Workplace Investigations

Workplace Investigations are generally recognised as a more formal process that make findings of fact around issues arising from a breach of a Code of Conduct. However, it may be prudent to first assess whether there is a more appropriate process such as an External Complaint Assessment or an External Workplace Assessment.

External Complaint Assessment (ECA) – One complainant

The purpose of the ECA is to meet with the complainant who has lodged a complex and sensitive grievance to identify the full extent of the allegations The process is as follows:

  1. Scoping Meeting with a senior leader to scope and analyse the situation and determine the terms of reference
  2. Consultation: Meeting with the complainant to clarify the allegations
  3. Reporting Submission of a report that identifies the allegations, a chronology of events and recommends next steps
  4. Delivery: After taking direction from the senior leader the recommendations from the report are then implemented, for example, to continue with a fact finding investigation

External Workplace Assessment (EWA) – General discontent in the workplace

The purpose of the EWA is to enable employers to better understand meet with the person who has lodged a complex and sensitive complaint to identify the full extent of the allegations that are being made. This four-stage process involves meeting with potentially affected staff to assess what the core issues are affecting the workplace addresses disputes whether the eventual process is a mediation, workplace conference, fact finding investigation or other form of dispute resolution:

  1. Scoping Meeting with a senior leader to scope and analyse the situation and determine the terms of reference.
  2. Consultation: Meeting with staff to assess what the core issues are affecting the workplace and their thoughts on what should be done.
  3. Reporting Submission of a report that identifies the key issues and recommends next steps for mediation, workplace conferencing, fact finding investigation or other form of dispute resolution.
  4. Delivery: After taking direction from the senior leader the recommendations from the report are then implemented, for example, the conduct of a series of mediations.

Fact Finding Investigation (FFI)

The purpose of the FFI is to determine, on the balance of probabilities, whether there have been breaches of policy or the law and is typically applied in instances where there are allegations of workplace bullying.

This three-stage process includes meeting with the complainant, witnesses and respondent:

  1. Scoping Meeting with a senior leader to scope and analyse the situation and determine the terms of reference.
  2. Interviews Conduct of a formal interviews in the following order:
    • Complainant: Purpose: to identify the allegations and hear thoughts on the outcomes they seek.
    • Witnesses Purpose: to gather evidence
    • Respondent: Purpose: to provide procedural fairness
  3. Reporting Submission of a report that determines, on the balance of probabilities, whether there have been breaches of policy or the law addresses the terms of reference
Daily Rate

(Up to 6 hours)

$1,800 (plus GST)
Hourly Rate
$350 (plus GST)
  • Our investigators hold qualifications in investigation and mediation and can assess matters as suitable for mediation and investigation
  • Participants in the process are treated in a respectful and courteous manner
  • Careful consideration is given to the location and mode of interviews (e.g. Skype)
  • Written reports provide employers with a record that shows that matters are addressed in a procedurally fair manner and are legally sound
  • The assessment phase ensures the most appropriate process is applied and that avoids unnecessary time, expense and formality
  • Participants appreciate that contentious issues are being taken seriously.
  • It encourages employee reporting and communication
  • There is increased flexibility through the use of technology such as Microsoft Teams
  • The early intervention reduces or eliminates possible liability

You can find more information on our Frequently Asked Questions page here.

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