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Workplace investigations

HR Policies

23 May 2025 (Last updated 3 Dec 2025)

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In almost all workplaces, employee conduct might just miss the mark and in some situations might be completely “off the chart”.

In cases where conduct is an issue, employers will first need to investigate. Sometimes an investigation is prompted by an employee, a client of the employer, or something observed by the employer. This may involve misconduct, serious misconduct, or an allegation of bullying and harassment.

Investigation is a process that involves several steps before a decision must be made by the business regarding the conduct complained of and includes examining documents, data, and interviewing witnesses who saw and heard the act or behaviour.

Legislation

The Employment Relations Act 2000 (the Act) outlines that an employer should sufficiently investigate the allegations against the employee and should get as many facts together as they possibly can before taking action against the employee. Additionally, the Health and Safety at Work Act 2015 and the Privacy Act 2020 are relevant laws that influence how employers should approach workplace investigations.

Why are workplace investigations important?

Workplace investigations manage and resolve sensitive workplace issues such as misconduct, grievances and harassment. Workplace investigations help reduce the potential risk of legal claims under employment laws.

The outcome of an investigation may result in disciplinary action aimed at correcting unacceptable behaviour.

Before conducting a workplace investigation, consider the following:

  • Before starting a workplace investigation, it is essential to review and adhere to organisational policies, collective agreements (if relevant) and employment contracts.
  • You should also establish the scope and purpose of the investigation.
  • Ascertain whether there are specific procedures to be followed regarding workplace investigations, grievance management, performance management, discrimination, and harassment and establish which is the most appropriate procedure to follow.
  • If you do not have policies applicable to misconduct or investigations, use this as an opportunity to develop them.
  • The choice between formal and informal investigation procedures will depend on the investigation, its complexity, the allegations, and the number of employees involved.
  • The person tasked with the investigation must have the appropriate skills and experience
  • It is not necessary to use an independent investigator as long as the person who gathers the facts and does the investigation is unbiased.
  • Prepare an investigation plan that outlines objectives, timelines, and a list of potential witnesses and evidence.

What constitutes a fair process of investigation?

Underpinning the entire investigation process is the principles of good faith and natural justice. Fundamental to the principles of natural justice are:

  • that affected parties should be given the opportunity to be heard, and
  • that decision makers should be unbiased.

Section 103a of the Act affords the employee the right to a fair procedure, in that the employee should be:

  • informed they are being investigated; and be provided with a reasonable time to prepare and gather evidence.
  • advised there is an investigation when the employer is confident there is an issue to address, and that there is sufficient evidence to prove there is an issue.
  • provided with a reasonable opportunity to respond.
  • given fair treatment in terms of which the employer must consider any explanations by the employee before reaching a decision.

During the process the employee should be allowed a support person.

Ensure that the investigation is balanced

Besides the formal investigation process that the employer will need to follow, they should keep the balance between:

  • properly advising the employee of a concern or an allegation against them, and
  • unnecessarily causing stress or anxiety to an employee where there may not be an issue to address.

Gathering evidence

Gathering evidence is an important part of workplace investigations.

  • Any person who has relevant information or material to the matter being investigated should be interviewed and their written statements collected.
  • If the employee under investigation mentions someone as a witness to a particular incident, or asks for a particular person to be interviewed, the investigator should interview such person and collect their written statement.
  • External individuals should also be interviewed (ex-employees, customers etc) if they are witnesses to the allegations against the employee.
  • Any relevant documentation or data should be collected.

It is important that any evidence that will be relied upon to make a decision, must be provided to the employee before a decision is reached. In this regard, the employee must be given a reasonable opportunity to consider the evidence, seek legal advice and be allowed to provide a response to such evidence.

Closing the investigation

Once all the evidence has been gathered, create opportunities for all involved parties to sit together and present their evidence. You should also ensure the parties have an opportunity to be heard and respond to allegations. The interview should be conducted in a safe and non-confrontational environment. Review all the evidence and documentation you have access to in a fair and transparent manner.

Once the investigation is complete, clearly communicate the outcome to involved parties. If there is disciplinary action to be taken, it should be done in line with the company's policies and procedures.

Do I need an external independent investigator?

The lengthy and complex process of investigations is the reason some employers elect to outsource the investigation. There is no right or wrong answer as to whether an independent investigator should be used, but generally the person doing the information gathering should be neutral and not impacted by the decision.

For many employers faced with serious allegations in the workplace, the time, resourcing, and expertise required to undertake a fair investigation is beyond what they can provide, and they are wise to engage an external investigator. For example, where an employer has been accused of bullying it will likely be an independent party that makes recommendations to the business based on evidence from an investigation.

However, if the employer decides to use an external independent investigator, they should make sure that they are engaging a suitably qualified and experienced investigator.

Create fair workplaces with Peninsula

Conducting a proper investigation into workplace misconduct can have positive consequences to the business. The process assists in correcting unwanted behaviour in the workplace and further places the business in the best position to defend any personal grievance claims should they arise. Peninsula can assist you in conducting workplace investigations or understanding the formal disciplinary process. Contact to learn more.

This article is for general information purposes only and does not constitute as business or legal advice and should not be relied upon as such. It does not take into consideration your specific business, industry or circumstances. You should seek legal or other professional advice regarding matters as they relate to you or your business. To the maximum extent permitted by law, Peninsula Group disclaim all liability for any errors or omissions contained in this information or any failure to update or correct this information. It is your responsibility to assess and verify the accuracy, completeness, and reliability of the information in this article.

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While email has been around for years, it is still a mode of communication that involves a lot of overseeing and supervision. It’s tricky nature and lack of tone can make it an easy way for things to get lost in translation. It is hard to imagine running a business without email because it is such a convenient, flexible and immediate tool. But the fact it is so easy to send an email can result in misuse or abuse. A carelessly phrased email forwarded to lots of recipients can quickly damage your reputation or break confidentiality, even when unintended. In this best practice guide for employers, we explain email usage within the workplace and recommend a standard email usage policy that you can implement immediately. Please note that the information is general and does not constitute advice. If you need help with policies, consult an employment relations professional. Email usage in the workplace There are many risks involved with email usage. Having a company wide policy for email usage and communication can protect you and your employees from potential risks. Your employees may send emails without considering the risks of confidentiality or even security. Without a clear written and established company policy, you cannot manage security and safeguard your business. As an employer, you are liable for the acts and omissions of your employees. Drafting an email usage policy When you draft your email policy, it should keep certain factors in mind: Decide the extent to which employees can use the Internet and email for personal purposes. You should set out the consequences for not following the policy, including disciplinary action and summary dismissal. The use of email and internet should be consistent with employee responsibilities and should comply with all other rules and procedures. Avoid permitting activities which might be illegal, offensive, or likely to have negative repercussions. Depending on the business you are in, a higher level of security could be useful on the email. The email usage policy should also mention styles of communication for outside work hours or outside working days. General email usage policy requirements The policy should be made available to all staff and stored in the company internal communication network, where it can be accessed anytime. Be very clear and explicit as to what is considered forbidden. Clearly set out what information gets recorded, logged, and who has access to the information. Mention why the improper use of email can be risky and that it may pose a threat to system security and the legal liability of the organisation. Outline in plain language how the company will monitor staff compliance with company rules on acceptable use of email and browsing. The policy should be regularly reviewed in accordance with the development of the internet and information technology. 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It is your responsibility to assess and verify the accuracy, completeness, and reliability of the information in this article.

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