regulator attention
• Senior individuals are involved
• There’s a risk of legal liability or reputational damage

Don’t ignore red flags. A prompt, fair investigation protects your people, your business, and its culture.

A well-planned investigation is fair, efficient, and defensible. Before you begin:

• Identify the investigator (will you work with an internal team or engage an external provider?)
• Consider local law requirements (is there a statutory grievance/disciplinary process? Are there work rules?)
• Define the scope of allegations clearly
• Map out key witnesses and documents
• Inform the Respondent of the allegations and evidence against them
• Provide the Respondent with the opportunity to respond to and defend the allegations.
• Notify witnesses of the investigation and then schedule interviews (ensuring communications are factual and sensitive) 
• Consider culturally informed practices and legal privilege

Prompt action is important, but fairness needs to be the priority.

The credibility of your investigation depends on who leads it. When deciding whether to engage an external investigator or deploy internal resources you will need to weigh the risks and optics. Either way, your investigator should be:

• Impartial – no stake in the outcome
• Experienced – skilled in sensitive interviews and evidence handling
• Confident – able to manage complex or high-stakes matters and draw factual conclusions based on available evidence.

 Internal or external?

• Internal investigators may be cost-effective and familiar with context (including internal policies and procedures)
• External investigators offer independence and objectivity. Especially useful for senior-level or reputationally sensitive matters, as well as privilege protection

A clear allegation sets the foundation for a fair and focused investigation.

Strong allegations include:

• Specific details: names, dates, locations
• Clear description of the conduct
• Direct relevance to workplace policies or laws

Avoid:

• Vague or generalised complaints
• Hearsay or third-hand accounts
• Allegations that lack factual basis

Why it matters:

Poorly framed allegations can derail the process, confuse witnesses, and undermine outcomes.

Legal privilege can ensure that sensitive matters are protected from disclosure but might not be applicable in all cases.

To protect privilege:

• Involve legal counsel early
• Ensure communications are for the purpose of legal advice
• Mark documents as “Privileged and Confidential”
• Keep investigation materials separate from HR or operational records

Not all investigations are privileged. Be deliberate and document your intent.

Investigations often involve sensitive topics, how you conduct the interview and process matters.

Best practices:

• Notify parties in writing and explain the process
• Offer support persons or EAP referrals
• Use neutral, non-judgmental language
• Avoid leading questions or assumptions
• Be mindful of cultural and psychological safety

Why it matters:

Culturally sensitive approaches build trust, reduce harm, and improve the quality of evidence.

Your investigation report must be clear, fair, and defensible.

A strong report includes:

• Clear findings based on evidence
• Analysis of whether policies or laws were breached
• Recommendations (where appropriate)
• A logical structure and neutral tone

Keep in mind:

• Avoid speculation or emotive language
• Ensure consistency with interview notes and supporting documents
• Tailor the report to its audience. HR, legal, or executive