Take a Step Back: Why Employers Should Consider a Preliminary Inquiry Before a Full Investigation

Workplace disputes and complaints are inevitable in any organisation. When allegations arise, many employers feel an immediate urge to launch a full-blown investigation. While this response is well-intentioned, it’s not always the best first step. Rushing into a comprehensive investigation can be time-consuming, costly, and, in some cases, unnecessary.

Instead, employers should take a moment to assess the situation and consider conducting a ‘fact-finding investigation,’ also known as a ‘preliminary inquiry’ or ‘preliminary investigation.’ This step can save resources and ensure that the organisation’s response is proportionate to the allegations.

What is a Preliminary Inquiry?

A preliminary inquiry is an initial fact-finding process designed to assess the merit of allegations and determine the most appropriate response. Unlike a full investigation, a preliminary inquiry is not aimed at making definitive findings about whether allegations are substantiated. Instead, it focuses on:

• Gathering enough information to understand the core issues.
• Determining whether the allegations have merit.
• Identifying whether a full investigation is warranted or if alternative responses might be more suitable.

Why Employers Should Consider a Preliminary Inquiry

1. Avoid Unnecessary Investigations

Full investigations can be resource-intensive and disruptive. They require significant time, effort, and expense. A preliminary inquiry helps employers assess whether the allegations justify such a commitment.

2. Promote Fairness

Jumping straight into a full investigation can give the impression that the allegations are already presumed to be credible. A preliminary inquiry ensures a balanced and fair approach, giving all parties confidence in the process.

3. Protect Workplace Relationships

Workplace investigations can strain relationships and create tension among employees. By first conducting a preliminary inquiry, employers can address the issue with minimal disruption, preserving workplace harmony where possible.

4. Ensure Proportionality

Not every complaint or allegation requires the same level of scrutiny. A preliminary inquiry helps employers determine the appropriate level of response, ensuring proportionality.

Best Practices for Conducting a Preliminary Inquiry

1. Engage an Independent Professional A preliminary inquiry should be conducted by an external, independent professional with experience in workplace relations. This ensures objectivity and minimises the risk of bias.
2. Clarify the Scope Clearly define the purpose of the inquiry: to gather facts and make recommendations about the next steps, not to make findings on the allegations.
3. Maintain Confidentiality Just like a full investigation, a preliminary inquiry requires careful handling of sensitive information. Ensure confidentiality to protect all parties involved.
4. Document the Process Keep detailed records of the inquiry, including the information gathered, the steps taken, and the recommendations provided. This documentation can be invaluable if further action is needed.
5. Communicate Clearly Be transparent with the parties involved about the purpose and scope of the preliminary inquiry. Emphasise that it is not an investigation but a step to determine the most appropriate response.

When is a Preliminary Inquiry Appropriate?

A preliminary inquiry is particularly useful in scenarios where:

• The allegations appear vague or lack specificity.
• There is uncertainty about the severity or credibility of the allegations.
• The matter involves interpersonal conflicts that may benefit from mediation rather than investigation.
• The employer is unsure whether a full investigation is necessary.

Conclusion

Workplace complaints and disputes require thoughtful and measured responses. By considering a preliminary inquiry before launching a full investigation, employers can save resources, promote fairness, and protect workplace relationships. This approach ensures that decisions are informed, proportionate, and aligned with best practices.

The next time a workplace issue arises, take a step back and ask: Is a full investigation truly necessary? A preliminary inquiry might just be the smarter first step.