"

"#$%&'()* +,-*./01(/0#,.
2*./ 3$()/0)* 4506*


ConLenLs
1. urpose and Scope
2. AuLhorlLy and owers Lo lnvesLlgaLe
3. LeglslaLlve and ollcy lramework
4. 1he lnvesLlgaLlon rocess
3. 8eferral or 8ecelpL of a ComplalnL or lssue
6. lnvesLlgaLlon or lacL llndlng lan
7. CollecLlon and AssessmenL of Lvldence
8. ConducLlng lnLervlews
9. ldenLlflcaLlon of SysLemlc lssues
10. reparaLlon of Lhe 8eporL
11. MonlLorlng Lhe CuLcome
12. SLandard LeLLers and 1emplaLes
13. 8ecord keeplng


#
7*)/0#, 8 35$&#.* (,6 7)#&*
+,/$#65)/0#,
Managlng workplace lnvesLlgaLlons uslng besL pracLlce ls essenLlal Lo ensure LhaL
lnvesLlgaLlons are underLaken ln a falr and lmparLlal manner Lo provlde an equlLable
ouLcome for all Lhe employees lnvolved. lL also provldes Lhe besL proLecLlon for Lhe
employer agalnsL clalms of blas, adverse acLlon or unfalr dlsmlssal.
AddlLlonally, Lhe organlsaLlon musL be able Lo use Lhe lnformaLlon collecLed and analysed
Lhrough an lnvesLlgaLlve process Lo lmprove processes and reduce or ellmlnaLe rlsks.
35$&#.*
1he purpose of Lhls gulde ls Lo ouLllne a besL pracLlce approach Lo handllng Lhe varlous
aspecLs of a workplace lnvesLlgaLlon wlLhln Lhe organlsaLlon.
1he gulde wlll provlde answers Lo Lhe followlng quesLlons:
Pow are complalnLs recelved?
WhaL do you do flrsL?
Who should lnvesLlgaLe?
WhaL ls Lhe lnvesLlgaLlon process?
WhaL ls good evldence?
WhaL ls Lhe sLandard of proof?
WhaL oLher maLLers are lnvesLlgaLed?
uo Lhe same sLandards and processes apply?
7)#&*
1hls gulde has been developed Lo provlde guldance on how Lo conducL lnvesLlgaLlons ln any
organlsaLlon. lL wlll provlde asslsLance Lo any manager or sLaff members who may have a
role ln recelvlng complalnLs abouL Lhe organlsaLlon's employees, ldenLlfylng maLLers of
poLenLlal mlsconducL and deallng wlLh Lhem.
lL can however, also be applled efflclenLly Lo any Lype of lnvesLlgaLlve or facL flndlng process,
such as sLaff grlevances or workplace healLh and safeLy maLLers.

7*)/0#, 9 :5/;#$0/< (,6 3#=*$. /# +,-*./01(/*
Some organlsaLlons already have a pollcy framework ln place and much of Lhls ls based on
varlous leglslaLlve obllgaLlons, boLh aL a sLaLe and federal level. 1here ls however a
slgnlflcanL volume of pollcy framework LhaL ls ln facL noL bullL around leglslaLlve obllgaLlons,
buL besL pracLlce, for example Lhe overrldlng eLhlcal and moral obllgaLlon Lo ensure LhaL our
workplaces are free from uneLhlcal pracLlces such as bullylng. Powever smaller
organlsaLlons do noL have Lhe capaclLy Lo have a pollcy framework, so lnsLead Lhey are
gulded by whaL Lhey belleve Lhelr organlsaLlons aLLlLude Lowards employee behavlour ls. AL
common law Lhere ls an expecLaLlon LhaL organlsaLlons can expecL Lhelr employees Lo
behave ln a reasonable manner, Lo work as efflclenLly as posslble and Lo respecL Lhe
organlsaLlon lL's cllenLs, sLaff and oLher sLakeholders.

$
lL ls Lherefore lncumbenL on employees Lo respond Lo managemenL requesLs Lo answer
quesLlons and Lo parLlclpaLe ln lnvesLlgaLlons when requlred. lL ls lncumbenL on Lhe
employer Lo conducL Lhls process ln a manner, whlch ls falr and reasonable. 1hls gulde wlll
explaln how Lhls ls achleved.
lL ls essenLlal Lo any person conslderlng underLaklng any Lype of lnqulry LhaL Lhey are ln facL
auLhorlsed Lo do so, always conflrm your auLhorlLy wlLh a senlor manager. lnvesLlgaLlons
are a necessary parL of buslness operaLlons of any organlsaLlons aL any glven polnL ln Llme,
however Lhey should be conducLed only when necessary, generally as a lasL opLlon, noL a
flrsL one.
Clven Lhe very senslLlve naLure of Lhese Lypes of lnqulrles lL ls recommended LhaL an
lnvesLlgaLlon 1erms of 8eference be used (refer Lo LemplaLe). 1hls wlll arLlculaLe whaL
acLlons Lhe lnvesLlgaLor ls auLhorlsed Lo underLake Lhrough Lhe lnvesLlgaLlon process.

7*)/0#, > ?*10.'(/0-* (,6 3#'0)< @$(A*=#$%
As Lhls gulde has been developed Lo be used as a generlc gulde, Lhe varlous pleces of sLaLe
and commonwealLh leglslaLlon LhaL mlghL be appllcable are Loo broad Lo dlscuss ln deLall
here. ?ou wlll however flnd useful llnks Lo sLaLe and commonwealLh organlsaLlons such as
Lhe lalr Work Commlsslon, Lhe lalr Work Cmbudsman and varlous sLaLe lndusLrlal 8elaLlons
Commlsslons. ?ou wlll also flnd oLher useful llnks Lo leglslaLlon and Lhe Work Pelp ConnecL
webslLe conLalns lAC's and oLher documenLs Lo help you navlgaLe Lhls process.
lL ls worLh noLlng Lhe lmpacL LhaL leglslaLlon has on Lhe managemenL of employees and Lhe
complalnLs managemenL process. lor example all workplaces musL be free from bullylng
and dlscrlmlnaLory pracLlces, slmllarly workplaces musL be safe Lo work ln and ln Lhe case of
Lhe laLLer slgnlflcanL penalLles lncludlng Lerms of lmprlsonmenL lf an organlsaLlon falls Lo
comply wlLh Lhelr obllgaLlons Lo provlde safe workplaces.
ConsequenLly Lhe varlous forms of leglslaLlon LhaL apply Lo all workplaces ofLen resulL ln
larger organlsaLlons developlng pollcy Lo deal wlLh Lhe lnLeracLlons of employees ln LhaL
space, whaLever lL mlghL be. Some organlsaLlons wlll develop a code of conducL and Lhese
documenLs seL Lhe sLandards for expecLed employee behavlour, a deparLure from whlch can
resulL ln dlsclpllnary acLlon.
ln Lhe absence of pollcy, you may however be requlred Lo conslder Lhe behavlour of your
sLaff ln Lerms of a leglslaLlve obllgaLlon your organlsaLlon has, as menLloned earller
regardlng lssues of dlscrlmlnaLlon and bullylng. WhaL Lhls means ls LhaL lf a person
complalns LhaL one of your employees has acLed ln a dlscrlmlnaLlve manner Lowards Lhem
(can be a cllenL, member of Lhe publlc or anoLher employee) you wlll have an obllgaLlon Lo
conslder Lhe complalnL and Lake acLlon lf requlred. 1he same applles for bullylng allegaLlons
and workplace healLh and safeLy lssues, however on Lhls lssue you should consulL wlLh your
sLaLe regulaLor (Lhey are ofLen named afLer Lhe leglslaLlon)
WhaL Lhls summary means ls LhaL when you conducL an lnqulry, Lhere wlll always be some
pollcy or leglslaLlon Lo be consldered. lL ls essenLlal LhaL ln conslderlng how or why an evenL
occurred, lL should be done agalnsL Lhe backdrop of Lhe pollcy and leglslaLlve framework of
your organlsaLlon, where appllcable. ln oLher words whaL dld happen v whaL does Lhe
pollcy or law say should have happened. A fallure Lo do so or a fallure Lo deal wlLh Lhe lssue

%
approprlaLely can resulL ln cosLly llLlgaLlon or complalnLs lodged wlLh Lhe lalr Work
Commlsslon.

7*)/0#, B C;* +,-*./01(/0#, 3$#)*..
noL every complalnL requlres an lnvesLlgaLlon. AllegaLlons of mlsconducL can range from
mlnor Lo exLremely serlous maLLers LhaL may requlre some form of lnvesLlgaLlon and may
resulL ln dlsclpllnary acLlon. ln facL lL ls essenLlal LhaL where posslble complalnLs are dealL
wlLh ln Lhe leasL obLruslve manner. 1hls may noL always be posslble, however lL ls a
deLermlnlng facLor ln assessmenL declslon-maklng.
lf however an lnvesLlgaLlon ls requlred Lhe followlng ls an ouLllne of Lhe process generally
followed:
! research Lhe your organlsaLlons pollcy, (lf you have one), procedure and leglslaLlon
relevanL Lo Lhe allegaLlon/s,
! gaLher all relevanL documenLaLlon,
! lnLervlew concerned parLles,
! record Lhe lnLervlews conducLed (where posslble),
! accuraLely conslder all evldence obLalned wlLh respecL Lo Lhe allegaLlon/s,
! provlde a reporL of Lhe ouLcome of Lhe lnvesLlgaLlon (Lo Lhe person LhaL requesLed Lhe
lnvesLlgaLlon),
! malnLaln confldenLlallLy, and
! ablde by Lhe requlremenLs of any relevanL company pollcy when underLaklng Lhe
lnvesLlgaLlon process. (where appllcable)
D01;/. #E FA&'#<**.
lL ls lmporLanL Lo remember Lhe rlghLs of all employees, wheLher Lhey are a complalnanL,
wlLness or Lhe person LhaL has allegaLlons made abouL Lhem. ?our organlsaLlon has a
common law duLy of care Lo conslder ln how lL deals wlLh lssues. 1here ls no onus on Lhe
employee Lo prove Lhelr lnnocence, an lnvesLlgaLlon musL seek Lo esLabllsh wheLher
mlsconducL dld/dld noL occur.
An employee, sub[ecL Lo a complalnL, should be able Lo expecL:-
! ConfldenLlallLy as far as posslble,
! no prlor deLermlnaLlon ls made, (meanlng LhaL no one has declded Lhe ouLcome
already)
! 1he employee should be provlded wlLh parLlculars of lssues (whaL's been alleged) prlor
Lo any lnLervlew,
! An employee should have Lhe opporLunlLy Lo respond Lo any allegaLlons agalnsL Lhem
prlor Lo any declslon-maklng, (naLural !usLlce)

&
! Any lnvesLlgaLlon lnLo mlsconducL should be handled ln a Llmely, sysLemaLlc and
effecLlve manner and conslsLenL wlLh procedural falrness,

Where an employee refuses Lo cooperaLe ln a workplace lnvesLlgaLlon, Lhe lnvesLlgaLor
should remlnd Lhe employee of Lhelr obllgaLlons. Should Lhe employee sLlll refuse Lo
cooperaLe afLer belng lnformed of Lhelr obllgaLlons, Lhey should be warned LhaL a fallure Lo
parLlclpaLe could also be consldered as a dlsclpllnary maLLer. lf Lhey sLlll refuse Lo
parLlclpaLe a declslon wlll be requlred as Lo how Lo progress Lhe maLLer, whlch may requlre a
reporL Lo be submlLLed wlLhouL Lhelr verslon of evenLs, however menLlonlng Lhelr repeaLed
refusals. 1he declslon maker can declde lf he/she wlshes Lo Lake furLher acLlon wlLh Lhe
refusal Lo parLlclpaLe. (8efer Lo dlsclpllne guldellnes)

7*)/0#, G D*)*0&/ #E ( )#A&'(0,/ H =;(/ /# 6#I
All complalnLs recelved or lssues LhaL are dlscovered requlre some form of assessmenL.
Why? So you as Lhe manager can make a declslon as Lo Lhe besL course of acLlon, for
example ls lL a maLLer LhaL ls posslble Lo resolve lnformally, or by counselllng Lhe employee?
Cr does lL requlre a more formal lnvesLlgaLlon. 1he assessmenL ls based on a range of
facLors: (conslderaLlons are noL exhausLlve)
! Are Lhe lssues ralsed serlous or noL?
! ls Lhere a more approprlaLe mechanlsm for deallng wlLh Lhe maLLer oLher Lhan formal
lnvesLlgaLlon?
! Wlll governmenL regulaLors have an lnLeresL ln how lL's been dealL wlLh?
! WhaL slgnlflcance does Lhe complalnL have for Lhe organlsaLlon and lLs employees? ls lL
a maLLer LhaL could cause repuLaLlonal damage?
! uoes Lhe complalnL lndlcaLe Lhe exlsLence of a sysLemlc problem or a serlous abuse of
power?
An lsolaLed complalnL may noL appear worLhwhlle Lo lnvesLlgaLe, buL a serles of complalnLs
relaLlng Lo Lhe same maLLer suggesLs LhaL an lnvesLlgaLlon may be requlred Lo deLermlne
wheLher Lhere ls a paLLern of conducL or a broader sysLemlc problem.
Pow Lhe organlsaLlon manages complalnLs wlll dlffer dependlng on Lhe unlque
clrcumsLances surroundlng each complalnL. Many maLLers can be resolved vla oLher
managemenL opLlons, lncludlng medlaLlon, Lralnlng or lssulng a dlrecLlon.
ln publlc secLor organlsaLlons Lhere ls ofLen a leglslaLlve obllgaLlon Lo refer parLlcular
maLLers Lo Lhe ollce, for example LhefL and fraud maLLers, however prlvaLe secLor
organlsaLlons are noL bound by Lhls obllgaLlon. lf a company or oLher Lype of organlsaLlon ls
a vlcLlm of a crlme commlLLed by an employee, lL may be approprlaLe Lo lnvolve Lhe pollce.
Lach case should be consldered on lLs merlLs and facLors such as Lhe value, Lhe
clrcumsLances, lf Lhe employee ls sLlll employed, whaL your organlsaLlon wlll do ln respecL of
Lhe employee lf Lhey are found gullLy eLc.

7*)/0#, J +,-*./01(/0#, #$ @()/ @0,60,1 3'(,

'
As parL of Lhe lnvesLlgaLlon framework lL ls recommended LhaL Lhe appolnLed workplace
lnvesLlgaLor develop an lnvesLlgaLlon plan (refer Lo LemplaLe). uevelopmenL of Lhls plan wlll
asslsL ln guldlng Lhe lnvesLlgaLlon process, and ensures LhaL Lhe lnvesLlgaLlon ls meLhodlcal
and adequaLely addresses Lhe allegaLlons ralsed ln Lhe lnvesLlgaLlon 1erms of 8eference, lf
one has been lssued.
rlor Lo preparlng Lhe lnvesLlgaLlon plan, Lhe lnvesLlgaLor should Lake Lhe Llme Lo carefully
revlew Lhe lnvesLlgaLlon 1erms of 8eference, lf you're noL uslng one, Lhen look carefully aL
whaL you have been asked Lo do. 1he lnvesLlgaLor should ensure LhaL Lhey have a clear
undersLandlng of Lhe scope, and expecLed dellverables from Lhe workplace lnvesLlgaLlon.
Any concerns of Lhe workplace lnvesLlgaLor should be ralsed wlLh managemenL as soon as
posslble.
1he lnvesLlgaLlon plan should lnclude, buL ls noL llmlLed Lo, relevanL:
! leglslaLlve provlslons, lf appllcable,
! provlslons of Lhe Code of ConducL, or oLher pollcy, procedure or docLrlne, lf appllcable,
! prevlous lnsLances where Lhe lssue may have been ralsed, or
! documenLaLlon, already recelved by Lhe organlsaLlon, whlch ls relaLed Lo Lhe lssue (eg.
complalnL documenLaLlon).
+,-*./01(/0#, &'(,. .;#5'6 K* )#A&$*;*,.0-*L (,6 0,)#$&#$(/*M
! a summary of Lhe lssue/s aL hand,
! a llsL of all Lhe lssues provlded ln Lhe lnvesLlgaLlon 1erms of 8eference (lf lssued), whlch
lncludes speclflc deLall of each lssue,
! a llsL of whaL facLs are requlred Lo be esLabllshed ln order Lo deLermlne each lssue (whaL
occurred, who ls lnvolved, how Lhe acLlon occurred, when Lhe acLlon occurred, and why
Lhe acLlon occurred),
! a Llmellne of evenLs,
! a llsL of lndlvlduals LhaL may be requlred Lo be lnLervlewed ln relaLlon Lo each lssue, or
provlde a sLaLemenL, and whaL lnformaLlon ls requlred from each,
! ln whaL order lndlvlduals are proposed Lo be lnLervlewed,
! a llsL of oLher evldence (eg. noLes, emalls, leLLers eLc) LhaL may be requlred Lo deLermlne
each allegaLlon,
! oLher senslLlvlLles of Lhe lssue LhaL may requlre parLlcular aLLenLlon durlng Lhe
lnvesLlgaLlon, and how Lhese wlll be managed, and
! any resources LhaL wlll be requlred Lo underLake Lhe lnvesLlgaLlon, and esLlmaLed
reallsLlc Llmeframes ln whlch Lhe lnvesLlgaLlon ls expecLed Lo be underLaken and
compleLed.

(

7*)/0#, N O#''*)/0#, (,6 :..*..A*,/ #E F-06*,)*
Complex maLLers requlrlng lnvesLlgaLlon may requlre subsLanLlal allocaLlon, and organlsaLlon
of resources and maLerlals. As such, once Lhe lnvesLlgaLlon plan has been compleLed, Lhe
lnvesLlgaLor musL underLake Lhe process of organlslng Lhe lnvesLlgaLlon ln accordance wlLh
Lhe lnvesLlgaLlon plan.
1he followlng acLlons should be consldered:
! Lhe collecLlon of any relevanL documenLaLlon or evldence,
! noLlfylng Lhose lndlvlduals needlng Lo be lnLervlewed,
! where and when Lhe lnLervlews wlll be held,
! any maLerlals or speclal requlremenLs for Lhe lnLervlew (eg. LranslaLors eLc),
! any Lravel requlred Lo underLake Lhe lnvesLlgaLlon.
When conLacLlng relevanL parLles Lo arrange Llmes for Lhelr lnLervlews, lL ls recommended
LhaL Lhe lnvesLlgaLor Lelephones Lhe lndlvldual for Lhe lnlLlal conLacL and where Llme permlLs,
conflrms Lhe arrangemenLs vla emall or wlLh a leLLer.
ln Lhe lnLeresLs of naLural [usLlce, lL ls very lmporLanL LhaL lndlvlduals Lo be lnLervlewed are,
aL Lhe Llme of requesLlng Lhe lnLervlew:
! made aware of Lhe purpose of Lhe lnvesLlgaLlon,
! made aware of Lhe lnvesLlgaLlon process,
! glven a reasonable amounL of Llme prlor Lo Lhe lnLervlew (no less Lhan 24 hours) Lo
conslder Lhls lnformaLlon, and arrange for a represenLaLlve or supporL person (lf
deslred), and
! made aware of Lhelr obllgaLlon Lo keep deLalls of Lhe lnvesLlgaLlon confldenLlal.
Where an employee ls Lo be lnLervlewed by Lhe lnvesLlgaLor lL ls recommended LhaL you
advlse Lhe employee's supervlsor (Lo ensure permlsslon ls provlded for Lhe employee Lo be
absenL from Lhe workplace). Powever, ln advlslng Lhe supervlsor, Lhe confldenLlallLy of Lhe
maLLer musL be preserved. ln lnsLances where Lhe supervlsor may be lnvolved ln Lhe maLLer,
Lhe lnvesLlgaLor should deLermlne wheLher lL ls approprlaLe Lo advlse Lhe nexL ln llne
supervlsor. 1he amounL of deLall Lo dlsclose Lo an lndlvldual's supervlsor should be
deLermlned on a case by case basls.
ln excepLlonal cases, where facLors may llmlL Lhe ablllLy of Lhe lnvesLlgaLor Lo underLake face
Lo face lnLervlews, Lhe lnLervlew may be conducLed vla Lhe Lelephone (eg. where an
lndlvldual may llve a greaL dlsLance away, and be leavlng on hollday before Lhe lnLervlewer
can Lravel Lo Lhem).


)
7*)/0#, P O#,65)/0,1 +,/*$-0*=.
1he ma[orlLy of lnformaLlon or evldence collecLed durlng any lnvesLlgaLlve process ls Lhrough
lnLervlews wlLh people, or as Lhey are referred Lo ln Lhls conLexL, wlLnesses. lf Lhey are
employees Lhen Lhey have an obllgaLlon Lo parLlclpaLe, lf Lhey are Lhe person LhaL has been
accused of mlsconducL Lhey can be dlrecLed Lo aLLend an lnLervlew. lf Lhe person you wlsh
Lo lnLervlew ls noL an employee, Lhen you have no auLhorlLy Lo requlre Lhelr cooperaLlon,
however lf you make your requesL ln Lhe rlghL way lL ls llkely LhaL mosL people wlll
parLlclpaLe.
1here are many ways Lo conducL lnLervlews, whlchever meLhod you chose, lL ls essenLlal
LhaL you have some klnd of plan. ?ou musL have a goal ln mlnd before you sLarL Lo lnLervlew
a person, parLlcularly a person LhaL ls sub[ecL of Lhe complalnL. 1hls ls where uslng a
plannlng LemplaLe ls useful (refer Lo LemplaLe).


F'*)/$#,0) D*)#$60,1 Q "$0//*, 7/(/*A*,/.
rlor Lo conducLlng Lhe lnLervlew, Lhe lnvesLlgaLor musL deLermlne wheLher Lhe lnLervlew/s
wlll be elecLronlcally recorded.
lL ls recommended LhaL you use a recordlng devlce Lo record all lnLervlews, parLlcularly wlLh
Lhose persons accused of mlsconducL. 1hls process proLecLs boLh parLles from maklng
accusaLlons abouL Lhe oLhers behavlour aL a laLer Llme.
LlecLronlc recordlngs musL be labelled, lndexed, and secured aL Lhe Llme of Lhe recordlng.
lf an lnLervlew ls noL elecLronlcally recorded Lhe lnvesLlgaLor:
! should offer anoLher sLaff member Lo be presenL wlLh Lhem LhroughouL Lhe lnLervlew,
! musL prepare a wrlLLen record of Lhe lnLervlew, and
! have Lhe lnLervlewee adopL Lhe record as accuraLe, preferably by slgnlng and daLlng Lhe
documenL.
8oLh meLhods have pros and cons, whlch Lhe lnvesLlgaLor should Lake lnLo accounL when
decldlng wheLher Lo record an lnLervlew. 8elevanL conslderaLlons lnclude, buL are noL
llmlLed Lo:
! Lhe Llmeframes assoclaLed wlLh Lhe lnvesLlgaLlon,
! Lhe level of deLall requlred for Lhe lnvesLlgaLlon reporL,
! wheLher a wlLness may be more forLhcomlng wlLh lnformaLlon lf Lhey are noL belng
elecLronlcally recorded,
! wheLher an elecLronlc recordlng may ald ln avoldlng any laLer dlspuLes as Lo Lhe
sLaLemenLs made durlng an lnLervlew,

*
! a slgned sLaLemenL of an lndlvldual has Lhe lndlvldual's agreemenL LhaL Lhe sLaLemenL ls
Lrue and accuraLe,
! an elecLronlc recordlng provldes a hlgh level of accuracy,
! a wrlLLen sLaLemenL may noL conLaln Lhe same level of deLall as an elecLronlc recordlng.
Where an elecLronlc recordlng ls uLlllsed, Lhe lnvesLlgaLor may also deLermlne Lo develop a
summary of whaL was sald durlng Lhe lnLervlew (someLlmes referred Lo as a precls). 1he
summary would Lyplcally lnclude sallenL polnLs of each lnLervlew, relaLlve Lo Lhe allegaLlon/s
aL hand.


C;* D*&$*.*,/(/0-* R('.# $*E*$$*6 /# (. ( 75&&#$/ 3*$.#,S
An lnLervlewee ls enLlLled Lo have a represenLaLlve wlLh Lhem durlng Lhe lnLervlew. 1he
supporL person may provlde advlce and supporL Lo Lhe lnLervlewee however he/she should
noL answer quesLlons for, or advocaLe on behalf of Lhe lnLervlewee.
lf an lnLervlewee:
! wlshes Lo speak Lo hls/her represenLaLlve ln prlvaLe aL any Llme durlng Lhe lnLervlew Lhls
should be accommodaLed as far as reasonably posslble, or
! ls upseL and wlshes Lo have a break, durlng Lhe lnLervlew, Lhls should also be
accommodaLed.
rlor Lo Lhe lnLervlew commenclng Lhe lnvesLlgaLor ls Lo ensure Lhe represenLaLlve ls aware
of Lhelr role as a supporL person. 1he lnvesLlgaLor musL Lake parLlcular care Lo explaln Lhese
rlghLs Lo boLh Lhe lnLervlewee and Lhe supporL person.

7*)/0#, T +6*,/0E0)(/0#, #E 7<./*A0) +..5*.
A sysLemlc lssue ls a problem or faulL LhaL has been deLecLed elLher by an lnvesLlgaLlve
process or unlnLenLlonally Lhrough oLher processes, whlch lf lefL as ls, wlll conLlnue Lo cause
problems, or wlll lead Lo larger lssues.
SysLemlc lssues could be relaLed Lo ouL-daLed pollcy or non-exlsLenL pollcy, culLural lssues
such as forms of dlscrlmlnaLlon belng Lhe norm ln a workplace or poor work performance ln
self-managed work groups.
lf a person refuses Lo comply wlLh pollcy and Lhe pollcy framework ls flL for purpose, Lhen
Lhls ls noL a sysLemlc lssue.
When deLecLed Lhe besL course of acLlon ls Lo examlne Lhe cause and esLabllsh LhaL lL ls ln
facL an lssue LhaL requlres remedlal acLlon, Lhen reporL Lhe maLLer Lhrough your manager Lo
Lhe senlor manager of Lhe area where Lhe sysLemlc lssue has been ldenLlfled. lor example lf

"+
you have deLecLed LhaL a procuremenL pollcy ls now noL conslsLenL wlLh recenL leglslaLlve
changes, Lhen reporL Lhe maLLer Lhrough your manager Lo Lhe Chlef llnanclal Cfflcer.

7*)/0#, 8U 3$*&($(/0#, #E (, +,-*./01(/0#, D*&#$/
MosL lnvesLlgaLlons or facL-flndlng acLlvlLles requlre some Lype of reporL Lo be wrlLLen. 1he
Lype of reporL wlll largely depend on Lhe parLlcular maLLer you have lnvesLlgaLed. 8eporLs
can vary from memorandums, (however as Lhe name suggesLs Lhls ls supposed Lo be a shorL
noLe) lnvesLlgaLlon reporLs or ln Lhe case of law enforcemenL agencles a brlef of evldence. ln
an organlsaLlonal seLLlng an lnvesLlgaLlon reporL or a memorandum wlll sufflce, however
Lhere are some Lhlngs Lo conslder when wrlLlng a reporL (refer Lo LemplaLe).

"#$%&'()* 0,-*./01(/0#, $*&#$/. A5./M
a) provlde a flndlng of subsLanLlaLed" or noL subsLanLlaLed" ln relaLlon Lo each
allegaLlon provlded ln Lhe lnvesLlgaLlon 1erms of 8eference (lf one was used),
b) conLaln an execuLlve summary of Lhe lnvesLlgaLlon reporL, whlch also provldes Lhe
flndlngs,
c) provlde a deLalled examlnaLlon of how any evldence was used Lo deLermlne each
flndlng,
d) lnclude all evldence relled on by Lhe lnvesLlgaLor ln maklng a flndlng (eg. sLaLemenLs,
recordlngs, LranscrlpLs eLc) as an aLLachmenL Lo Lhe reporL, and
e) where requlred, ouLllne any furLher sysLemlc lssues LhaL have become apparenL Lo
Lhe lnvesLlgaLor Lhrough Lhe process. V +/ 0. $*)#AA*,6*6 /;(/ /;0. K* 6*('/ =0/; 0,
( .*&($(/* A*A#$(,65AW$*&#$/X

8UX8 :,('<.0. #E F-06*,)*
1he lnvesLlgaLlon reporL ls where you Lhe lnvesLlgaLor have an opporLunlLy Lo explaln whaL
evldence Lhey have collecLed and Lo help Lhe reader (usually Lhe declslon maker) undersLand
and connecL Lhe evldence Lo Lhe allegaLlon/s.
Lvldence lnforms Lhe reasonlng of Lhe lnvesLlgaLor ln maklng a deLermlnaLlon on Lhe balance
of probablllLles for each allegaLlon. Lvldence may Lake Lhe form of, buL ls noL llmlLed Lo:
o a wlLness sLaLemenL,
o documenLary evldence,
o experL evldence (eg. a medlcal pracLlLloner),
o elecLronlc evldence (eg. emalls, or compuLer flles), or
o oLher physlcal evldence (eg. phoLographs, vldeo recordlngs eLc).

""
1he lnvesLlgaLor musL ensure LhaL all evldence obLalned ls glven careful conslderaLlon.
Where evldence ls noL Laken lnLo accounL by Lhe lnvesLlgaLor, Lhere musL be an explanaLlon
as Lo why Lhls ls Lhe case.

8UX9 ?0,%0,1 (,6 =*01;/0,1 *-06*,)* /# (''*1(/0#,.
All evldence obLalned Lhrough Lhe lnvesLlgaLlon process musL be carefully analysed,
welghLed accordlngly, and Lake lnLo accounL:
o Lhe lnherenL sLrengLh of Lhe evldence,
o Lhe slgnlflcance of Lhe evldence Lo Lhe allegaLlon/s, and
o Lhe serlousness of Lhe allegaLlon/s.
o Pow Lhe evldence ls llnked Lo each allegaLlon.
1he welghLlng of evldence ls also cruclal Lo ensure a robusL and accuraLe workplace
lnvesLlgaLlon, ln LhaL Lhe sLrengLh of evldence necessary Lo esLabllsh an allegaLlon on Lhe
balance of probablllLles may vary accordlng Lo Lhe serlousness of Lhe lssues lnvolved. lor a
flndlng Lo be subsLanLlaLed on Lhe balance of probablllLles, Lhe lnvesLlgaLor, afLer ob[ecLlvely
conslderlng all relevanL evldence, musL be reasonably saLlsfled Lhe allegaLlon ls more llkely
Lhan noL" Lo have occurred, havlng regard for Lhe serlousness of Lhe allegaLlon. 1he more
serlous Lhe allegaLlon, Lhe hlgher Lhe degree of probablllLy ls requlred ln order Lo
subsLanLlaLe Lhe allegaLlon.
+Y3ZDC:[C\
C;* A#$* .*$0#5. /;* (''*1(/0#,L /;* ./$#,1*$ /;* *-06*,)* $*]50$*6 /# .5K./(,/0(/* /;*
(''*1(/0#,X 70A0'($'<L 0,;*$*,/'< =*(% *-06*,)*L #$ *-06*,)* /;(/ ;(. '0A0/*6 K*($0,1 /# /;*
(''*1(/0#, .;#5'6 K* 10-*, '*.. =*01;/0,1 0, A(%0,1 ( 6*/*$A0,(/0#, R/;0. 0. )#AA#,'<
$*E*$$*6 /# (. /;* ^2$010,.;(= C*./_SX

8UX> Y(%0,1 @0,60,1.
Cnce all Lhe evldence has been carefully analysed and welghLed, Lhe lnvesLlgaLor ls requlred
Lo make a deLermlnaLlon, based on Lhe balance of probablllLles, as Lo wheLher each
allegaLlon ls capable of belng subsLanLlaLed, or noL.
AlLhough lL ls noL Lhe lnvesLlgaLors [ob Lo make a flndlng of gullL, Lhls ls for Lhe declslon
maker, lL ls noneLheless essenLlal Lo explaln whaL you belleve Lhe evldence lndlcaLes, ln
oLher words, whaL dld your lnvesLlgaLlon flnd? uoes whaL you have found (durlng Lhe
lnvesLlgaLlve process) subsLanLlaLe or noL, aL Lhe clvll sLandard (balance of probablllLles), Lhe
lssue you lnvesLlgaLed.
ln maklng flndlngs, Lhe lnvesLlgaLor musL noL use language such as 'l Lhlnk' or 'l belleve'.
Lach flndlng musL also remaln free from any personal oplnlon of Lhe lnvesLlgaLor, and be
formed Lhrough careful conslderaLlon of Lhe evldence. llndlngs should be expressed as '1be
evlJeoce collecteJ Jotloq tbe cootse of tbls lovestlqotloo, oo tbe bolooce of ptobobllltles, lf

"#
occepteJ by tbe Jeclsloo moket ls copoble of sobstootlotloq/oot sobstootlotloq tbe
olleqotloo.
+Y3ZDC:[C\
: E0,60,1 A5./ K* A(6* E#$ *(); (''*1(/0#, )#,/(0,*6 0, /;* +,-*./01(/0#, C*$A. #E
D*E*$*,)*X C;* E0,60,1 A5./ K* *0/;*$ ^.5K./(,/0(/*6_ #$ ^,#/ .5K./(,/0(/*6_X +/ 0. ,#/
())*&/(K'* /# .%0& (, (''*1(/0#,L #$ /# ./(/* /;(/ ,# E0,60,1 ;(. K**, A(6* *0/;*$ =(<X

7*)/0#, 88 Y#,0/#$0,1 /;* Z5/)#A*
AL lL's mosL baslc, Lhe prlnclples of procedural falrness and ln keeplng wlLh besL pracLlce, Lhe
people lnvolved ln an lnvesLlgaLlon deserve Lo know Lhe ouLcome of Lhe maLer Lhey were
lnvolved ln. 1here are of course some llmlLaLlons on whaL parLlcular people can be Lold
abouL. 8emember LhaL when you are flnlshed wlLh your lnvesLlgaLlon reporL, alLhough your
role ln Lhe process has been compleLed, Lhe people you lnLeracLed wlLh sLlll see you as Lhelr
polnL of conLacL.
AL a mlnlmum, you should leL people know whaL you can abouL Lhe progress of Lhe maLLer,
or advlse LhaL Lhe maLLer ls now ln Lhe hands of Lhe declslon maker.

7*)/0#, 89 7/(,6($6 ?*//*$. (,6 C*A&'(/*.
Lngaglng ln an lnvesLlgaLlve or facL-flndlng exerclse requlres a commlLmenL ln noL [usL Llme,
buL also ln professlonallsm. lf you are abouL Lo lnLervlew people, revlew documenLs or
sysLems and Lhen wrlLe a reporL, whlch may lmpacL on a person or a process, Lhen Lhls
requlres a conslsLenL approach.
lL ls sLrongly recommended LhaL you use sLandard LemplaLes for communlcaLlng wlLh people,
conducLlng lnLervlews and wrlLlng reporLs.

7*)/0#, 8> D*)#$6 `**&0,1
All records relaLlng Lo lnvesLlgaLlon maLLers are held ln a secure envlronmenL, separaLe Lo
employee personnel flles. Powever, personnel flles may be annoLaLed wlLh Lhe exlsLence of
a separaLe lnvesLlgaLlon flle. Access ls only allowed on a sLrlcL 'need Lo know' basls.
8>X8 D*)#$6 (,6 7/#$(1* #E 0,-*./01(/0#, 0,E#$A(/0#,M
A confldenLlal flle musL be creaLed for each workplace lnvesLlgaLlon, and musL remaln wlLh
Lhe nomlnaLed case manager. All documenLaLlon generaLed Lhrough Lhe workplace
lnvesLlgaLlon should be sLored on Lhls flle.
1he lnvesLlgaLor musL reLurn all records boLh elecLronlc and hard copy flles perLalnlng Lo Lhe
lnvesLlgaLlon Lo Lhe manager when Lhe lnvesLlgaLlon reporL ls flnallsed. ln Lhe lnLeresLs of
ensurlng Lhe rlgour of Lhe lnvesLlgaLlon process, every sLep of Lhe lnvesLlgaLlon process
should be documenLed by Lhe lnvesLlgaLor, lncludlng all dlscusslons/phone calls/lnLervlews
(Lhls can be done uslng flle noLes and/or a chronologlcal runnlng sheeL). (refer Lo LemplaLes)