One of the first questions after a complaint is raised is whether it needs a formal investigation.
There is a tendency to think that a serious sounding complaint must automatically trigger a formal process. That can lead organisations to investigate matters that could have been resolved more simply. The opposite problem also occurs, where a complaint involving genuinely disputed conduct is treated as a communication issue and the important facts are never properly established.
A useful starting question is this: do we need to establish disputed facts before we can decide what to do?
If the answer is yes, a formal workplace investigation may be appropriate.
A formal investigation is a fact finding process
The purpose of a workplace investigation is to establish what happened.
It is not the same as mediation, performance management or deciding on disciplinary action. Those things may happen before or after an investigation, but they have different purposes.
An investigation usually involves clear allegations, an opportunity for the respondent to answer them, interviews with relevant witnesses, consideration of documents and other evidence, and findings based on the evidence available.
The organisation can then use those findings when deciding what happens next.
Investigate when the important facts are disputed
This is often the clearest reason for a formal investigation.
One employee says a manager made a particular comment. The manager says it was never said. A witness heard part of the conversation. There are messages sent immediately afterwards that may help explain what occurred.
If the organisation needs to know which account is more likely before making a decision, somebody needs to gather and assess that evidence.
That is what the investigation is for.
Serious allegations may justify a more formal process
Allegations involving bullying, sexual harassment, discrimination, fraud, threats, dishonesty or other serious conduct will often require careful fact finding, particularly where the allegations are denied.
Seriousness alone does not answer every process question. Some facts may already be admitted. Some matters may involve a mix of agreed conduct and disputed interpretation.
The process should still be tailored to what actually needs to be established. Formal does not need to mean unnecessarily complicated.
Think about the possible consequences
The more significant the potential consequences for the people involved, the more important it is that the factual basis for any decision is sound.
If a finding may lead to serious disciplinary consequences, affect a person’s reputation or materially change their employment, a rushed or informal factual assessment may not be enough.
That does not mean the organisation needs a massive investigation report. It means the evidence and procedural fairness need to be taken seriously.
When might a formal investigation not be needed?
Sometimes the complaint is real but the problem is not a factual dispute.
An employee may be unhappy with a decision that everybody agrees occurred. Two colleagues may have a deteriorating working relationship but no allegation of specific misconduct. A manager may have communicated badly, but the facts are accepted and the issue is how to repair the situation.
Those matters may be better addressed through management action, facilitated discussion, mediation, clarification of expectations, training or another response.
A formal workplace investigation should not become the default simply because the word complaint appears in an email.
You can investigate only the parts that need findings
Workplace complaints often contain several issues bundled together.
Some may require investigation. Others may not.
For example, a complaint might include a disputed allegation of an abusive comment, concerns about workload, frustration with a roster and a broader claim that the manager has never been supportive.
It may be appropriate to investigate the alleged comment while dealing with the other concerns through management channels.
Narrowing the scope can make the investigation more useful and easier for everyone to understand.
Get the decision right at the start
If you are asking when a workplace complaint needs an investigation, you are already asking the right question.
The answer should come from the facts, the seriousness of the issues, the level of dispute and what the organisation needs to decide next.
I provide Workplace Investigation Advisory support to organisations at this early stage. That can include reviewing the complaint, identifying the issues that may need formal findings, shaping the allegations and helping decide whether the matter should be handled internally or independently.
Sometimes the answer is to investigate. Sometimes it is not. The useful part is knowing why.