The goal of an investigation is to understand what happened and to take corrective actions (if required) to keep the workplace safe.

The person conducting the investigation (the investigator) should be an impartial person who has the knowledge, experience, or other qualifications to conduct an investigation while ensuring the investigation protects privacy. The investigator should not have been involved in the incident or complaint. The investigator can be the employer or some other person (internal or external to the organization).

Safety officers may order the employer to have an investigation to be done by an impartial, knowledgeable, and experienced third party. [WHS Regs, s. 19.04]

Employers must make sure that an appropriate investigation is conducted into each incident and each complaint of violence or harassment. [WHS Regs, s. 19.04]

Four steps to an Investigation

In general, there are four basic steps to the investigation:

1. Receive a complaint.
2. Decide if a complainant’s allegation meets the definition of violence or harassment.
3. Conduct interviews.
4. Report findings.

Each of the four steps are described below. Further details are provided in the Workplace Violence and Prevention Guide.

Step 1: Receive a complaint

If possible, ask the complainant to provide details about the complaint or incident of violence or harassment in writing. If it is not possible, the investigator should meet and listen to the complainant’s concerns. The investigator should write down the concerns and make sure that the complainant can confirm the accuracy of the notes describing the details of the incident or complaint.

Refer to the Workplace Violence and Prevention Guide for a Reporting Form Template.

Step 2: Decide if a complainant’s allegation meets the definition of violence or harassment

The investigator should review the definitions of workplace violence or harassment. If the investigator decides that the conduct does not meet the definition, the complainant must be told of the decision.

If the investigator determines that the conduct in question does meet the definition of violence or harassment, the investigator must decide if any immediate action is needed to protect the complainant or anyone else from further violence, harassment, reprisal, or retaliation while waiting for the investigation and resolution of the complaint.

Step 3: Conduct interviews

Before the interviews:

• List the people to be interviewed (e.g., the complainant, respondent, witnesses, supervisor, or others with relevant information).
• Review any documents related to the allegations, and record what documents were reviewed.
• Create a list of interview questions.

During all interviews:

• Use a private area.
• Conduct interviews separately.
• Explain the purpose of the interviews, what will be done with the information, and who may see the final report. Remind them that you are looking for the facts. If they are not sure about certain information, they may state so.
• Remind all interviewees that confidentiality must be maintained.
• Ask the interviewee to provide as much detail as possible. Please note that recalling events of violence or harassment can be stressful for the complainant and any witnesses. Active and empathetic listening is important during the interview.
• Write legible notes during the interview.
• At the end of the interview, review the information gathered from the interviewee. This review will help to confirm the accuracy of the information.

Refer to the Workplace Violence and Prevention Guide for examples of interview questions.

Step 4: Report findings

When the investigation is done, the investigator will develop a report that should include:

• The names of the investigator, complainant, and respondent, as well as anyone else interviewed during the investigation.
• The date, time, and place of the alleged incident.
• A description of the alleged incident.
• Any relevant photographic evidence.
• The findings of the investigation with supporting facts about what happened.
• Any corrective actions to be taken, or an explanation why none are needed. Examples of corrective actions include installing physical barriers, hiring security guards, providing training on policies and procedures, conflict resolution or assertiveness. Actions could also involve a reprimand, suspension, or termination.

Refer to the Workplace Violence and Prevention Guide for an investigation report template.

The employer should meet separately with the complainant and the respondent to review the results. These meetings should happen as soon as possible.

Offer support to help affected workers. This support could include employee assistance programs, peer support programs, or community resources like counselling or mental health services.